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Title 40: Protection of Environment

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PART 300—NATIONAL OIL AND HAZARDOUS SUBSTANCES POLLUTION 

CONTINGENCY PLAN 

Section Contents

Subpart A—Introduction

§ 300.1 Purpose and objectives.

§ 300.2 Authority and applicability.

§ 300.3 Scope.

§ 300.4 Abbreviations.

§ 300.5 Definitions.

§ 300.6 Use of number and gender.

§ 300.7 Computation of time.

Subpart B—Responsibility and Organization for Response

§ 300.100 Duties of President delegated to federal agencies.

§ 300.105 General organization concepts.

§ 300.110 National Response Team.

§ 300.115 Regional Response Teams.

§ 300.120 On-scene coordinators and remedial project managers: general responsibilities.

§ 300.125 Notification and communications.

§ 300.130 Determinations to initiate response and special conditions.

§ 300.135 Response operations.

§ 300.140 Multi-regional responses.

§ 300.145 Special teams and other assistance available to OSCs/RPMs.

§ 300.150 Worker health and safety.

§ 300.155 Public information and community relations.

§ 300.160 Documentation and cost recovery.

§ 300.165 OSC reports.

§ 300.170 Federal agency participation.

§ 300.175 Federal agencies: additional responsibilities and assistance.

§ 300.180 State and local participation in response.

§ 300.185 Nongovernmental participation.

Subpart C—Planning and Preparedness

§ 300.200 General.

§ 300.205 Planning and coordination structure.

§ 300.210 Federal contingency plans.

§ 300.211 OPA facility and vessel response plans.

§ 300.212 Area response drills.

§ 300.215 Title III local emergency response plans.

§ 300.220 Related Title III issues.

Subpart D—Operational Response Phases for Oil Removal

§ 300.300 Phase I—Discovery or notification.

§ 300.305 Phase II—Preliminary assessment and initiation of action.

§ 300.310 Phase III—Containment, countermeasures, cleanup, and disposal.

§ 300.315 Phase IV—Documentation and cost recovery.

§ 300.317 National response priorities.

§ 300.320 General pattern of response.

§ 300.322 Response to substantial threats to public health or welfare of the United States.

§ 300.323 Spills of national significance.

§ 300.324 Response to worst case discharges.

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§ 300.335 Funding.

Subpart E—Hazardous Substance Response

§ 300.400 General.

§ 300.405 Discovery or notification.

§ 300.410 Removal site evaluation.

§ 300.415 Removal action.

§ 300.420 Remedial site evaluation.

§ 300.425 Establishing remedial priorities.

§ 300.430 Remedial investigation/feasibility study and selection of remedy.

§ 300.435 Remedial design/remedial action, operation and maintenance.

§ 300.440 Procedures for planning and implementing off-site response actions.

Subpart F—State Involvement in Hazardous Substance Response

§ 300.500 General.

§ 300.505 EPA/State Superfund Memorandum of Agreement (SMOA).

§ 300.510 State assurances.

§ 300.515 Requirements for state involvement in remedial and enforcement response.

§ 300.520 State involvement in EPA-lead enforcement negotiations.

§ 300.525 State involvement in removal actions.

Subpart G—Trustees for Natural Resources

§ 300.600 Designation of federal trustees.

§ 300.605 State trustees.

§ 300.610 Indian tribes.

§ 300.612 Foreign trustees.

§ 300.615 Responsibilities of trustees.

Subpart H—Participation by Other Persons

§ 300.700 Activities by other persons.

Subpart I—Administrative Record for Selection of Response Action

§ 300.800 Establishment of an administrative record.

§ 300.805 Location of the administrative record file.

§ 300.810 Contents of the administrative record file.

§ 300.815 Administrative record file for a remedial action.

§ 300.820 Administrative record file for a removal action.

§ 300.825 Record requirements after the decision document is signed.

Subpart J—Use of Dispersants and Other Chemicals

§ 300.900 General.

§ 300.905 NCP Product Schedule.

§ 300.910 Authorization of use.

§ 300.915 Data requirements.

§ 300.920 Addition of products to Schedule.

Subpart K—Federal Facilities [Reserved]

Subpart L—National Oil and Hazardous Substances Pollution Contingency Plan; 

Involuntary Acquisition of Property by the Government

§ 300.1105 Involuntary acquisition of property by the government.

Appendix A to Part 300—The Hazard Ranking System

Appendix B to Part 300—National Priorities List

Appendix C to Part 300—Swirling Flask Dispersant Effectiveness Test, Revised Standard 

Dispersant Toxicity Test, and Bioremediation Agent Effectiveness Test

Appendix D to Part 300—Appropriate Actions and Methods of Remedying Releases

Appendix E to Part 300—Oil Spill Response

Authority: 33 U.S.C. 1321(c)(2); 42 U.S.C. 9601–9657; E.O. 12777, 56 FR 54757, 3 CFR, 

1991 Comp., p.351; E.O. 12580, 52 FR 2923, 3 CFR, 1987 Comp., p.193. 

Subpart A—Introduction 

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Source: 59 FR 47416, Sept. 15, 1994, unless otherwise noted. 

§ 300.1 Purpose and objectives. 

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The purpose of the National Oil and Hazardous Substances Pollution Contingency Plan (NCP) is to 

provide the organizational structure and procedures for preparing for and responding to discharges of oil 

and releases of hazardous substances, pollutants, and contaminants. 

§ 300.2 Authority and applicability. 

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The NCP is required by section 105 of the Comprehensive Environmental Response, Compensation, 

and Liability Act of 1980, 42 U.S.C. 9605, as amended by the Superfund Amendments and 

Reauthorization Act of 1986 (SARA), Pub. L. 99–499, (hereinafter CERCLA), and by section 311(d) of 

the Clean Water Act (CWA), 33 U.S.C. 1321(d), as amended by the Oil Pollution Act of 1990 (OPA), 

Pub. L. 101–380. In Executive Order (E.O.) 12777 (56 FR 54757, October 22, 1991), the President 

delegated to the Environmental Protection Agency (EPA) the responsibility for the amendment of the 

NCP. Amendments to the NCP are coordinated with members of the National Response Team (NRT) 

prior to publication for notice and comment. This includes coordination with the Federal Emergency 

Management Agency (FEMA) and the Nuclear Regulatory Commission in order to avoid inconsistent or 

duplicative requirements in the emergency planning responsibilities of those agencies. The NCP is 

applicable to response actions taken pursuant to the authorities under CERCLA and section 311 of the 

CWA, as amended. 

§ 300.3 Scope. 

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(a) The NCP applies to and is in effect for: 

(1) Discharges of oil into or on the navigable waters of the United States, on the adjoining shorelines, the 

waters of the contiguous zone, into waters of the exclusive economic zone, or that may affect natural 

resources belonging to, appertaining to, or under the exclusive management authority of the United 

States (See sections 311(c)(1) and 502(7) of the CWA). 

(2) Releases into the environment of hazardous substances, and pollutants or contaminants which may 

present an imminent and substantial danger to public health or welfare of the United States. 

(b) The NCP provides for efficient, coordinated, and effective response to discharges of oil and releases 

of hazardous substances, pollutants, and contaminants in accordance with the authorities of CERCLA 

and the CWA. It provides for: 

(1) The national response organization that may be activated in response actions. It specifies 

responsibilities among the federal, state, and local governments and describes resources that are 

available for response. 

(2) The establishment of requirements for federal, regional, and area contingency plans. It also 

summarizes state and local emergency planning requirements under SARA Title III. 

(3) Procedures for undertaking removal actions pursuant to section 311 of the CWA. 

(4) Procedures for undertaking response actions pursuant to CERCLA. 

(5) Procedures for involving state governments in the initiation, development, selection, and 

implementation of response actions, pursuant to CERCLA. 

(6) Listing of federal trustees for natural resources for purposes of CERCLA and the CWA. 

(7) Procedures for the participation of other persons in response actions. 

(8) Procedures for compiling and making available an administrative record for response actions. 

(9) National procedures for the use of dispersants and other chemicals in removals under the CWA and 

response actions under CERCLA. 

(c) In implementing the NCP, consideration shall be given to international assistance plans and 

agreements, security regulations and responsibilities based on international agreements, federal 

statutes, and executive orders. Actions taken pursuant to the provisions of any applicable international 

joint contingency plans shall be consistent with the NCP, to the greatest extent possible. The 

Department of State shall be consulted, as appropriate, prior to taking any action which may affect its 

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activities. 

(d) Additionally, the NCP applies to and is in effect when the Federal Response Plan and some or all its 

Emergency Support Functions (ESFs) are activated. 

§ 300.4 Abbreviations. 

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(a) Department and Agency Title Abbreviations: 

ATSDR—Agency for Toxic Substances and Disease Registry 

CDC—Centers for Disease Control 

DOC—Department of Commerce 

DOD—Department of Defense 

DOE—Department of Energy 

DOI—Department of the Interior 

DOJ—Department of Justice 

DOL—Department of Labor 

DOS—Department of State 

DOT—Department of Transportation 

EPA—Environmental Protection Agency 

FEMA—Federal Emergency Management Agency 

GSA—General Services Administration 

HHS—Department of Health and Human Services 

NIOSH—National Institute for Occupational Safety and Health 

NOAA—National Oceanic and Atmospheric Administration 

OSHA—Occupational Health and Safety Administration 

RSPA—Research and Special Programs Administration 

USCG—United States Coast Guard 

USDA—United States Department of Agriculture 

Note: Reference is made in the NCP to both the Nuclear Regulatory Commission and the 

National Response Center. In order to avoid confusion, the NCP will spell out Nuclear 

Regulatory Commission and use the abbreviation “NRC” only with respect to the National 

Response Center.

(b) Operational Abbreviations: 

ACP—Area Contingency Plan 

ARARs—Applicable or Relevant and Appropriate Requirements 

CERCLIS—CERCLA Information System 

CRC—Community Relations Coordinator 

CRP—Community Relations Plan 

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DRAT—District Response Advisory Team 

DRG—District Response Group 

ERT—Environmental Response Team 

ESF—Emergency Support Function 

FCO—Federal Coordinating Officer 

FRERP—Federal Radiological Emergency Response Plan 

FRP—Federal Response Plan 

FS—Feasibility Study 

HRS—Hazard Ranking System 

LEPC—Local Emergency Planning Committee 

NCP—National Contingency Plan 

NPFC—National Pollution Funds Center 

NPL—National Priorities List 

NRC—National Response Center 

NRS—National Response System 

NRT—National Response Team 

NSF—National Strike Force 

NSFCC—National Strike Force Coordination Center 

O&M—Operation and Maintenance 

OSC—On-Scene Coordinator 

OSLTF—Oil Spill Liability Trust Fund 

PA—Preliminary Assessment 

PIAT—Public Information Assist Team 

RA—Remedial Action 

RCP—Regional Contingency Plan 

RD—Remedial Design 

RERT—Radiological Emergency Response Team 

RI—Remedial Investigation 

ROD—Record of Decision 

RPM—Remedial Project Manager 

RRC—Regional Response Center 

RRT—Regional Response Team 

SAC—Support Agency Coordinator 

SERC—State Emergency Response Commission 

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SI—Site Inspection 

SMOA—Superfund Memorandum of Agreement 

SONS—Spill of National Significance 

SSC—Scientific Support Coordinator 

SUPSALV—United States Navy Supervisor of Salvage 

USFWS—United States Fish and Wildlife Service 

§ 300.5 Definitions. 

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Terms not defined in this section have the meaning given by CERCLA, the OPA, or the CWA. 

Activation means notification by telephone or other expeditious manner or, when required, the assembly 

of some or all appropriate members of the RRT or NRT. 

Alternative water supplies as defined by section 101(34) of CERCLA, includes, but is not limited to, 

drinking water and household water supplies. 

Applicable requirements means those cleanup standards, standards of control, and other substantive 

requirements, criteria, or limitations promulgated under federal environmental or state environmental or 

facility siting laws that specifically address a hazardous substance, pollutant, contaminant, remedial 

action, location, or other circumstance found at a CERCLA site. Only those state standards that are 

identified by a state in a timely manner and that are more stringent than federal requirements may be 

applicable. 

Area Committee (AC) as provided for by CWA sections 311(a)(18) and (j)(4), means the entity appointed 

by the President consisting of members from qualified personnel of federal, state, and local agencies 

with responsibilities that include preparing an area contingency plan for an area designated by the 

President. 

Area contingency plan (ACP) as provided for by CWA sections 311(a)(19) and (j)(4), means the plan 

prepared by an Area Committee that is developed to be implemented in conjunction with the NCP and 

RCP, in part to address removal of a worst case discharge and to mitigate or prevent a substantial threat 

of such a discharge from a vessel, offshore facility, or onshore facility operating in or near an area 

designated by the President. 

Bioremediation agents means microbiological cultures, enzyme additives, or nutrient additives that are 

deliberately introduced into an oil discharge and that will significantly increase the rate of biodegradation 

to mitigate the effects of the discharge. 

Burning agents means those additives that, through physical or chemical means, improve the 

combustibility of the materials to which they are applied. 

CERCLA is the Comprehensive Environmental Response, Compensation, and Liability Act of 1980, as 

amended by the Superfund Amendments and Reauthorization Act of 1986. 

CERCLIS is the abbreviation of the CERCLA Information System, EPA's comprehensive data base and 

data management system that inventories and tracks releases addressed or needing to be addressed by 

the Superfund program. CERCLIS contains the official inventory of CERCLA sites and supports EPA's 

site planning and tracking functions. Sites that EPA decides do not warrant moving further in the site 

evaluation process are given a “No Further Response Action Planned” (NFRAP) designation. This 

means that no additional federal steps under CERCLA will be taken at the site unless future information 

so warrants. Sites given a NFRAP designation are placed in a separate archival data base. Inclusion of 

a specific site or area in the CERCLIS data base does not represent a determination of any party's 

liability, nor does it represent a finding that any response action is necessary. 

Chemical agents means those elements, compounds, or mixtures that coagulate, disperse, dissolve, 

emulsify, foam, neutralize, precipitate, reduce, solubilize, oxidize, concentrate, congeal, entrap, fix, make 

the pollutant mass more rigid or viscous, or otherwise facilitate the mitigation of deleterious effects or the 

removal of the pollutant from the water. Chemical agents include biological additives, dispersants, 

sinking agents, miscellaneous oil spill control agents, and burning agents, but do not include sorbents. 

Claim for purposes of a release under CERCLA, means a demand in writing for a sum certain; for 

purposes of a discharge under CWA, it means a request, made in writing for a sum certain, for 

compensation for damages or removal costs resulting from an incident. 

Claimant as defined by section 1001 of the OPA means any person or government who presents a claim 

for compensation under Title I of the OPA. 

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Coastal waters for the purposes of classifying the size of discharges, means the waters of the coastal 

zone except for the Great Lakes and specified ports and harbors on inland rivers. 

Coastal zone as defined for the purpose of the NCP, means all United States waters subject to the tide, 

United States waters of the Great Lakes, specified ports and harbors on inland rivers, waters of the 

contiguous zone, other waters of the high seas subject to the NCP, and the land surface or land 

substrata, ground waters, and ambient air proximal to those waters. The term coastal zone delineates an 

area of federal responsibility for response action. Precise boundaries are determined by EPA/USCG 

agreements and identified in federal regional contingency plans. 

Coast Guard District Response Group (DRG) as provided for by CWA sections 311(a)(20) and (j)(3), 

means the entity established by the Secretary of the department in which the USCG is operating, within 

each USCG district, and shall consist of: the combined USCG personnel and equipment, including 

marine firefighting equipment, of each port in the district; additional prepositioned response equipment; 

and a district response advisory team. 

Community relations means EPA's program to inform and encourage public participation in the 

Superfund process and to respond to community concerns. The term “public” includes citizens directly 

affected by the site, other interested citizens or parties, organized groups, elected officials, and 

potentially responsible parties (PRPs). 

Community relations coordinator means lead agency staff who work with the OSC/RPM to involve and 

inform the public about the Superfund process and response actions in accordance with the interactive 

community relations requirements set forth in the NCP. 

Contiguous zone means the zone of the high seas, established by the United States under Article 24 of 

the Convention on the Territorial Sea and Contiguous Zone, which is contiguous to the territorial sea and 

which extends nine miles seaward from the outer limit of the territorial sea. 

Cooperative agreement is a legal instrument EPA uses to transfer money, property, services, or 

anything of value to a recipient to accomplish a public purpose in which substantial EPA involvement is 

anticipated during the performance of the project. 

Damages as defined by section 1001 of the OPA means damages specified in section 1002(b) of the 

Act, and includes the cost of assessing these damages. 

Discharge as defined by section 311(a)(2) of the CWA, includes, but is not limited to, any spilling, 

leaking, pumping, pouring, emitting, emptying, or dumping of oil, but excludes discharges in compliance 

with a permit under section 402 of the CWA, discharges resulting from circumstances identified and 

reviewed and made a part of the public record with respect to a permit issued or modified under section 

402 of the CWA, and subject to a condition in such permit, or continuous or anticipated intermittent 

discharges from a point source, identified in a permit or permit application under section 402 of the 

CWA, that are caused by events occurring within the scope of relevant operating or treatment systems. 

For purposes of the NCP, discharge also means substantial threat of discharge. 

Dispersants means those chemical agents that emulsify, disperse, or solubilize oil into the water column 

or promote the surface spreading of oil slicks to facilitate dispersal of the oil into the water column. 

Drinking water supply as defined by section 101(7) of CERCLA, means any raw or finished water source 

that is or may be used by a public water system (as defined in the Safe Drinking Water Act (42 U.S.C. 

300 et seq.) or as drinking water by one or more individuals. 

Environment as defined by section 101(8) of CERCLA, means the navigable waters, the waters of the 

contiguous zone, and the ocean waters of which the natural resources are under the exclusive 

management authority of the United States under the Magnuson Fishery Conservation and Management 

Act (16 U.S.C. 1801 et seq.); and any other surface water, ground water, drinking water supply, land 

surface or subsurface strata, or ambient air within the United States or under the jurisdiction of the 

United States. 

Exclusive economic zone, as defined by OPA section 1001, means the zone established by Presidential 

Proclamation Numbered 5030, dated March 10, 1983, including the ocean waters of the areas referred 

to as “eastern special areas” in Article 3(1) of the Agreement between the United States of America and 

the Union of Soviet Socialist Republics on the Maritime Boundary, signed June 1, 1990. 

Facility as defined by section 101(9) of CERCLA, means any building, structure, installation, equipment, 

pipe or pipeline (including any pipe into a sewer or publicly owned treatment works), well, pit, pond, 

lagoon, impoundment, ditch, landfill, storage container, motor vehicle, rolling stock, or aircraft, or any site 

or area, where a hazardous substance has been deposited, stored, disposed of, or placed, or otherwise 

come to be located; but does not include any consumer product in consumer use or any vessel. As 

defined by section 1001 of the OPA, it means any structure, group of structures, equipment, or device 

(other than a vessel) which is used for one or more of the following purposes: Exploring for, drilling for, 

producing, storing, handling, transferring, processing, or transporting oil. This term includes any motor 

vehicle, rolling stock, or pipeline used for one or more of these purposes. 

Feasibility study (FS) means a study undertaken by the lead agency to develop and evaluate options for 

remedial action. The FS emphasizes data analysis and is generally performed concurrently and in an 

interactive fashion with the remedial investigation (RI), using data gathered during the RI. The RI data 

are used to define the objectives of the response action, to develop remedial action alternatives, and to 

undertake an initial screening and detailed analysis of the alternatives. The term also refers to a report 

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that describes the results of the study. 

Federal Radiological Emergency Response Plan (FRERP) means the inter-agency agreement for 

coordinating the response of various agencies, under a variety of statutes, to a large radiological 

accident. The Lead Federal Agency (LFA), defined by the FRERP, activates the FRERP for any 

peacetime radiological emergency which, based upon its professional judgment, is expected to have a 

significant radiological effect within the United States, its territories, possessions, or territorial waters and 

that could require a response by several federal agencies. 

Federal Response Plan (FRP) means the agreement signed by 27 federal departments and agencies in 

April 1987 and developed under the authorities of the Earthquake Hazards Reduction Act of 1977 (42 

U.S.C. 7701 et seq.) and the Disaster Relief Act of 1974 (42 U.S.C. 3231 et seq.), as amended by the 

Stafford Disaster Relief Act of 1988. 

First federal official means the first federal representative of a participating agency of the National 

Response Team to arrive at the scene of a discharge or a release. This official coordinates activities 

under the NCP and may initiate, in consultation with the OSC, any necessary actions until the arrival of 

the predesignated OSC. A state with primary jurisdiction over a site covered by a cooperative agreement 

will act in the stead of the first federal official for any incident at the site. 

Fund or Trust Fund means the Hazardous Substance Superfund established by section 9507 of the 

Internal Revenue Code of 1986. 

Ground water as defined by section 101(12) of CERCLA, means water in a saturated zone or stratum 

beneath the surface of land or water. 

Hazard Ranking System (HRS) means the method used by EPA to evaluate the relative potential of 

hazardous substance releases to cause health or safety problems, or ecological or environmental 

damage. 

Hazardous substance as defined by section 101(14) of CERCLA, means: Any substance designated 

pursuant to section 311(b)(2)(A) of the CWA; any element, compound, mixture, solution, or substance 

designated pursuant to section 102 of CERCLA; any hazardous waste having the characteristics 

identified under or listed pursuant to section 3001 of the Solid Waste Disposal Act (but not including any 

waste the regulation of which under the Solid Waste Disposal Act (42 U.S.C. 6901 et seq.) has been 

suspended by Act of Congress); any toxic pollutant listed under section 307(a) of the CWA; any 

hazardous air pollutant listed under section 112 of the Clean Air Act (42 U.S.C. 7521 et seq.); and any 

imminently hazardous chemical substance or mixture with respect to which the EPA Administrator has 

taken action pursuant to section 7 of the Toxic Substances Control Act (15 U.S.C. 2601 et seq.). The 

term does not include petroleum, including crude oil or any fraction thereof which is not otherwise 

specifically listed or designated as a hazardous substance in the first sentence of this paragraph, and 

the term does not include natural gas, natural gas liquids, liquified natural gas, or synthetic gas usable 

for fuel (or mixtures of natural gas and such synthetic gas). 

Indian tribe as defined by section 101(36) of CERCLA, means any Indian tribe, band, nation, or other 

organized group or community, including any Alaska Native village but not including any Alaska Native 

regional or village corporation, which is recognized as eligible for the special programs and services 

provided by the United States to Indians because of their status as Indians. “Indian tribe,” as defined by 

OPA section 1001, means any Indian tribe, band, nation, or other organized group or community, but not 

including any Alaska Native regional or village corporation, which is recognized as eligible for the special 

programs and services provided by the United States to Indians because of their status as Indians and 

has governmental authority over lands belonging to or controlled by the tribe. 

Inland waters, for the purposes of classifying the size of discharges, means those waters of the United 

States in the inland zone, waters of the Great Lakes, and specified ports and harbors on inland rivers. 

Inland zone means the environment inland of the coastal zone excluding the Great Lakes and specified 

ports and harbors on inland rivers. The term inland zone delineates an area of federal responsibility for 

response action. Precise boundaries are determined by EPA/USCG agreements and identified in federal 

regional contingency plans. 

Lead administrative trustee means a natural resource trustee who is designated on an incident-byincident basis for the purpose of preassessment and damage assessment and chosen by the other 

trustees whose natural resources are affected by the incident. The lead administrative trustee facilitates 

effective and efficient communication during response operations between the OSC and the other 

natural resource trustees conducting activities associated with damage assessment, and is responsible 

for applying to the OSC for access to response operations resources on behalf of all trustees for 

initiation of a damage assessment. 

Lead agency means the agency that provides the OSC/RPM to plan and implement response actions 

under the NCP. EPA, the USCG, another federal agency, or a state (or political subdivision of a state) 

operating pursuant to a contract or cooperative agreement executed pursuant to section 104(d)(1) of 

CERCLA, or designated pursuant to a Superfund Memorandum of Agreement (SMOA) entered into 

pursuant to subpart F of the NCP or other agreements may be the lead agency for a response action. In 

the case of a release of a hazardous substance, pollutant, or contaminant, where the release is on, or 

the sole source of the release is from, any facility or vessel under the jurisdiction, custody, or control of 

Department of Defense (DOD) or Department of Energy (DOE), then DOD or DOE will be the lead 

agency. Where the release is on, or the sole source of the release is from, any facility or vessel under 

the jurisdiction, custody, or control of a federal agency other than EPA, the USCG, DOD, or DOE, then 

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that agency will be the lead agency for remedial actions and removal actions other than emergencies. 

The federal agency maintains its lead agency responsibilities whether the remedy is selected by the 

federal agency for non-NPL sites or by EPA and the federal agency or by EPA alone under CERCLA 

section 120. The lead agency will consult with the support agency, if one exists, throughout the response 

process. 

Management of migration means actions that are taken to minimize and mitigate the migration of 

hazardous substances or pollutants or contaminants and the effects of such migration. Measures may 

include, but are not limited to, management of a plume of contamination, restoration of a drinking water 

aquifer, or surface water restoration. 

Miscellaneous oil spill control agent is any product, other than a dispersant, sinking agent, surface 

washing agent, surface collecting agent, bioremediation agent, burning agent, or sorbent that can be 

used to enhance oil spill cleanup, removal, treatment, or mitigation. 

National Pollution Funds Center (NPFC) means the entity established by the Secretary of Transportation 

whose function is the administration of the Oil Spill Liability Trust Fund (OSLTF). Among the NPFC's 

duties are: providing appropriate access to the OSLTF for federal agencies and states for removal 

actions and for federal trustees to initiate the assessment of natural resource damages; providing 

appropriate access to the OSLTF for claims; and coordinating cost recovery efforts. 

National Priorities List (NPL) means the list, compiled by EPA pursuant to CERCLA section 105, of 

uncontrolled hazardous substance releases in the United States that are priorities for long-term remedial 

evaluation and response. 

National response system (NRS) is the mechanism for coordinating response actions by all levels of 

government in support of the OSC/RPM. The NRS is composed of the NRT, RRTs, OSC/RPM, Area 

Committees, and Special Teams and related support entities. The NRS is capable of expanding or 

contracting to accommodate the response effort required by the size or complexity of the discharge or 

release. 

National Strike Force (NSF) is a special team established by the USCG, including the three USCG Strike 

Teams, the Public Information Assist Team (PIAT), and the National Strike Force Coordination Center. 

The NSF is available to assist OSCs/RPMs in their preparedness and response duties. 

National Strike Force Coordination Center (NSFCC), authorized as the National Response Unit by CWA 

sections 311(a)(23) and (j)(2), means the entity established by the Secretary of the department in which 

the USCG is operating at Elizabeth City, North Carolina with responsibilities that include administration 

of the USCG Strike Teams, maintenance of response equipment inventories and logistic networks, and 

conducting a national exercise program. 

Natural resources means land, fish, wildlife, biota, air, water, ground water, drinking water supplies, and 

other such resources belonging to, managed by, held in trust by, appertaining to, or otherwise controlled 

by the United States (including the resources of the exclusive economic zone defined by the Magnuson 

Fishery Conservation and Management Act of 1976), any state or local government, any foreign 

government, any Indian tribe, or, if such resources are subject to a trust restriction on alienation, any 

member of an Indian tribe. 

Navigable waters as defined by 40 CFR 110.1, means the waters of the United States, including the 

territorial seas. The term includes: 

(1) All waters that are currently used, were used in the past, or may be susceptible to use in interstate or 

foreign commerce, including all waters that are subject to the ebb and flow of the tide; 

(2) Interstate waters, including interstate wetlands; 

(3) All other waters such as intrastate lakes, rivers, streams (including intermittent streams), mudflats, 

sandflats, and wetlands, the use, degradation, or destruction of which would affect or could affect 

interstate or foreign commerce including any such waters; 

(i) That are or could be used by interstate or foreign travelers for recreational or other purposes; 

(ii) From which fish or shellfish are or could be taken and sold in interstate or foreign commerce; 

(iii) That are used or could be used for industrial purposes by industries in interstate commerce; 

(4) All impoundments of waters otherwise defined as navigable waters under this section; 

(5) Tributaries of waters identified in paragraphs (a) through (d) of this definition, including adjacent 

wetlands; and 

(6) Wetlands adjacent to waters identified in paragraphs (a) through (e) of this definition: Provided, that 

waste treatment systems (other than cooling ponds meeting the criteria of this paragraph) are not waters 

of the United States. 

(7) Waters of the United States do not include prior converted cropland. Notwithstanding the 

determination of an area's status as prior converted cropland by any other federal agency, for the 

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purposes of the Clean Water Act, the final authority regarding Clean Water Act jurisdiction remains with 

EPA. 

Offshore facility as defined by section 101(17) of CERCLA and section 311(a)(11) of the CWA, means 

any facility of any kind located in, on, or under any of the navigable waters of the United States, and any 

facility of any kind which is subject to the jurisdiction of the United States and is located in, on, or under 

any other waters, other than a vessel or a public vessel. 

Oil as defined by section 311(a)(1) of the CWA, means oil of any kind or in any form, including, but not 

limited to, petroleum, fuel oil, sludge, oil refuse, and oil mixed with wastes other than dredged spoil. Oil, 

as defined by section 1001 of the OPA means oil of any kind or in any form, including, but not limited to, 

petroleum, fuel oil, sludge, oil refuse, and oil mixed with wastes other than dredged spoil, but does not 

include petroleum, including crude oil or any fraction thereof, which is specifically listed or designated as 

a hazardous substance under subparagraphs (A) through (F) of section 101(14) of the Comprehensive 

Environmental Response, Compensation, and Liability Act (42 U.S.C. 9601) and which is subject to the 

provisions of that Act. 

Oil Spill Liability Trust Fund (OSLTF) means the fund established under section 9509 of the Internal 

Revenue Code of 1986 (26 U.S.C. 9509). 

On-scene coordinator (OSC) means the federal official predesignated by EPA or the USCG to 

coordinate and direct responses under subpart D, or the government official designated by the lead 

agency to coordinate and direct removal actions under subpart E of the NCP. 

Onshore facility as defined by section 101(18) of CERCLA, means any facility (including, but not limited 

to, motor vehicles and rolling stock) of any kind located in, on, or under any land or non-navigable 

waters within the United States; and, as defined by section 311(a)(10) of the CWA, means any facility 

(including, but not limited to, motor vehicles and rolling stock) of any kind located in, on, or under any 

land within the United States other than submerged land. 

On-site means the areal extent of contamination and all suitable areas in very close proximity to the 

contamination necessary for implementation of the response action. 

Operable unit means a discrete action that comprises an incremental step toward comprehensively 

addressing site problems. This discrete portion of a remedial response manages migration, or eliminates 

or mitigates a release, threat of a release, or pathway of exposure. The cleanup of a site can be divided 

into a number of operable units, depending on the complexity of the problems associated with the site. 

Operable units may address geographical portions of a site, specific site problems, or initial phases of an 

action, or may consist of any set of actions performed over time or any actions that are concurrent but 

located in different parts of a site. 

Operation and maintenance (O&M) means measures required to maintain the effectiveness of response 

actions. 

Person as defined by section 101(21) of CERCLA, means an individual, firm, corporation, association, 

partnership, consortium, joint venture, commercial entity, United States government, state, municipality, 

commission, political subdivision of a state, or any interstate body. As defined by section 1001 of the 

OPA, “person” means an individual, corporation, partnership, association, state, municipality, 

commission, or political subdivision of a state, or any interstate body. 

Pollutant or contaminant as defined by section 101(33) of CERCLA, shall include, but not be limited to, 

any element, substance, compound, or mixture, including disease-causing agents, which after release 

into the environment and upon exposure, ingestion, inhalation, or assimilation into any organism, either 

directly from the environment or indirectly by ingestion through food chains, will or may reasonably be 

anticipated to cause death, disease, behavioral abnormalities, cancer, genetic mutation, physiological 

malfunctions (including malfunctions in reproduction) or physical deformations, in such organisms or 

their offspring. The term does not include petroleum, including crude oil or any fraction thereof which is 

not otherwise specifically listed or designated as a hazardous substance under section 101(14) (A) 

through (F) of CERCLA, nor does it include natural gas, liquified natural gas, or synthetic gas of pipeline 

quality (or mixtures of natural gas and such synthetic gas). For purposes of the NCP, the term pollutant 

or contaminant means any pollutant or contaminant that may present an imminent and substantial 

danger to public health or welfare of the United States. 

Post-removal site control means those activities that are necessary to sustain the integrity of a Fundfinanced removal action following its conclusion. Post-removal site control may be a removal or remedial 

action under CERCLA. The term includes, without being limited to, activities such as relighting gas 

flares, replacing filters, and collecting leachate. 

Preliminary assessment (PA) under CERCLA means review of existing information and an off-site 

reconnaissance, if appropriate, to determine if a release may require additional investigation or action. A 

PA may include an on-site reconnaissance, if appropriate. 

Public participation, see the definition for community relations. 

Public vessel as defined by section 311(a)(4) of the CWA, means a vessel owned or bareboat-chartered 

and operated by the United States, or by a state or political subdivision thereof, or by a foreign nation, 

except when such vessel is engaged in commerce. 

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Quality assurance project plan (QAPP) is a written document, associated with all remedial site sampling 

activities, which presents in specific terms the organization (where applicable), objectives, functional 

activities, and specific quality assurance (QA) and quality control (QC) activities designed to achieve the 

data quality objectives of a specific project(s) or continuing operation(s). The QAPP is prepared for each 

specific project or continuing operation (or group of similar projects or continuing operations). The QAPP 

will be prepared by the responsible program office, regional office, laboratory, contractor, recipient of an 

assistance agreement, or other organization. For an enforcement action, potentially responsible parties 

may prepare a QAPP subject to lead agency approval. 

Release as defined by section 101(22) of CERCLA, means any spilling, leaking, pumping, pouring, 

emitting, emptying, discharging, injecting, escaping, leaching, dumping, or disposing into the 

environment (including the abandonment or discarding of barrels, containers, and other closed 

receptacles containing any hazardous substance or pollutant or contaminant), but excludes: Any release 

which results in exposure to persons solely within a workplace, with respect to a claim which such 

persons may assert against the employer of such persons; emissions from the engine exhaust of a 

motor vehicle, rolling stock, aircraft, vessel, or pipeline pumping station engine; release of source, 

byproduct, or special nuclear material from a nuclear incident, as those terms are defined in the Atomic 

Energy Act of 1954, if such release is subject to requirements with respect to financial protection 

established by the Nuclear Regulatory Commission under section 170 of such Act, or, for the purposes 

of section 104 of CERCLA or any other response action, any release of source, byproduct, or special 

nuclear material from any processing site designated under section 102(a)(1) or 302(a) of the Uranium 

Mill Tailings Radiation Control Act of 1978 (42 U.S.C. 7901 et seq.); and the normal application of 

fertilizer. For purposes of the NCP, release also means threat of release. 

Relevant and appropriate requirements means those cleanup standards, standards of control, and other 

substantive requirements, criteria, or limitations promulgated under federal environmental or state 

environmental or facility siting laws that, while not “applicable” to a hazardous substance, pollutant, 

contaminant, remedial action, location, or other circumstance at a CERCLA site, address problems or 

situations sufficiently similar to those encountered at the CERCLA site that their use is well suited to the 

particular site. Only those state standards that are identified in a timely manner and are more stringent 

than federal requirements may be relevant and appropriate. 

Remedial design (RD) means the technical analysis and procedures which follow the selection of 

remedy for a site and result in a detailed set of plans and specifications for implementation of the 

remedial action. 

Remedial investigation (RI) is a process undertaken by the lead agency to determine the nature and 

extent of the problem presented by the release. The RI emphasizes data collection and site 

characterization, and is generally performed concurrently and in an interactive fashion with the feasibility 

study. The RI includes sampling and monitoring, as necessary, and includes the gathering of sufficient 

information to determine the necessity for remedial action and to support the evaluation of remedial 

alternatives. 

Remedial project manager (RPM) means the official designated by the lead agency to coordinate, 

monitor, or direct remedial or other response actions under subpart E of the NCP. 

Remedy or remedial action (RA) means those actions consistent with permanent remedy taken instead 

of, or in addition to, removal action in the event of a release or threatened release of a hazardous 

substance into the environment, to prevent or minimize the release of hazardous substances so that 

they do not migrate to cause substantial danger to present or future public health or welfare or the 

environment. The term includes, but is not limited to, such actions at the location of the release as 

storage, confinement, perimeter protection using dikes, trenches, or ditches, clay cover, neutralization, 

cleanup of released hazardous substances and associated contaminated materials, recycling or reuse, 

diversion, destruction, segregation of reactive wastes, dredging or excavations, repair or replacement of 

leaking containers, collection of leachate and runoff, on-site treatment or incineration, provision of 

alternative water supplies, any monitoring reasonably required to assure that such actions protect the 

public health and welfare and the environment and, where appropriate, post-removal site control 

activities. The term includes the costs of permanent relocation of residents and businesses and 

community facilities (including the cost of providing “alternative land of equivalent value” to an Indian 

tribe pursuant to CERCLA section 126(b)) where EPA determines that, alone or in combination with 

other measures, such relocation is more cost-effective than, and environmentally preferable to, the 

transportation, storage, treatment, destruction, or secure disposition off-site of such hazardous 

substances, or may otherwise be necessary to protect the public health or welfare; the term includes offsite transport and off-site storage, treatment, destruction, or secure disposition of hazardous substances 

and associated contaminated materials. For the purpose of the NCP, the term also includes enforcement 

activities related thereto. 

Remove or removal as defined by section 311(a)(8) of the CWA, refers to containment and removal of 

oil or hazardous substances from the water and shorelines or the taking of such other actions as may be 

necessary to minimize or mitigate damage to the public health or welfare of the United States (including, 

but not limited to, fish, shellfish, wildlife, public and private property, and shorelines and beaches) or to 

the environment. For the purpose of the NCP, the term also includes monitoring of action to remove a 

discharge. As defined by section 101(23) of CERCLA, remove or removal means the cleanup or removal 

of released hazardous substances from the environment; such actions as may be necessary taken in the 

event of the threat of release of hazardous substances into the environment; such actions as may be 

necessary to monitor, assess, and evaluate the release or threat of release of hazardous substances; 

the disposal of removed material; or the taking of such other actions as may be necessary to prevent, 

minimize, or mitigate damage to the public health or welfare of the United States or to the environment, 

which may otherwise result from a release or threat of release. The term includes, in addition, without 

being limited to, security fencing or other measures to limit access, provision of alternative water 

supplies, temporary evacuation and housing of threatened individuals not otherwise provided for, action 

taken under section 104(b) of CERCLA, post-removal site control, where appropriate, and any 

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emergency assistance which may be provided under the Disaster Relief Act of 1974. For the purpose of 

the NCP, the term also includes enforcement activities related thereto. 

Removal costs as defined by section 1001 of the OPA means the costs of removal that are incurred after 

a discharge of oil has occurred, or in any case in which there is a substantial threat of a discharge of oil, 

the costs to prevent, minimize, or mitigate oil pollution from such an incident. 

Respond or response as defined by section 101(25) of CERCLA, means remove, removal, remedy, or 

remedial action, including enforcement activities related thereto. 

Responsible party as defined by section 1001 of the OPA, means the following: 

(1) Vessels—In the case of a vessel, any person owning, operating, or demise chartering the vessel. 

(2) Onshore Facilities—In the case of an onshore facility (other than a pipeline), any person owning or 

operating the facility, except a federal agency, state, municipality, commission, or political subdivision of 

a state, or any interstate body, that as the owner transfers possession and right to use the property to 

another person by lease, assignment, or permit. 

(3) Offshore Facilities—In the case of an offshore facility (other than a pipeline or a deepwater port 

licensed under the Deepwater Port Act of 1974 (33 U.S.C. 1501 et seq.)), the lessee or permittee of the 

area in which the facility is located or the holder of a right of use and easement granted under applicable 

state law or the Outer Continental Shelf Lands Act (43 U.S.C. 1301–1356) for the area in which the 

facility is located (if the holder is a different person than the lessee or permittee), except a federal 

agency, state, municipality, commission, or political subdivision of a state, or any interstate body, that as 

owner transfers possession and right to use the property to another person by lease, assignment, or 

permit. 

(4) Deepwater Ports—In the case of a deepwater port licensed under the Deepwater Port Act of 1974 

(33 U.S.C. 1501–1524), the licensee. 

(5) Pipelines—In the case of a pipeline, any person owning or operating the pipeline. 

(6) Abandonment—In the case of an abandoned vessel, onshore facility, deepwater port, pipeline, or 

offshore facility, the person who would have been responsible parties immediately prior to the 

abandonment of the vessel or facility. 

SARA is the Superfund Amendments and Reauthorization Act of 1986. In addition to certain freestanding provisions of law, it includes amendments to CERCLA, the Solid Waste Disposal Act, and the 

Internal Revenue Code. Among the free-standing provisions of law is Title III of SARA, also known as 

the “Emergency Planning and Community Right-to-Know Act of 1986” and Title IV of SARA, also known 

as the “Radon Gas and Indoor Air Quality Research Act of 1986.” Title V of SARA amending the Internal 

Revenue Code is also known as the “Superfund Revenue Act of 1986.” 

Sinking agents means those additives applied to oil discharges to sink floating pollutants below the 

water surface. 

Site inspection (SI) means an on-site investigation to determine whether there is a release or potential 

release and the nature of the associated threats. The purpose is to augment the data collected in the 

preliminary assessment and to generate, if necessary, sampling and other field data to determine if 

further action or investigation is appropriate. 

Size classes of discharges refers to the following size classes of oil discharges which are provided as 

guidance to the OSC and serve as the criteria for the actions delineated in subpart D. They are not 

meant to imply associated degrees of hazard to public health or welfare of the United States, nor are 

they a measure of environmental injury. Any oil discharge that poses a substantial threat to public health 

or welfare of the United States or the environment or results in significant public concern shall be 

classified as a major discharge regardless of the following quantitative measures: 

(1) Minor discharge means a discharge to the inland waters of less than 1,000 gallons of oil or a 

discharge to the coastal waters of less than 10,000 gallons of oil. 

(2) Medium discharge means a discharge of 1,000 to 10,000 gallons of oil to the inland waters or a 

discharge of 10,000 to 100,000 gallons of oil to the coastal waters. 

(3) Major discharge means a discharge of more than 10,000 gallons of oil to the inland waters or more 

than 100,000 gallons of oil to the coastal waters. 

Size classes of releases refers to the following size classifications which are provided as guidance to the 

OSC for meeting pollution reporting requirements in subpart B. The final determination of the appropriate 

classification of a release will be made by the OSC based on consideration of the particular release 

(e.g., size, location, impact, etc.): 

(1) Minor release means a release of a quantity of hazardous substance(s), pollutant(s), or contaminant

(s) that poses minimal threat to public health or welfare of the United States or the environment. 

(2) Medium release means a release not meeting the criteria for classification as a minor or major 

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release. 

(3) Major release means a release of any quantity of hazardous substance(s), pollutant(s), or 

contaminant(s) that poses a substantial threat to public health or welfare of the United States or the 

environment or results in significant public concern. 

Sorbents means essentially inert and insoluble materials that are used to remove oil and hazardous 

substances from water through adsorption, in which the oil or hazardous substance is attracted to the 

sorbent surface and then adheres to it; absorption, in which the oil or hazardous substance penetrates 

the pores of the sorbent material; or a combination of the two. Sorbents are generally manufactured in 

particulate form for spreading over an oil slick or as sheets, rolls, pillows, or booms. The sorbent material 

may consist of, but is not limited to, the following materials: 

(1) Organic products— 

(i) Peat moss or straw; 

(ii) Cellulose fibers or cork; 

(iii) Corn cobs; 

(iv) Chicken, duck, or other bird feathers. 

(2) Mineral compounds— 

(i) Volcanic ash or perlite; 

(ii) Vermiculite or zeolite. 

(3) Synthetic products— 

(i) Polypropylene; 

(ii) Polyethylene; 

(iii) Polyurethane; 

(iv) Polyester. 

Source control action is the construction or installation and start-up of those actions necessary to 

prevent the continued release of hazardous substances or pollutants or contaminants (primarily from a 

source on top of or within the ground, or in buildings or other structures) into the environment. 

Source control maintenance measures are those measures intended to maintain the effectiveness of 

source control actions once such actions are operating and functioning properly, such as the 

maintenance of landfill caps and leachate collection systems. 

Specified ports and harbors means those ports and harbor areas on inland rivers, and land areas 

immediately adjacent to those waters, where the USCG acts as predesignated on-scene coordinator. 

Precise locations are determined by EPA/USCG regional agreements and identified in federal Regional 

Contingency Plans and Area Contingency Plans. 

Spill of national significance (SONS) means a spill that due to its severity, size, location, actual or 

potential impact on the public health and welfare or the environment, or the necessary response effort, is 

so complex that it requires extraordinary coordination of federal, state, local, and responsible party 

resources to contain and clean up the discharge. 

State means the several states of the United States, the District of Columbia, the Commonwealth of 

Puerto Rico, Guam, American Samoa, the U.S. Virgin Islands, the Commonwealth of the Northern 

Marianas, and any other territory or possession over which the United States has jurisdiction. For 

purposes of the NCP, the term includes Indian tribes as defined in the NCP except where specifically 

noted. Section 126 of CERCLA provides that the governing body of an Indian tribe shall be afforded 

substantially the same treatment as a state with respect to certain provisions of CERCLA. Section 

300.515(b) of the NCP describes the requirements pertaining to Indian tribes that wish to be treated as 

states under CERCLA. 

Superfund Memorandum of Agreement (SMOA) means a nonbinding, written document executed by an 

EPA Regional Administrator and the head of a state agency that may establish the nature and extent of 

EPA and state interaction during the removal, pre-remedial, remedial, and/or enforcement response 

process. The SMOA is not a site-specific document although attachments may address specific sites. 

The SMOA generally defines the role and responsibilities of both the lead and the support agencies. 

Superfund state contract is a joint, legally binding agreement between EPA and a state to obtain the 

necessary assurances before a federal-lead remedial action can begin at a site. In the case of a political 

subdivision-lead remedial response, a three-party Superfund state contract among EPA, the state, and 

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political subdivision thereof, is required before a political subdivision takes the lead for any phase of 

remedial response to ensure state involvement pursuant to section 121(f)(1) of CERCLA. The Superfund 

state contract may be amended to provide the state's CERCLA section 104 assurances before a political 

subdivision can take the lead for remedial action. 

Support agency means the agency or agencies that provide the support agency coordinator to furnish 

necessary data to the lead agency, review response data and documents, and provide other assistance 

as requested by the OSC or RPM. EPA, the USCG, another federal agency, or a state may be support 

agencies for a response action if operating pursuant to a contract executed under section 104(d)(1) of 

CERCLA or designated pursuant to a Superfund Memorandum of Agreement entered into pursuant to 

subpart F of the NCP or other agreement. The support agency may also concur on decision documents. 

Support agency coordinator (SAC) means the official designated by the support agency, as appropriate, 

to interact and coordinate with the lead agency in response actions under subpart E of this part. 

Surface collecting agents means those chemical agents that form a surface film to control the layer 

thickness of oil. 

Surface washing agent is any product that removes oil from solid surfaces, such as beaches and rocks, 

through a detergency mechanism and does not involve dispersing or solubilizing the oil into the water 

column. 

Tank vessel as defined by section 1001 of the OPA means a vessel that is constructed or adapted to 

carry, or that carries oil or hazardous material in bulk as cargo or cargo residue, and that: 

(1) is a vessel of the United States; 

(2) operates on the navigable waters; or 

(3) transfers oil or hazardous material in a place subject to the jurisdiction of the United States. 

Threat of discharge or release, see definitions for discharge and release. 

Threat of release, see definition for release. 

Treatment technology means any unit operation or series of unit operations that alters the composition 

of a hazardous substance or pollutant or contaminant through chemical, biological, or physical means so 

as to reduce toxicity, mobility, or volume of the contaminated materials being treated. Treatment 

technologies are an alternative to land disposal of hazardous wastes without treatment. 

Trustee means an official of a federal natural resources management agency designated in subpart G of 

the NCP or a designated state official or Indian tribe or, in the case of discharges covered by the OPA, a 

foreign government official, who may pursue claims for damages under section 107(f) of CERCLA or 

section 1006 of the OPA. 

United States when used in relation to section 311(a)(5) of the CWA, means the states, the District of 

Columbia, the Commonwealth of Puerto Rico, the Northern Mariana Islands, Guam, American Samoa, 

the United States Virgin Islands, and the Pacific Island Governments. United States, when used in 

relation to section 101(27) of CERCLA and section 1001(36) of the OPA, includes the several states of 

the United States, the District of Columbia, the Commonwealth of Puerto Rico, Guam, American Samoa, 

the United States Virgin Islands, the Commonwealth of the Northern Marianas, and any other territory or 

possession over which the United States has jurisdiction. 

Vessel as defined by section 101(28) of CERCLA, means every description of watercraft or other 

artificial contrivance used, or capable of being used, as a means of transportation on water; and, as 

defined by section 311(a)(3) of the CWA, means every description of watercraft or other artificial 

contrivance used, or capable of being used, as a means of transportation on water other than a public 

vessel. 

Volunteer means any individual accepted to perform services by the lead agency which has authority to 

accept volunteer services (examples: See 16 U.S.C. 742f(c)). A volunteer is subject to the provisions of 

the authorizing statute and the NCP. 

Worst case discharge as defined by section 311(a)(24) of the CWA, means, in the case of a vessel, a 

discharge in adverse weather conditions of its entire cargo, and, in the case of an offshore facility or 

onshore facility, the largest foreseeable discharge in adverse weather conditions. 

59 FR 47416, Sept. 15, 1994, as amended at 60 FR 16054, March 29, 1995] 

§ 300.6 Use of number and gender. 

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As used in this regulation, words in the singular also include the plural and words in the masculine 

gender also include the feminine and vice versa, as the case may require. 

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§ 300.7 Computation of time. 

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In computing any period of time prescribed or allowed in these rules of practice, except as otherwise 

provided, the day of the event from which the designated period begins to run shall not be included. 

Saturdays, Sundays, and federal legal holidays shall be included. When a stated time expires on a 

Saturday, Sunday, or legal holiday, the stated time period shall be extended to include the next business 

day. 

Subpart B—Responsibility and Organization for Response 

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Source: 59 FR 47424, Sept. 15, 1994, unless otherwise noted. 

§ 300.100 Duties of President delegated to federal agencies. 

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In Executive Orders 12580 and 12777, the President delegated certain functions and responsibilities 

vested in him by the CWA, CERCLA, and the OPA. 

§ 300.105 General organization concepts. 

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(a) Federal agencies should: 

(1) Plan for emergencies and develop procedures for addressing oil discharges and releases of 

hazardous substances, pollutants, or contaminants; 

(2) Coordinate their planning, preparedness, and response activities with one another; 

(3) Coordinate their planning, preparedness, and response activities with affected states, local 

governments, and private entities; and 

(4) Make available those facilities or resources that may be useful in a response situation, consistent 

with agency authorities and capabilities. 

(b) Three fundamental kinds of activities are performed pursuant to the NCP: 

(1) Preparedness planning and coordination for response to a discharge of oil or release of a hazardous 

substance, pollutant, or contaminant; 

(2) Notification and communications; and 

(3) Response operations at the scene of a discharge or release. 

(c) The organizational elements created to perform these activities are: 

(1) The NRT, responsible for national response and preparedness planning, for coordinating regional 

planning, and for providing policy guidance and support to the Regional Response Teams (RRTs). NRT 

membership consists of representatives from the agencies specified in §300.175(b). 

(2) RRTs, responsible for regional planning and preparedness activities before response actions, and for 

providing advice and support to the OSC or RPM when activated during a response. RRT membership 

consists of designated representatives from each federal agency participating in the NRT together with 

state and (as agreed upon by the states) local government representatives. 

(3) The OSC and the RPM, primarily responsible for directing response efforts and coordinating all other 

efforts at the scene of a discharge or release. The other responsibilities of OSCs and RPMs are 

described in §300.135. 

(4) Area Committees, responsible for developing, under direction of the OSC, ACPs for each area 

designated by the President. Responsibilities of Area Committees are described in §300.205(c). 

(d) The basic framework for the response management structure is a system (e.g., a unified command 

system) that brings together the functions of the Federal Government, the state government, and the 

responsible party to achieve an effective and efficient response, where the OSC maintains authority. 

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(e)(1) The organizational concepts of the national response system are depicted in the following Figures 

1a and 1b: 

View or download PDF 

 

View or download PDF 

(2) The standard federal regional boundaries (which are also the geographic areas of responsibility for 

the RRTs) are shown in the following Figure 2: 

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View or download PDF 

(3) The USCG District boundaries are shown in the following Figure 3: 

View or download PDF 

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[59 FR 47424, Sept. 15, 1994, as amended at 72 FR 31753, June 8, 2007] 

§ 300.110 National Response Team. 

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National planning and coordination is accomplished through the NRT. 

(a) The NRT consists of representatives from the agencies named in §300.175(b). Each agency shall 

designate a member to the team and sufficient alternates to ensure representation, as agency resources 

permit. The NRT will consider requests for membership on the NRT from other agencies. Other 

agencies may request membership by forwarding such requests to the chair of the NRT. 

(b) The chair of the NRT shall be the representative of EPA and the vice chair shall be the 

representative of the USCG, with the exception of periods of activation because of response action. 

During activation, the chair shall be the member agency providing the OSC/RPM. The vice chair shall 

maintain records of NRT activities along with national, regional, and area plans for response actions. 

(c) While the NRT desires to achieve a consensus on all matters brought before it, certain matters may 

prove unresolvable by this means. In such cases, each agency serving as a participating agency on the 

NRT may be accorded one vote in NRT proceedings. 

(d) The NRT may establish such bylaws and committees as it deems appropriate to further the purposes 

for which it is established. 

(e) The NRT shall evaluate methods of responding to discharges or releases; shall recommend any 

changes needed in the response organization; and shall recommend to the Administrator of EPA 

changes to the NCP designed to improve the effectiveness of the national response system, including 

drafting of regulatory language. 

(f) The NRT shall provide policy and program direction to the RRTs. 

(g) The NRT may consider and make recommendations to appropriate agencies on the training, 

equipping, and protection of response teams and necessary research, development, demonstration, and 

evaluation to improve response capabilities. 

(h) Direct planning and preparedness responsibilities of the NRT include: 

(1) Maintaining national preparedness to respond to a major discharge of oil or release of a hazardous 

substance, pollutant, or contaminant that is beyond regional capabilities; 

(2) Publishing guidance documents for preparation and implementation of SARA Title III local 

emergency response plans; 

(3) Monitoring incoming reports from all RRTs and activating for a response action, when necessary; 

(4) Coordinating a national program to assist member agencies in preparedness planning and response, 

and enhancing coordination of member agency preparedness programs; 

(5) Developing procedures, in coordination with the NSFCC, as appropriate, to ensure the coordination 

of federal, state, and local governments, and private response to oil discharges and releases of 

hazardous substances, pollutants, or contaminants; 

(6) Monitoring response-related research and development, testing, and evaluation activities of NRT 

agencies to enhance coordination, avoid duplication of effort, and facilitate research in support of 

response activities; 

(7) Developing recommendations for response training and for enhancing the coordination of available 

resources among agencies with training responsibilities under the NCP; 

(8) Reviewing regional responses to oil discharges and hazardous substance, pollutant, or contaminant 

releases, including an evaluation of equipment readiness and coordination among responsible public 

agencies and private organizations; and 

(9) Assisting in developing a national exercise program, in coordination with the NSFCC, to ensure 

preparedness and coordination nationwide. 

(i) The NRT will consider matters referred to it for advice or resolution by an RRT. 

(j) The NRT should be activated as an emergency response team: 

(1) When an oil discharge or hazardous substance release: 

(i) Exceeds the response capability of the region in which it occurs; 

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(ii) Transects regional boundaries; or 

(iii) Involves a substantial threat to the public health or welfare of the United States or the environment, 

substantial amounts of property, or substantial threats to natural resources; 

(2) If requested by any NRT member. 

(k) When activated for a response action, the NRT shall meet at the call of the chair and may: 

(1) Monitor and evaluate reports from the OSC/RPM and recommend to the OSC/RPM, through the 

RRT, actions to combat the discharge or release; 

(2) Request other federal, state, and local governments, or private agencies, to provide resources under 

their existing authorities to combat a discharge or release, or to monitor response operations; and 

(3) Coordinate the supply of equipment, personnel, or technical advice to the affected region from other 

regions or districts. 

§ 300.115 Regional Response Teams. 

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(a) Regional planning and coordination of preparedness and response actions is accomplished through 

the RRT. In the case of a discharge of oil, preparedness activities will be carried out in conjunction with 

Area Committees, as appropriate. The RRT agency membership parallels that of the NRT, as described 

in §300.110, but also includes state and local representation. The RRT provides: 

(1) The appropriate regional mechanism for development and coordination of preparedness activities 

before a response action is taken and for coordination of assistance and advice to the OSC/RPM during 

such response actions; and 

(2) Guidance to Area Committees, as appropriate, to ensure inter-area consistency and consistency of 

individual ACPs with the RCP and NCP. 

(b) The two principal components of the RRT mechanism are a standing team, which consists of 

designated representatives from each participating federal agency, state governments, and local 

governments (as agreed upon by the states); and incident-specific teams formed from the standing team 

when the RRT is activated for a response. On incident-specific teams, participation by the RRT member 

agencies will relate to the technical nature of the incident and its geographic location. 

(1) The standing team's jurisdiction corresponds to the standard federal regions, except for Alaska, 

Oceania in the Pacific, and the Caribbean area, each of which has a separate standing RRT. The role of 

the standing RRT includes communications systems and procedures, planning, coordination, training, 

evaluation, preparedness, and related matters on a regionwide basis. It also includes coordination of 

Area Committees for these functions in areas within their respective regions, as appropriate. 

(2) The role of the incident-specific team is determined by the operational requirements of the response 

to a specific discharge or release. Appropriate levels of activation and/or notification of the incidentspecific RRT, including participation by state and local governments, shall be determined by the 

designated RRT chair for the incident, based on the RCP. The incident-specific RRT supports the 

designated OSC/RPM. The designated OSC/RPM directs response efforts and coordinates all other 

efforts at the scene of a discharge or release. 

(c) The representatives of EPA and the USCG shall act as co-chairs of RRTs except when the RRT is 

activated. When the RRT is activated for response actions, the chair shall be the member agency 

providing the OSC/RPM. 

(d) Each participating agency should designate one member and at least one alternate member to the 

RRT. Agencies whose regional subdivisions do not correspond to the standard federal regions may 

designate additional representatives to the standing RRT to ensure appropriate coverage of the 

standard federal region. Participating states may also designate one member and at least one alternate 

member to the RRT. Indian tribal governments may arrange for representation with the RRT appropriate 

to their geographical location. All agencies and states may also provide additional representatives as 

observers to meetings of the RRT. 

(e) RRT members should designate representatives and alternates from their agencies as resource 

personnel for RRT activities, including RRT work planning, and membership on incident-specific teams 

in support of the OSCs/RPMs. 

(f) Federal RRT members or their representatives should provide OSCs/RPMs with assistance from their 

respective federal agencies commensurate with agency responsibilities, resources, and capabilities 

within the region. During a response action, the members of the RRT should seek to make available the 

resources of their agencies to the OSC/RPM as specified in the RCP and ACP. 

(g) RRT members should nominate appropriately qualified representatives from their agencies to work 

with OSCs in developing and maintaining ACPs. 

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(h) Affected states are encouraged to participate actively in all RRT activities. Each state governor is 

requested to assign an office or agency to represent the state on the appropriate RRT; to designate 

representatives to work with the RRT in developing RCPs; to plan for, make available, and coordinate 

state resources; and to serve as the contact point for coordination of response with local government 

agencies, whether or not represented on the RRT. The state's RRT representative should keep the 

State Emergency Response Commission (SERC), described in §300.205(d), apprised of RRT activities 

and coordinate RRT activities with the SERC. Local governments are invited to participate in activities 

on the appropriate RRT as provided by state law or as arranged by the state's representative. Indian 

tribes are also invited to participate in such activities. 

(i) The standing RRT shall recommend changes in the regional response organization as needed, revise 

the RCP as needed, evaluate the preparedness of the participating agencies and the effectiveness of 

ACPs for the federal response to discharges and releases, and provide technical assistance for 

preparedness to the response community. The RRT should: 

(1) Review and comment, to the extent practicable, on local emergency response plans or other issues 

related to the preparation, implementation, or exercise of such plans upon request of a local emergency 

planning committee; 

(2) Evaluate regional and local responses to discharges or releases on a continuing basis, considering 

available legal remedies, equipment readiness, and coordination among responsible public agencies 

and private organizations, and recommend improvements; 

(3) Recommend revisions of the NCP to the NRT, based on observations of response operations; 

(4) Review OSC actions to ensure that RCPs and ACPs are effective; 

(5) Encourage the state and local response community to improve its preparedness for response; 

(6) In coordination with Area Committees and in accordance with any applicable laws, regulations, or 

requirements, conduct advance planning for use of dispersants, surface washing agents, surface 

collecting agents, burning agents, bioremediation agents, or other chemical agents in accordance with 

subpart J of this part; 

(7) Be prepared to provide response resources to major discharges or releases outside the region; 

(8) Conduct or participate in training and exercises as necessary to encourage preparedness activities of 

the response community within the region; 

(9) Meet at least semiannually to review response actions carried out during the preceding period, 

consider changes in RCPs, and recommend changes in ACPs; 

(10) Provide letter reports on RRT activities to the NRT twice a year, no later than January 31 and July 

31. At a minimum, reports should summarize recent activities, organizational changes, operational 

concerns, and efforts to improve state and local coordination; and 

(11) Ensure maximum participation in the national exercise program for announced and unannounced 

exercises. 

(j)(1) The RRT may be activated by the chair as an incident-specific response team when a discharge or 

release: 

(i) Exceeds the response capability available to the OSC/RPM in the place where it occurs; 

(ii) Transects state boundaries; 

(iii) May pose a substantial threat to the public health or welfare of the United States or the environment, 

or to regionally significant amounts of property; or 

(iv) Is a worst case discharge, as described in §300.324. RCPs shall specify detailed criteria for 

activation of RRTs. 

(2) The RRT will be activated during any discharge or release upon a request from the OSC/RPM, or 

from any RRT representative, to the chair of the RRT. Requests for RRT activation shall later be 

confirmed in writing. Each representative, or an appropriate alternate, should be notified immediately 

when the RRT is activated. 

(3) During prolonged removal or remedial action, the RRT may not need to be activated or may need to 

be activated only in a limited sense, or may need to have available only those member agencies of the 

RRT who are directly affected or who can provide direct response assistance. 

(4) When the RRT is activated for a discharge or release, agency representatives shall meet at the call 

of the chair and may: 

(i) Monitor and evaluate reports from the OSC/RPM, advise the OSC/RPM on the duration and extent of 

response, and recommend to the OSC/RPM specific actions to respond to the discharge or release; 

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(ii) Request other federal, state, or local governments, or private agencies, to provide resources under 

their existing authorities to respond to a discharge or release or to monitor response operations; 

(iii) Help the OSC/RPM prepare information releases for the public and for communication with the NRT; 

(iv) If the circumstances warrant, make recommendations to the regional or district head of the agency 

providing the OSC/RPM that a different OSC/RPM should be designated; and 

(v) Submit pollution reports to the NRC as significant developments occur. 

(5) At the regional level, a Regional Response Center (RRC) may provide facilities and personnel for 

communications, information storage, and other requirements for coordinating response. The location of 

each RRC should be provided in the RCP. 

(6) When the RRT is activated, affected states may participate in all RRT deliberations. State 

government representatives participating in the RRT have the same status as any federal member of the 

RRT. 

(7) The RRT can be deactivated when the incident-specific RRT chair determines that the OSC/RPM no 

longer requires RRT assistance. 

(8) Notification of the RRT may be appropriate when full activation is not necessary, with systematic 

communication of pollution reports or other means to keep RRT members informed as to actions of 

potential concern to a particular agency, or to assist in later RRT evaluation of regionwide response 

effectiveness. 

(k) Whenever there is insufficient national policy guidance on a matter before the RRT, a technical 

matter requiring solution, a question concerning interpretation of the NCP, or a disagreement on 

discretionary actions among RRT members that cannot be resolved at the regional level, it may be 

referred to the NRT, described in §300.110, for advice. 

§ 300.120 On-scene coordinators and remedial project managers: general 

responsibilities. 

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(a) The OSC/RPM directs response efforts and coordinates all other efforts at the scene of a discharge 

or release. As part of the planning and preparedness for response, OSCs shall be predesignated by the 

regional or district head of the lead agency. EPA and the USCG shall predesignate OSCs for all areas in 

each region, except as provided in paragraphs (c) and (d) of this section. RPMs shall be assigned by the 

lead agency to manage remedial or other response actions at NPL sites, except as provided in 

paragraphs (c) and (d) of this section. 

(1) The USCG shall provide OSCs for oil discharges, including discharges from facilities and vessels 

under the jurisdiction of another federal agency, within or threatening the coastal zone. The USCG shall 

also provide OSCs for the removal of releases of hazardous substances, pollutants, or contaminants into 

or threatening the coastal zone, except as provided in paragraph (b) of this section. The USCG shall not 

provide predesignated OSCs for discharges or releases from hazardous waste management facilities or 

in similarly chronic incidents. The USCG shall provide an initial response to discharges or releases from 

hazardous waste management facilities within the coastal zone in accordance with Department of 

Transportation (DOT)/EPA Instrument of Redelegation (May 27, 1988) except as provided by paragraph 

(b) of this section. The USCG OSC shall contact the cognizant RPM as soon as it is evident that a 

removal may require a follow-up remedial action, to ensure that the required planning can be initiated 

and an orderly transition to an EPA or state lead can occur. 

(2) EPA shall provide OSCs for discharges or releases into or threatening the inland zone and shall 

provide RPMs for federally funded remedial actions, except in the case of state-lead federally funded 

response and as provided in paragraph (b) of this section. EPA will also assume all remedial actions at 

NPL sites in the coastal zone, even where removals are initiated by the USCG, except as provided in 

paragraph (b) of this section. 

(b) In general, USCG Captains of the Port (COTP) shall serve as the designated OSCs for areas in the 

coastal zone for which an ACP is required under CWA section 311(j) and EPA Regional Administrators 

shall designate OSCs for areas in the inland zone for which an ACP is required under CWA section 311

(j). 

(c) For releases of hazardous substances, pollutants, or contaminants, when the release is on, or the 

sole source of the release is from, any facility or vessel, including vessels bareboat-chartered and 

operated, under the jurisdiction, custody, or control of DOD, DOE, or other federal agency: 

(1) In the case of DOD or DOE, DOD or DOE shall provide OSCs/RPMs responsible for taking all 

response actions; and 

(2) In the case of a federal agency other than EPA, DOD, or DOE, such agency shall provide OSCs for 

all removal actions that are not emergencies and shall provide RPMs for all remedial actions. 

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(d) DOD will be the removal response authority with respect to incidents involving DOD military weapons 

and munitions or weapons and munitions under the jurisdiction, custody, or control of DOD. 

(e) The OSC is responsible for overseeing development of the ACP in the area of the OSC's 

responsibility. ACPs shall, as appropriate, be accomplished in cooperation with the RRT, and designated 

state and local representatives. In contingency planning and removal, the OSC coordinates, directs, and 

reviews the work of other agencies, Area Committees, responsible parties, and contractors to assure 

compliance with the NCP, decision document, consent decree, administrative order, and lead agencyapproved plans applicable to the response. 

(f) The RPM is the prime contact for remedial or other response actions being taken (or needed) at sites 

on the proposed or promulgated NPL, and for sites not on the NPL but under the jurisdiction, custody, or 

control of a federal agency. The RPM's responsibilities include: 

(1) Fund-financed response: The RPM coordinates, directs, and reviews the work of EPA, states and 

local governments, the U.S. Army Corps of Engineers, and all other agencies and contractors to assure 

compliance with the NCP. Based upon the reports of these parties, the RPM recommends action for 

decisions by lead agency officials. The RPM's period of responsibility begins prior to initiation of the 

remedial investigation/feasibility study (RI/FS), described in §300.430, and continues through design, 

remedial action, deletion of the site from the NPL, and the CERCLA cost recovery activity. When a 

removal and remedial action occur at the same site, the OSC and RPM should coordinate to ensure an 

orderly transition of responsibility. 

(2) Federal-lead non-Fund-financed response: The RPM coordinates, directs, and reviews the work of 

other agencies, responsible parties, and contractors to assure compliance with the NCP, Record of 

Decision (ROD), consent decree, administrative order, and lead agency-approved plans applicable to 

the response. Based upon the reports of these parties, the RPM shall recommend action for decisions 

by lead agency officials. The RPM's period of responsibility begins prior to initiation of the RI/FS, 

described in §300.430, and continues through design and remedial action and the CERCLA cost 

recovery activity. The OSC and RPM shall ensure orderly transition of responsibilities from one to the 

other. 

(3) The RPM shall participate in all decision-making processes necessary to ensure compliance with the 

NCP, including, as appropriate, agreements between EPA or other federal agencies and the state. The 

RPM may also review responses where EPA has preauthorized a person to file a claim for 

reimbursement to determine that the response was consistent with the terms of such preauthorization in 

cases where claims are filed for reimbursement. 

(g)(1) Where a support agency has been identified through a cooperative agreement, Superfund 

Memorandum of Agreement (SMOA), or other agreement, that agency may designate a support agency 

coordinator (SAC) to provide assistance, as requested, by the OSC/RPM. The SAC is the prime 

representative of the support agency for response actions. 

(2) The SAC's responsibilities may include: 

(i) Providing and reviewing data and documents as requested by the OSC/RPM during the planning, 

design, and cleanup activities of the response action; and 

(ii) Providing other assistance as requested. 

(h)(1) The lead agency should provide appropriate training for its OSCs, RPMs, and other response 

personnel to carry out their responsibilities under the NCP. 

(2) OSCs/RPMs should ensure that persons designated to act as their on-scene representatives are 

adequately trained and prepared to carry out actions under the NCP, to the extent practicable. 

§ 300.125 Notification and communications. 

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(a) The National Response Center (NRC), located at USCG Headquarters, is the national 

communications center, continuously manned for handling activities related to response actions. The 

NRC acts as the single point of contact for all pollution incident reporting, and as the NRT 

communications center. Notice of discharges and releases must be made telephonically through a toll 

free number or a special local number (Telecommunication Device for the Deaf (TDD) and collect calls 

accepted). (Notification details appear in §§300.300 and 300.405.) The NRC receives and immediately 

relays telephone notices of discharges or releases to the appropriate predesignated federal OSC. The 

telephone report is distributed to any interested NRT member agency or federal entity that has 

established a written agreement or understanding with the NRC. The NRC evaluates incoming 

information and immediately advises FEMA of a potential major disaster situation. 

(b) The Commandant, USCG, in conjunction with other NRT agencies, shall provide the necessary 

personnel, communications, plotting facilities, and equipment for the NRC. 

(c) Notice of an oil discharge or release of a hazardous substance in an amount equal to or greater than 

the reportable quantity must be made immediately in accordance with 33 CFR part 153, subpart B, and 

40 CFR part 302, respectively. Notification shall be made to the NRC Duty Officer, HQ USCG, 

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Washington, DC, telephone (800) 424–8802 or (202) 267–2675. All notices of discharges or releases 

received at the NRC will be relayed immediately by telephone to the OSC. 

§ 300.130 Determinations to initiate response and special conditions. 

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(a) In accordance with CWA and CERCLA, the Administrator of EPA or the Secretary of the department 

in which the USCG is operating, as appropriate, is authorized to act for the United States to take 

response measures deemed necessary to protect the public health or welfare or environment from 

discharges of oil or releases of hazardous substances, pollutants, or contaminants except with respect 

to such releases on or from vessels or facilities under the jurisdiction, custody, or control of other federal 

agencies. 

(b) The Administrator of EPA or the Secretary of the department in which the USCG is operating, as 

appropriate, is authorized to initiate and, in the case of a discharge posing a substantial threat to public 

health or welfare of the United States is required to initiate and direct, appropriate response activities 

when the Administrator or Secretary determines that any oil or CWA hazardous substance is discharged 

or there is a substantial threat of such discharge from any vessel or offshore or onshore facility into or on 

the navigable waters of the United States, on the adjoining shorelines to the navigable waters, into or on 

the waters of the exclusive economic zone, or that may affect natural resources belonging to, 

appertaining to, or under exclusive management authority of the United States; or 

(c) The Administrator of EPA or the Secretary of the department in which the USCG is operating, as 

appropriate, is authorized to initiate appropriate response activities when the Administrator or Secretary 

determines that any hazardous substance is released or there is a threat of such a release into the 

environment, or there is a release or threat of release into the environment of any pollutant or 

contaminant which may present an imminent and substantial danger to the public health or welfare of 

the United States. 

(d) In addition to any actions taken by a state or local government, the Administrator of EPA or the 

Secretary of the department in which the USCG is operating may request the U.S. Attorney General to 

secure the relief from any person, including the owner or operator of the vessel or facility necessary to 

abate a threat or, after notice to the affected state, take any other action authorized by section 311 of the 

CWA or section 106 of CERCLA as appropriate, including issuing administrative orders, that may be 

necessary to protect the public health or welfare, if the Administrator or Secretary determines: 

(1) That there may be an imminent and substantial threat to the public health or welfare of the United 

States or the environment of the United States, including fish, shellfish, and wildlife, public and private 

property, shorelines, beaches, habitats, and other living and nonliving natural resources under the 

jurisdiction or control of the United States, because of an actual or threatened discharge of oil or a CWA 

hazardous substance from any vessel or offshore or onshore facility into or upon the navigable waters of 

the United States; or 

(2) That there may be an imminent and substantial endangerment to the public health or welfare of the 

United States or the environment because of a release of a CERCLA hazardous substance from a 

facility. 

(e) Response actions to remove discharges originating from operations conducted subject to the Outer 

Continental Shelf Lands Act shall be in accordance with the NCP. 

(f) Where appropriate, when a discharge or release involves radioactive materials, the lead or support 

federal agency shall act consistent with the notification and assistance procedures described in the 

appropriate Federal Radiological Plan. For the purpose of the NCP, the FRERP (24 CFR part 2401) is 

the appropriate plan. Most radiological discharges and releases do not result in FRERP activation and 

should be handled in accordance with the NCP. However, releases from nuclear incidents subject to 

requirements for financial protection established by the Nuclear Regulatory Commission under the PriceAnderson amendments (section 170) of the Atomic Energy Act are specifically excluded from CERCLA 

and NCP requirements. 

(g) Removal actions involving nuclear weapons should be conducted in accordance with the joint 

Department of Defense, Department of Energy, and FEMA Agreement for Response to Nuclear 

Incidents and Nuclear Weapons Significant Incidents (January 8, 1981). 

(h) If the situation is beyond the capability of state and local governments and the statutory authority of 

federal agencies, the President may, under the Disaster Relief Act of 1974, act upon a request by the 

governor and declare a major disaster or emergency and appoint a Federal Coordinating Officer (FCO) 

to coordinate all federal disaster assistance activities. In such cases, the OSC/RPM would continue to 

carry out OSC/RPM responsibilities under the NCP, but would coordinate those activities with the FCO 

to ensure consistency with other federal disaster assistance activities. 

(i) In the event of a declaration of a major disaster by the President, the FEMA may activate the Federal 

Response Plan (FRP). A FCO, designated by the President, may implement the FRP and coordinate 

and direct emergency assistance and disaster relief of impacted individuals, business, and public 

services under the Robert T. Stafford Disaster Relief Act. Delivery of federal assistance is facilitated 

through twelve functional annexes to the FRP known as Emergency Support Functions (ESFs). EPA 

coordinates activities under ESF #10—Hazardous Materials, which addresses preparedness and 

response to hazardous materials and oil incidents caused by a natural disaster or other catastrophic 

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event. In such cases, the OSC/RPM should coordinate response activities with the FCO, through the 

incident-specific ESF #10 Chair, to ensure consistency with federal disaster assistance activities. 

§ 300.135 Response operations. 

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(a) The OSC/RPM, consistent with §§300.120 and 300.125, shall direct response efforts and coordinate 

all other efforts at the scene of a discharge or release. As part of the planning and preparation for 

response, the OSCs/RPMs shall be predesignated by the regional or district head of the lead agency. 

(b) The first federal official affiliated with an NRT member agency to arrive at the scene of a discharge or 

release should coordinate activities under the NCP and is authorized to initiate, in consultation with the 

OSC, any necessary actions normally carried out by the OSC until the arrival of the predesignated OSC. 

This official may initiate federal fund-financed actions only as authorized by the OSC or, if the OSC is 

unavailable, the authorized representative of the lead agency. 

(c) The OSC/RPM shall, to the extent practicable, collect pertinent facts about the discharge or release, 

such as its source and cause; the identification of potentially responsible parties; the nature, amount, 

and location of discharged or released materials; the probable direction and time of travel of discharged 

or released materials; whether the discharge is a worst case discharge as discussed in §300.324; the 

pathways to human and environmental exposure; the potential impact on human health, welfare, and 

safety and the environment; whether the discharge or release poses a substantial threat to the public 

health or welfare of the United States as discussed in §300.322; the potential impact on natural 

resources and property which may be affected; priorities for protecting human health and welfare and 

the environment; and appropriate cost documentation. 

(d) The OSC's/RPM's efforts shall be coordinated with other appropriate federal, state, local, and private 

response agencies. OSCs/RPMs may designate capable persons from federal, state, or local agencies 

to act as their on-scene representatives. State and local governments, however, are not authorized to 

take actions under subparts D and E of the NCP that involve expenditures of the Oil Spill Liability Trust 

Fund or CERCLA funds unless an appropriate contract or cooperative agreement has been established. 

The basic framework for the response management structure is a system (e.g., a unified command 

system), that brings together the functions of the federal government, the state government, and the 

responsible party to achieve an effective and efficient response, where the OSC maintains authority. 

(e) The OSC/RPM should consult regularly with the RRT and NSFCC, as appropriate, in carrying out the 

NCP and keep the RRT and NSFCC, as appropriate, informed of activities under the NCP. 

(f) The OSC/RPM shall advise the support agency as promptly as possible of reported releases. 

(g) The OSC/RPM should evaluate incoming information and immediately advise FEMA of potential 

major disaster situations. 

(h) In those instances where a possible public health emergency exists, the OSC/RPM should notify the 

Department of Health and Human Services (HHS) representative to the RRT. Throughout response 

actions, the OSC/RPM may call upon the HHS representative for assistance in determining public health 

threats and call upon the Occupational Safety and Health Administration (OSHA) and HHS for 

assistance on worker health and safety issues. 

(i) All federal agencies should plan for emergencies and develop procedures for dealing with oil 

discharges and releases of hazardous substances, pollutants, or contaminants from vessels and 

facilities under their jurisdiction. All federal agencies, therefore, are responsible for designating the office 

that coordinates response to such incidents in accordance with the NCP and applicable federal 

regulations and guidelines. 

(j)(1) The OSC/RPM shall ensure that the trustees for natural resources are promptly notified of 

discharges or releases. 

(2) The OSC or RPM shall coordinate all response activities with the affected natural resource trustees 

and, for discharges of oil, the OSC shall consult with the affected trustees on the appropriate removal 

action to be taken. 

(k) Where the OSC/RPM becomes aware that a discharge or release may affect any endangered or 

threatened species or their habitat, the OSC/RPM shall consult with the Department of Interior (DOI), or 

the Department of Commerce (DOC) (NOAA) and, if appropriate, the cognizant federal land managing 

agency. 

(l) The OSC/RPM is responsible for addressing worker health and safety concerns at a response scene, 

in accordance with §300.150. 

(m) The OSC shall submit pollution reports to the RRT and other appropriate agencies as significant 

developments occur during response actions, through communications networks or procedures agreed 

to by the RRT and covered in the RCP. 

(n) OSCs/RPMs should ensure that all appropriate public and private interests are kept informed and 

that their concerns are considered throughout a response, to the extent practicable, consistent with the 

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requirements of §300.155 of this part. 

§ 300.140 Multi-regional responses. 

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(a) If a discharge or release moves from the area covered by one ACP or RCP into another area, the 

authority for response actions should likewise shift. If a discharge or release affects areas covered by 

two or more ACPs or RCPs, the response mechanisms of each applicable plan may be activated. In this 

case, response actions of all regions concerned shall be fully coordinated as detailed in the RCPs and 

ACPs. 

(b) There shall be only one OSC and/or RPM at any time during the course of a response operation. 

Should a discharge or release affect two or more areas, EPA, the USCG, DOD, DOE, or other lead 

agency, as appropriate, shall give prime consideration to the area vulnerable to the greatest threat, in 

determining which agency should provide the OSC and/or RPM. The RRT shall designate the OSC 

and/or RPM if the RRT member agencies who have response authority within the affected areas are 

unable to agree on the designation. The NRT shall designate the OSC and/or RPM if members of one 

RRT or two adjacent RRTs are unable to agree on the designation. 

(c) Where the USCG has initially provided the OSC for response to a release from hazardous waste 

management facilities located in the coastal zone, responsibility for response action shall shift to EPA or 

another federal agency, as appropriate. 

§ 300.145 Special teams and other assistance available to OSCs/RPMs. 

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(a) The NSF is a special team established by the USCG, including the three USCG Strike Teams, the 

Public Information Assist Team (PIAT), and the NSFCC. The NSF is available to assist OSCs/RPMs in 

their preparedness and response duties. 

(1) The three Strike Teams (Atlantic, Gulf, and Pacific) provide trained personnel and specialized 

equipment to assist the OSC in training for spill response, stabilizing and containing the spill, and in 

monitoring or directing the response actions of the responsible parties and/or contractors. The OSC has 

a specific team designated for initial contact and may contact that team directly for any assistance. 

(2) The NSFCC can provide the following support to the OSC: 

(i) Technical assistance, equipment and other resources to augment the OSC staff during spill response. 

(ii) Assistance in coordinating the use of private and public resources in support of the OSC during a 

response to or a threat of a worst case discharge of oil. 

(iii) Review of the area contingency plan, including an evaluation of equipment readiness and 

coordination among responsible public agencies and private organizations. 

(iv) Assistance in locating spill response resources for both response and planning, using the NSFCC's 

national and international computerized inventory of spill response resources. 

(v) Coordination and evaluation of pollution response exercises. 

(vi) Inspection of district prepositioned pollution response equipment. 

(3) PIAT is an element of the NSFCC staff which is available to assist OSCs to meet the demands for 

public information during a response or exercise. Its use is encouraged any time the OSC requires 

outside public affairs support. Requests for PIAT assistance may be made through the NSFCC or NRC. 

(b)(1) The Environmental Response Team (ERT) is established by EPA in accordance with its disaster 

and emergency responsibilities. The ERT has expertise in treatment technology, biology, chemistry, 

hydrology, geology, and engineering. 

(2) The ERT can provide access to special decontamination equipment for chemical releases and advice 

to the OSC/RPM in hazard evaluation; risk assessment; multimedia sampling and analysis program; onsite safety, including development and implementation plans; cleanup techniques and priorities; water 

supply decontamination and protection; application of dispersants; environmental assessment; degree of 

cleanup required; and disposal of contaminated material. 

(3) The ERT also provides both introductory and intermediate level training courses to prepare response 

personnel. 

(4) OSC/RPM or RRT requests for ERT support should be made to the EPA representative on the RRT; 

EPA Headquarters, Director, Emergency Response Division; or the appropriate EPA regional 

emergency coordinator. 

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(c) Scientific Support Coordinators (SSCs) may be designated by the OSC (and RPM in the case of EPA 

SSCs) as the principal advisors for scientific issues, communication with the scientific community, and 

coordination of requests for assistance from state and federal agencies regarding scientific studies. The 

SSC strives for a consensus on scientific issues affecting the response, but ensures that differing 

opinions within the community are communicated to the OSC/RPM. 

(1) Generally, SSCs are provided by NOAA in the coastal zones, and by EPA in the inland zone. 

OSC/RPM requests for SSC support can be made directly to the SSC assigned to the area or to the 

agency member of the RRT. NOAA SSCs can also be requested through NOAA's SSC program office in 

Seattle, WA. NOAA SSCs are assigned to USCG Districts and are supported by a scientific support 

team that includes expertise in environmental chemistry, oil slick tracking, pollutant transport modeling, 

natural resources at risk, environmental tradeoffs of countermeasures and cleanup, and information 

management. 

(2) During a response, the SSC serves on the federal OSC's/RPM's staff and may, at the request of the 

OSC/RPM, lead the scientific team and be responsible for providing scientific support for operational 

decisions and for coordinating on-scene scientific activity. Depending on the nature and location of the 

incident, the SSC integrates expertise from governmental agencies, universities, community 

representatives, and industry to assist the OSC/RPM in evaluating the hazards and potential effects of 

releases and in developing response strategies. 

(3) At the request of the OSC, the SSC may facilitate the OSC's work with the lead administrative trustee 

for natural resources to ensure coordination between damage assessment data collection efforts and 

data collected in support of response operations. 

(4) SSCs support the Regional Response Teams and the Area Committees in preparing regional and 

area contingency plans and in conducting spill training and exercises. For area plans, the SSC provides 

leadership for the synthesis and integration of environmental information required for spill response 

decisions in support of the OSC. 

(d)(1) SUPSALV has an extensive salvage/search and recovery equipment inventory with the requisite 

knowledge and expertise to support these operations, including specialized salvage, firefighting, and 

petroleum, oil and lubricants offloading capability. 

(2) When possible, SUPSALV will provide equipment for training exercises in support of national and 

regional contingency planning objectives. 

(3) The OSC/RPM may request assistance directly from SUPSALV. Formal requests are routed through 

the Chief of Naval Operations (N312). 

(e) For marine salvage operations, OSCs/RPMs with responsibility for monitoring, evaluating, or 

supervising these activities should request technical assistance from DOD, the Strike Teams, or 

commercial salvors as necessary to ensure that proper actions are taken. Marine salvage operations 

generally fall into five categories: afloat salvage; offshore salvage; river and harbor clearance; cargo 

salvage; and rescue towing. Each category requires different knowledge and specialized types of 

equipment. The complexity of such operations may be further compounded by local environmental and 

geographic conditions. The nature of marine salvage and the conditions under which it occurs combine 

to make such operations imprecise, difficult, hazardous, and expensive. Thus, responsible parties or 

other persons attempting to perform such operations without adequate knowledge, equipment, and 

experience could aggravate, rather than relieve, the situation. 

(f) Radiological Emergency Response Teams (RERTs) have been established by EPA's Office of 

Radiation Programs (ORP) to provide response and support for incidents or sites containing radiological 

hazards. Expertise is available in radiation monitoring, radionuclide analysis, radiation health physics, 

and risk assessment. RERTs can provide on-site support including mobile monitoring laboratories for 

field analyses of samples and fixed laboratories for radiochemical sampling and analyses. Requests for 

support may be made 24 hours a day via the NRC or directly to the EPA Radiological Response 

Coordinator in the Office of Radiation Programs. Assistance is also available from DOE and other 

federal agencies. 

(g)(1) DRGs assist the OSC by providing technical assistance, personnel, and equipment, including prepositioned equipment. Each DRG consists of all Coast Guard personnel and equipment, including 

marine firefighting equipment, in its district, additional pre-positioned equipment, and a District Response 

Advisory Team (DRAT) that is available to provide support to the OSC in the event that a spill exceeds 

local response capabilities. Each DRG: 

(i) Shall provide technical assistance, equipment, and other resources, as available, when requested by 

an OSC through the USCG representative to the RRT; 

(ii) Shall ensure maintenance of all USCG response equipment within its district; 

(iii) May provide technical assistance in the preparation of the ACP; and 

(iv) Shall review each of those plans that affect its area of geographic responsibility. 

(2) In deciding where to locate personnel and pre-positioned equipment, the USCG shall give priority 

emphasis to: 

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(i) The availability of facilities for loading and unloading heavy or bulky equipment by barge; 

(ii) The proximity to an airport capable of supporting large military transport aircraft; 

(iii) The flight time to provide response to oil spills in all areas of the Coast Guard district with the 

potential for marine casualties; 

(iv) The availability of trained local personnel capable of responding in an oil spill emergency; and 

(v) Areas where large quantities of petroleum products are transported. 

(h) The NPFC is responsible for implementing those portions of Title I of the OPA that have been 

delegated to the Secretary of the department in which the Coast Guard is operating. The NPFC is 

responsible for addressing funding issues arising from discharges and threats of discharges of oil. The 

NPFC: 

(1) Issues Certificates of Financial Responsibility to owners and operators of vessels to pay for costs 

and damages that are incurred by their vessels as a result of oil discharges; 

(2) Provides funding for various response organizations for timely abatement and removal actions 

related to oil discharges; 

(3) Provides equitable compensation to claimants who sustain costs and damages from oil discharges 

when the responsible party fails to do so; 

(4) Recovers monies from persons liable for costs and damages resulting from oil discharges to the full 

extent of liability under the law; and 

(5) Provides funds to initiate natural resource damage assessments. 

§ 300.150 Worker health and safety. 

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(a) Response actions under the NCP will comply with the provisions for response action worker safety 

and health in 29 CFR 1910.120. The NRS meets the requirements of 29 CFR 1910.120 concerning use 

of an incident command system. 

(b) In a response action taken by a responsible party, the responsible party must assure that an 

occupational safety and health program consistent with 29 CFR 1910.120 is made available for the 

protection of workers at the response site. 

(c) In a response taken under the NCP by a lead agency, an occupational safety and health program 

should be made available for the protection of workers at the response site, consistent with, and to the 

extent required by, 29 CFR 1910.120. Contracts relating to a response action under the NCP should 

contain assurances that the contractor at the response site will comply with this program and with any 

applicable provisions of the Occupational Safety and Health Act of 1970 (29 U.S.C. 651 et seq.) (OSH 

Act) and state laws with plans approved under section 18 of the OSH Act. 

(d) When a state, or political subdivision of a state, without an OSHA-approved state plan is the lead 

agency for response, the state or political subdivision must comply with standards in 40 CFR part 311, 

promulgated by EPA pursuant to section 126(f) of SARA. 

(e) Requirements, standards, and regulations of the OSH Act and of state OSH laws not directly 

referenced in paragraphs (a) through (d) of this section, must be complied with where applicable. 

Federal OSH Act requirements include, among other things, Construction Standards (29 CFR part 

1926), General Industry Standards (29 CFR part 1910), and the general duty requirement of section 5(a)

(1) of the OSH Act (29 U.S.C. 654(a)(1)). No action by the lead agency with respect to response 

activities under the NCP constitutes an exercise of statutory authority within the meaning of section 4(b)

(1) of the OSH Act. All governmental agencies and private employers are directly responsible for the 

health and safety of their own employees. 

§ 300.155 Public information and community relations. 

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(a) When an incident occurs, it is imperative to give the public prompt, accurate information on the 

nature of the incident and the actions underway to mitigate the damage. OSCs/RPMs and community 

relations personnel should ensure that all appropriate public and private interests are kept informed and 

that their concerns are considered throughout a response. They should coordinate with available public 

affairs/community relations resources to carry out this responsibility by establishing, as appropriate, a 

Joint Information Center bringing together resources from federal and state agencies and the 

responsible party. 

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(b) An on-scene news office may be established to coordinate media relations and to issue official 

federal information on an incident. Whenever possible, it will be headed by a representative of the lead 

agency. The OSC/RPM determines the location of the on-scene news office, but every effort should be 

made to locate it near the scene of the incident. If a participating agency believes public interest 

warrants the issuance of statements and an on-scene news office has not been established, the affected 

agency should recommend its establishment. All federal news releases or statements by participating 

agencies should be cleared through the OSC/RPM. Information dissemination relating to natural 

resource damage assessment activities shall be coordinated through the lead administrative trustee. 

The designated lead administrative trustee may assist the OSC/RPM by disseminating information on 

issues relating to damage assessment activities. Following termination of removal activity, information 

dissemination on damage assessment activities shall be through the lead administrative trustee. 

(c) The community relations requirements specified in §§300.415, 300.430, and 300.435 apply to 

removal, remedial, and enforcement actions and are intended to promote active communication between 

communities affected by discharges or releases and the lead agency responsible for response actions. 

Community Relations Plans (CRPs) are required by EPA for certain response actions. The OSC/RPM 

should ensure coordination with such plans which may be in effect at the scene of a discharge or 

release or which may need to be developed during follow-up activities. 

§ 300.160 Documentation and cost recovery. 

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(a) For releases of a hazardous substance, pollutant, or contaminant, the following provisions apply: 

(1) During all phases of response, the lead agency shall complete and maintain documentation to 

support all actions taken under the NCP and to form the basis for cost recovery. In general, 

documentation shall be sufficient to provide the source and circumstances of the release, the identity of 

responsible parties, the response action taken, accurate accounting of federal, state, or private party 

costs incurred for response actions, and impacts and potential impacts to the public health and welfare 

and the environment. Where applicable, documentation shall state when the NRC received notification 

of a release of a reportable quantity. 

(2) The information and reports obtained by the lead agency for Fund-financed response actions shall, 

as appropriate, be transmitted to the chair of the RRT. Copies can then be forwarded to the NRT, 

members of the RRT, and others as appropriate. 

(3) The lead agency shall make available to the trustees of affected natural resources information and 

documentation that can assist the trustees in the determination of actual or potential natural resource 

injuries. 

(b) For discharges of oil, documentation and cost recovery provisions are described in §300.315. 

(c) Response actions undertaken by the participating agencies shall be carried out under existing 

programs and authorities when available. Federal agencies are to make resources available, expend 

funds, or participate in response to discharges and releases under their existing authority. Interagency 

agreements may be signed when necessary to ensure that the federal resources will be available for a 

timely response to a discharge or release. The ultimate decision as to the appropriateness of expending 

funds rests with the agency that is held accountable for such expenditures. Further funding provisions 

for discharges of oil are described in §300.335. 

(d) The Administrator of EPA and the Administrator of the Agency for Toxic Substances and Disease 

Registry (ATSDR) shall assure that the costs of health assessment or health effect studies conducted 

under the authority of CERCLA section 104(i) are documented in accordance with standard EPA 

procedures for cost recovery. Documentation shall include information on the nature of the hazardous 

substances addressed by the research, information concerning the locations where these substances 

have been found, and any available information on response actions taken concerning these substances 

at the location. 

§ 300.165 OSC reports. 

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(a) As requested by the NRT or RRT, the OSC/RPM shall submit to the NRT or RRT a complete report 

on the removal operation and the actions taken. The RRT shall review the OSC report and send to the 

NRT a copy of the OSC report with its comments or recommendations within 30 days after the RRT has 

received the OSC report. 

(b) The OSC report shall record the situation as it developed, the actions taken, the resources 

committed, and the problems encountered. 

§ 300.170 Federal agency participation. 

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Federal agencies listed in §300.175 have duties established by statute, executive order, or Presidential 

directive which may apply to federal response actions following, or in prevention of, the discharge of oil 

or release of a hazardous substance, pollutant, or contaminant. Some of these agencies also have 

duties relating to the restoration, rehabilitation, replacement, or acquisition of equivalent natural 

resources injured or lost as a result of such discharge or release as described in subpart G of this part. 

The NRT, RRT, and Area Committee organizational structure, and the NCP, RCPs and ACPs, described 

in §300.210, provide for agencies to coordinate with each other in carrying out these duties. 

(a) Federal agencies may be called upon by an OSC/RPM during response planning and 

implementation to provide assistance in their respective areas of expertise, as described in §300.175, 

consistent with the agencies' capabilities and authorities. 

(b) In addition to their general responsibilities, federal agencies should: 

(1) Make necessary information available to the Secretary of the NRT, RRTs, Area Committees, and 

OSCs/RPMs. 

(2) Provide representatives to the NRT and RRTs and otherwise assist RRTs and OSCs, as necessary, 

in formulating RCPs and ACPs. 

(3) Inform the NRT, RRTs, and Area Committees, consistent with national security considerations, of 

changes in the availability of resources that would affect the operations implemented under the NCP. 

(c) All federal agencies are responsible for reporting releases of hazardous substances from facilities or 

vessels under their jurisdiction or control in accordance with section 103 of CERCLA. 

(d) All federal agencies are encouraged to report releases of pollutants or contaminants and must report 

discharges of oil, as required in 40 CFR part 110, from facilities or vessels under their jurisdiction or 

control to the NRC. 

§ 300.175 Federal agencies: additional responsibilities and assistance. 

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(a) During preparedness planning or in an actual response, various federal agencies may be called upon 

to provide assistance in their respective areas of expertise, as indicated in paragraph (b) of this section, 

consistent with agency legal authorities and capabilities. 

(b) The federal agencies include: 

(1) USCG, as provided in 14 U.S.C. 1–3, is an agency in DOT, except when operating as an agency in 

the United States Navy (USN) in time of war. The USCG provides the NRT vice chair, co-chairs for the 

standing RRTs, and predesignated OSCs for the coastal zone, as described in §300.120(a)(1). The 

USCG maintains continuously manned facilities which can be used for command, control, and 

surveillance of oil discharges and hazardous substance releases occurring in the coastal zone. The 

USCG also offers expertise in domestic and international fields of port safety and security, maritime law 

enforcement, ship navigation and construction, and the manning, operation, and safety of vessels and 

marine facilities. The USCG may enter into a contract or cooperative agreement with the appropriate 

state in order to implement a response action. 

(2) EPA chairs the NRT and co-chairs, with the USCG, the standing RRTs; provides predesignated 

OSCs for all inland areas for which an ACP is required under CWA section 311(j) and for discharges and 

releases occurring in the inland zone and RPMs for remedial actions except as otherwise provided; and 

generally provides the SSC for responses in the inland zone. EPA provides expertise on human health 

and ecological effects of oil discharges or releases of hazardous substances, pollutants, or 

contaminants; ecological and human health risk assessment methods; and environmental pollution 

control techniques. Access to EPA's scientific expertise can be facilitated through the EPA 

representative to the Research and Development Committee of the National Response Team; the EPA 

Office of Research and Development's Superfund Technical Liaisons or Regional Scientists located in 

EPA Regional offices; or through EPA's Office of Science Planning and Regulatory Evaluation. EPA also 

provides legal expertise on the interpretation of CERCLA and other environmental statutes. EPA may 

enter into a contract or cooperative agreement with the appropriate state in order to implement a 

response action. 

(3) FEMA provides guidance, policy and program advice, and technical assistance in hazardous 

materials, chemical, and radiological emergency preparedness activities (including planning, training, 

and exercising). FEMA's primary point of contact for administering financial and technical assistance to 

state and local governments to support their efforts to develop and maintain an effective emergency 

management and response capability is the Preparedness, Training, and Exercises Directorate. 

(4) DOD has responsibility to take all action necessary with respect to releases where either the release 

is on, or the sole source of the release is from, any facility or vessel under the jurisdiction, custody, or 

control of DOD. In addition to those capabilities provided by SUPSALV, DOD may also, consistent with 

its operational requirements and upon request of the OSC, provide locally deployed USN oil spill 

equipment and provide assistance to other federal agencies on request. The following two branches of 

DOD have particularly relevant expertise: 

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(i) The United States Army Corps of Engineers has specialized equipment and personnel for maintaining 

navigation channels, for removing navigation obstructions, for accomplishing structural repairs, and for 

performing maintenance to hydropower electric generating equipment. The Corps can also provide 

design services, perform construction, and provide contract writing and contract administrative services 

for other federal agencies. 

(ii) The U.S. Navy Supervisor of Salvage (SUPSALV) is the branch of service within DOD most 

knowledgeable and experienced in ship salvage, shipboard damage control, and diving. The USN has 

an extensive array of specialized equipment and personnel available for use in these areas as well as 

specialized containment, collection, and removal equipment specifically designed for salvage-related 

and open-sea pollution incidents. 

(5) DOE generally provides designated OSCs/RPMs that are responsible for taking all response actions 

with respect to releases where either the release is on, or the sole source of the release is from, any 

facility or vessel under its jurisdiction, custody, or control, including vessels bareboat-chartered and 

operated. In addition, under the FRERP, DOE provides advice and assistance to other OSCs/RPMs for 

emergency actions essential for the control of immediate radiological hazards. Incidents that qualify for 

DOE radiological advice and assistance are those believed to involve source, by-product, or special 

nuclear material or other ionizing radiation sources, including radium, and other naturally occurring 

radionuclides, as well as particle accelerators. Assistance is available through direct contact with the 

appropriate DOE Radiological Assistance Program Regional Office. 

(6) The Department of Agriculture (USDA) has scientific and technical capability to measure, evaluate, 

and monitor, either on the ground or by use of aircraft, situations where natural resources including soil, 

water, wildlife, and vegetation have been impacted by fire, insects and diseases, floods, hazardous 

substances, and other natural or man-caused emergencies. The USDA may be contacted through 

Forest Service emergency staff officers who are the designated members of the RRT. Agencies within 

USDA have relevant capabilities and expertise as follows: 

(i) The Forest Service has responsibility for protection and management of national forests and national 

grasslands. The Forest Service has personnel, laboratory, and field capability to measure, evaluate, 

monitor, and control as needed, releases of pesticides and other hazardous substances on lands under 

its jurisdiction. 

(ii) The Agriculture Research Service (ARS) administers an applied and developmental research 

program in animal and plant protection and production; the use and improvement of soil, water, and air; 

the processing, storage, and distribution of farm products; and human nutrition. The ARS has the 

capabilities to provide regulation of, and evaluation and training for, employees exposed to biological, 

chemical, radiological, and industrial hazards. In emergency situations, the ARS can identify, control, 

and abate pollution in the areas of air, soil, wastes, pesticides, radiation, and toxic substances for ARS 

facilities. 

(iii) The Soil Conservation Service (SCS) has personnel in nearly every county in the nation who are 

knowledgeable in soil, agronomy, engineering, and biology. These personnel can help to predict the 

effects of pollutants on soil and their movements over and through soils. Technical specialists can assist 

in identifying potential hazardous waste sites and provide review and advice on plans for remedial 

measures. 

(iv) The Animal and Plant Health Inspection Service (APHIS) can respond in an emergency to regulate 

movement of diseased or infected organisms to prevent the spread and contamination of nonaffected 

areas. 

(v) The Food Safety and Inspection Service (FSIS) has responsibility to prevent meat and poultry 

products contaminated with harmful substances from entering human food channels. In emergencies, 

the FSIS works with other federal and state agencies to establish acceptability for slaughter of exposed 

or potentially exposed animals and their products. In addition they are charged with managing the 

Federal Radiological Emergency Response Program for the USDA. 

(7) DOC, through NOAA, provides scientific support for response and contingency planning in coastal 

and marine areas, including assessments of the hazards that may be involved, predictions of movement 

and dispersion of oil and hazardous substances through trajectory modeling, and information on the 

sensitivity of coastal environments to oil and hazardous substances and associated clean-up and 

mitigation methods; provides expertise on living marine resources and their habitats, including 

endangered species, marine mammals and National Marine Sanctuary ecosystems; provides 

information on actual and predicted meteorological, hydrological, ice, and oceanographic conditions for 

marine, coastal, and inland waters, and tide and circulation data for coastal and territorial waters and for 

the Great Lakes. 

(8) HHS assists with the assessment, preservation, and protection of human health and helps ensure 

the availability of essential human services. HHS provides technical and nontechnical assistance in the 

form of advice, guidance, and resources to other federal agencies as well as state and local 

governments. 

(i) The principal HHS response comes from the U.S. Public Health Service and is coordinated from the 

Office of the Assistant Secretary for Health, and various Public Health Service regional offices. Within 

the Public Health Service, the primary response to a hazardous materials emergency comes from 

Agency for Toxic Substances and Disease Registry (ATSDR) and the Centers for Disease Control 

(CDC). Both ATSDR and CDC have a 24-hour emergency response capability wherein scientific and 

technical personnel are available to provide technical assistance to the lead federal agency and state 

and local response agencies on human health threat assessment and analysis, and exposure 

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prevention and mitigation. Such assistance is used for situations requiring evacuation of affected areas, 

human exposure to hazardous materials, and technical advice on mitigation and prevention. CDC takes 

the lead during petroleum releases regulated under the CWA and OPA while ATSDR takes the lead 

during chemical releases under CERCLA. Both agencies are mutually supportive. 

(ii) Other Public Health Service agencies involved in support during hazardous materials incidents either 

directly or through ATSDR/CDC include the Food and Drug Administration, the Health Resources and 

Services Administration, the Indian Health Service, and the National Institutes of Health. 

(iii) Statutory authority for HHS/National Institutes for Environmental Health Sciences (NIEHS) 

involvement in hazardous materials accident prevention is non-regulatory in nature and focused on two 

primary areas for preventing community and worker exposure to hazardous materials releases: Worker 

safety training and basic research activities. Under section 126 of SARA, NIEHS is given statutory 

authority for supporting development of curricula and model training programs for waste workers and 

chemical emergency responders. 

Under section 118(b) of the Hazardous Materials Transportation and Uniform Safety Act (HMTUSA) (49 

U.S.C. 1802 et seq .), NIEHS also administers the Hazmat Employee Training Program to prepare 

curricula and training for hazardous materials transportation workers. In the basic research arena, 

NIEHS is authorized under section 311 of SARA to conduct a hazardous substance basic research and 

training program to evaluate toxic effects and assess human health risks from accidental releases of 

hazardous materials. Under Title IX, section 901(h) of the Clean Air Act Amendments, NIEHS also is 

authorized to conduct basic research on air pollutants, as well as train physicians in environmental 

health. Federal research and training in hazardous materials release prevention represents an important 

non-regulatory activity and supplements ongoing private sector programs. 

(9) DOI may be contacted through Regional Environmental Officers (REOs), who are the designated 

members of RRTs. Department land managers have jurisdiction over the national park system, national 

wildlife refuges and fish hatcheries, the public lands, and certain water projects in western states. In 

addition, bureaus and offices have relevant expertise as follows: 

(i) United States Fish and Wildlife Service (USFWS) and other Bureaus: Anadromous and certain other 

fishes and wildlife, including endangered and threatened species, migratory birds, and certain marine 

mammals; waters and wetlands; and effects on natural resources. 

(ii) The National Biological Survey performs research in support of biological resource management; 

inventories, monitors, and reports on the status and trends in the Nation's biotic resources; and transfers 

the information gained in research and monitoring to resource managers and others concerned with the 

care, use, and conservation of the Nation's natural resources. The National Biological Survey has 

laboratory/research facilities. 

(iii) Geological Survey: Geology, hydrology (ground water and surface water), and natural hazards. 

(iv) Bureau of Land Management: Minerals, soils, vegetation, wildlife, habitat, archaeology, and 

wilderness; and hazardous materials. 

(v) Minerals Management Service: Oversight of offshore oil and gas exploration and production facilities 

and associated pipelines and pipeline facilities under the Outer Continental Shelf Lands Act and the 

CWA; oil spill response technology research; and establishing oil discharge contingency planning 

requirements for offshore facilities. 

(vi) Bureau of Mines: Analysis and identification of inorganic hazardous substances and technical 

expertise in metals and metallurgy relevant to site cleanup. 

(vii) Office of Surface Mining: Coal mine wastes and land reclamation. 

(viii) National Park Service: General biological, natural, and cultural resource managers to evaluate, 

measure, monitor, and contain threats to park system lands and resources; archaeological and historical 

expertise in protection, preservation, evaluation, impact mitigation, and restoration of cultural resources; 

emergency personnel. 

(ix) Bureau of Reclamation: Operation and maintenance of water projects in the West; engineering and 

hydrology; and reservoirs. 

(x) Bureau of Indian Affairs: Coordination of activities affecting Indian lands; assistance in identifying 

Indian tribal government officials. 

(xi) Office of Territorial Affairs: Assistance in implementing the NCP in American Samoa, Guam, the 

Pacific Island Governments, the Northern Mariana Islands, and the Virgin Islands. 

(10) The Department of Justice (DOJ) can provide expert advice on complicated legal questions arising 

from discharges or releases, and federal agency responses. In addition, the DOJ represents the federal 

government, including its agencies, in litigation relating to such discharges or releases. Other legal 

issues or questions shall be directed to the federal agency counsel for the agency providing the 

OSC/RPM for the response. 

(11) The Department of Labor (DOL), through OSHA and the states operating plans approved under 

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section 18 of the OSH Act, has authority to conduct safety and health inspections of hazardous waste 

sites to assure that employees are being protected and to determine if the site is in compliance with: 

(i) Safety and health standards and regulations promulgated by OSHA (or the states) in accordance with 

section 126 of SARA and all other applicable standards; and 

(ii) Regulations promulgated under the OSH Act and its general duty clause. OSHA inspections may be 

self-generated, consistent with its program operations and objectives, or may be conducted in response 

to requests from EPA or another lead agency, or in response to accidents or employee complaints. 

OSHA may also conduct inspections at hazardous waste sites in those states with approved plans that 

choose not to exercise their jurisdiction to inspect such sites. On request, OSHA will provide advice and 

consultation to EPA and other NRT/RRT agencies as well as to the OSC/RPM regarding hazards to 

persons engaged in response activities. OSHA may also take any other action necessary to assure that 

employees are properly protected at such response activities. Any questions about occupational safety 

and health at these sites may be referred to the OSHA Regional Office. 

(12) DOT provides response expertise pertaining to transportation of oil or hazardous substances by all 

modes of transportation. Through the Research and Special Programs Administration (RSPA), DOT 

offers expertise in the requirements for packaging, handling, and transporting regulated hazardous 

materials. DOT, through RSPA, establishes oil discharge contingency planning requirements for 

pipelines, transport by rail and containers or bulk transport of oil. 

(13) The Department of State (DOS) will lead in the development of international joint contingency plans. 

It will also help to coordinate an international response when discharges or releases cross international 

boundaries or involve foreign flag vessels. Additionally, DOS will coordinate requests for assistance from 

foreign governments and U.S. proposals for conducting research at incidents that occur in waters of 

other countries. 

(14) The Nuclear Regulatory Commission will respond, as appropriate, to releases of radioactive 

materials by its licensees, in accordance with the NRC Incident Response Plan (NUREG–0728) to 

monitor the actions of those licensees and assure that the public health and environment are protected 

and adequate recovery operations are instituted. The Nuclear Regulatory Commission will keep EPA 

informed of any significant actual or potential releases in accordance with procedural agreements. In 

addition, the Nuclear Regulatory Commission will provide advice to the OSC/RPM when assistance is 

required in identifying the source and character of other hazardous substance releases where the 

Nuclear Regulatory Commission has licensing authority for activities utilizing radioactive materials. 

(15) The General Services Administration (GSA) provides logistic and telecommunications support to 

federal agencies. During an emergency situation, GSA quickly responds to aid state and local 

governments as directed by other federal agencies. The type of support provided might include leasing 

and furnishing office space, setting up telecommunications and transportation services, and advisory 

assistance. 

§ 300.180 State and local participation in response. 

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(a) Each state governor is requested to designate one state office/representative to represent the state 

on the appropriate RRT. The state's office/representative may participate fully in all activities of the 

appropriate RRT. Each state governor is also requested to designate a lead state agency that will direct 

state-lead response operations. This agency is responsible for designating the lead state response 

official for federal and/or state-lead response actions, and coordinating/communicating with any other 

state agencies, as appropriate. Local governments are invited to participate in activities on the 

appropriate RRT as may be provided by state law or arranged by the state's representative. Indian tribes 

wishing to participate should assign one person or office to represent the tribal government on the 

appropriate RRT. 

(b) Appropriate local and state officials (including Indian tribes) will participate as part of the response 

structure as provided in the ACP. 

(c) In addition to meeting the requirements for local emergency plans under SARA section 303, state 

and local government agencies are encouraged to include contingency planning for responses, 

consistent with the NCP, RCP, and ACP in all emergency and disaster planning. 

(d) For facilities not addressed under CERCLA or the CWA, states are encouraged to undertake 

response actions themselves or to use their authorities to compel potentially responsible parties to 

undertake response actions. 

(e) States are encouraged to enter into cooperative agreements pursuant to sections 104 (c)(3) and (d) 

of CERCLA to enable them to undertake actions authorized under subpart E of the NCP. Requirements 

for entering into these agreements are included in subpart F of the NCP. A state agency that acts 

pursuant to such agreements is referred to as the lead agency. In the event there is no cooperative 

agreement, the lead agency can be designated in a SMOA or other agreement. 

(f) Because state and local public safety organizations would normally be the first government 

representatives at the scene of a discharge or release, they are expected to initiate public safety 

measures that are necessary to protect public health and welfare and that are consistent with 

containment and cleanup requirements in the NCP, and are responsible for directing evacuations 

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pursuant to existing state or local procedures. 

§ 300.185 Nongovernmental participation. 

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(a) Industry groups, academic organizations, and others are encouraged to commit resources for 

response operations. Specific commitments should be listed in the RCP and ACP. Those entities 

required to develop tank vessel and facility response plans under CWA section 311(j) must be able to 

respond to a worst case discharge to the maximum extent practicable, and shall commit sufficient 

resources to implement other aspects of those plans in accordance with the requirements of 30 CFR 

part 254, 33 CFR parts 150, 154, and 155; 40 CFR part 112; and 49 CFR parts 171 and 194. 

(b) The technical and scientific information generated by the local community, along with information 

from federal, state, and local governments, should be used to assist the OSC/RPM in devising response 

strategies where effective standard techniques are unavailable. Such information and strategies will be 

incorporated into the ACP, as appropriate. The SSC may act as liaison between the OSC/RPM and such 

interested organizations. 

(c) ACPs shall establish procedures to allow for well organized, worthwhile, and safe use of volunteers, 

including compliance with §300.150 regarding worker health and safety. ACPs should provide for the 

direction of volunteers by the OSC/RPM or by other federal, state, or local officials knowledgeable in 

contingency operations and capable of providing leadership. ACPs also should identify specific areas in 

which volunteers can be used, such as beach surveillance, logistical support, and bird and wildlife 

treatment. Unless specifically requested by the OSC/RPM, volunteers generally should not be used for 

physical removal or remedial activities. If, in the judgment of the OSC/RPM, dangerous conditions exist, 

volunteers shall be restricted from on-scene operations. 

(d) Nongovernmental participation must be in compliance with the requirements of subpart H of this part 

if any recovery of costs will be sought. 

Subpart C—Planning and Preparedness 

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Source: 59 FR 47440, Sept. 15, 1994, unless otherwise noted. 

§ 300.200 General. 

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This subpart summarizes emergency preparedness activities relating to discharges of oil and releases of 

hazardous substances, pollutants, or contaminants; describes the three levels of contingency planning 

under the national response system; and cross-references state and local emergency preparedness 

activities under SARA Title III, also known as the “Emergency Planning and Community Right-to-Know 

Act of 1986” but referred to herein as “Title III.” Regulations implementing Title III are codified at 40 CFR 

subchapter J. 

§ 300.205 Planning and coordination structure. 

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(a) National. As described in §300.110, the NRT is responsible for national planning and coordination. 

(b) Regional. As described in §300.115, the RRTs are responsible for regional planning and 

coordination. 

(c) Area. As required by section 311(j) of the CWA, under the direction of the federal OSC for its area, 

Area Committees comprising qualified personnel of federal, state, and local agencies shall be 

responsible for: 

(1) Preparing an ACP for their areas (as described in §300.210(c)); 

(2) Working with appropriate federal, state, and local officials to enhance the contingency planning of 

those officials and to assure pre-planning of joint response efforts, including appropriate procedures for 

mechanical recovery, dispersal, shoreline cleanup, protection of sensitive environmental areas, and 

protection, rescue, and rehabilitation of fisheries and wildlife; and 

(3) Working with appropriate federal, state, and local officials to expedite decisions for the use of 

dispersants and other mitigating substances and devices. 

(d) State. As provided by sections 301 and 303 of Title III, the SERC of each state, appointed by the 

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Governor, is to designate emergency planning districts, appoint Local Emergency Planning Committees 

(LEPCs), supervise and coordinate their activities, and review local emergency response plans, which 

are described in §300.215. The SERC also is to establish procedures for receiving and processing 

requests from the public for information generated by Title III reporting requirements and to designate an 

official to serve as coordinator for information. 

(e) Local. As provided by sections 301 and 303 of Title III, emergency planning districts are designated 

by the SERC in order to facilitate the preparation and implementation of emergency plans. Each LEPC is 

to prepare a local emergency response plan for the emergency planning district and establish 

procedures for receiving and processing requests from the public for information generated by Title III 

reporting requirements. The LEPC is to appoint a chair and establish rules for the LEPC. The LEPC is to 

designate an official to serve as coordinator for information and designate in its plan a community 

emergency coordinator. 

(f) As required by section 311(j)(5) of the CWA, a tank vessel, as defined under section 2101 of title 46, 

U.S. Code, an offshore facility, and an onshore facility that, because of its location, could reasonably be 

expected to cause substantial harm to the environment by discharging into or on the navigable waters, 

adjoining shorelines, or exclusive economic zone must prepare and submit a plan for responding, to the 

maximum extent practicable, to a worst case discharge, and to a substantial threat of such a discharge, 

of oil or a hazardous substance. 

(g) The relationship of these plans is described in Figure 4. 

View or download PDF 

§ 300.210 Federal contingency plans. 

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There are three levels of contingency plans under the national response system: The National 

Contingency Plan, RCPs, and ACPs. These plans are available for inspection at EPA regional offices or 

USCG district offices. Addresses and telephone numbers for these offices may be found in the United 

States Government Manual, issued annually, or in local telephone directories. 

(a) The National Contingency Plan. The purpose and objectives, authority, and scope of the NCP are 

described in §§300.1 through 300.3. 

(b) Regional Contingency Plans. The RRTs, working with the states, shall develop federal RCPs for 

each standard federal region, Alaska, Oceania in the Pacific, and the Caribbean to coordinate timely, 

effective response by various federal agencies and other organizations to discharges of oil or releases of 

hazardous substances, pollutants, or contaminants. RCPs shall, as appropriate, include information on 

all useful facilities and resources in the region, from government, commercial, academic, and other 

sources. To the greatest extent possible, RCPs shall follow the format of the NCP and be coordinated 

with state emergency response plans, ACPs, which are described in §300.210(c), and Title III local 

emergency response plans, which are described in §300.215. Such coordination should be 

accomplished by working with the SERCs in the region covered by the RCP. RCPs shall contain lines of 

demarcation between the inland and coastal zones, as mutually agreed upon by USCG and EPA. 

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(c) Area Contingency Plans. (1) Under the direction of an OSC and subject to approval by the lead 

agency, each Area Committee, in consultation with the appropriate RRTs, Coast Guard DRGs, the 

NSFCC, SSCs, LEPCs, and SERCs, shall develop an ACP for its designated area. This plan, when 

implemented in conjunction with other provisions of the NCP, shall be adequate to remove a worst case 

discharge under §300.324, and to mitigate or prevent a substantial threat of such a discharge, from a 

vessel, offshore facility, or onshore facility operating in or near the area. 

(2) The areas of responsibility may include several Title III local planning districts, or parts of such 

districts. In developing the ACP, the OSC shall coordinate with affected SERCs and LEPCs. The ACP 

shall provide for a well coordinated response that is integrated and compatible, to the greatest extent 

possible, with all appropriate response plans of state, local, and non-federal entities, and especially with 

Title III local emergency response plans. 

(3) The ACP shall include the following: 

(i) A description of the area covered by the plan, including the areas of special economic or 

environmental importance that might be damaged by a discharge; 

(ii) A description in detail of the responsibilities of an owner or operator and of federal, state, and local 

agencies in removing a discharge, and in mitigating or preventing a substantial threat of a discharge; 

(iii) A list of equipment (including firefighting equipment), dispersants, or other mitigating substances and 

devices, and personnel available to an owner or operator and federal, state, and local agencies, to 

ensure an effective and immediate removal of a discharge, and to ensure mitigation or prevention of a 

substantial threat of a discharge (this may be provided in an appendix or by reference to other relevant 

emergency plans (e.g., state or LEPC plans), which may include such equipment lists); 

(iv) A description of procedures to be followed for obtaining an expedited decision regarding the use of 

dispersants; and 

(v) A detailed description of how the plan is integrated into other ACPs and tank vessel, offshore facility, 

and onshore facility response plans approved by the President, and into operating procedures of the 

NSFCC. 

(4)(i) In order to provide for coordinated, immediate and effective protection, rescue, and rehabilitation 

of, and minimization of risk of injury to, fish and wildlife resources and habitat, Area Committees shall 

incorporate into each ACP a detailed annex containing a Fish and Wildlife and Sensitive Environments 

Plan that is consistent with the RCP and NCP. The annex shall be prepared in consultation with the 

USFWS and NOAA and other interested natural resource management agencies and parties. It shall 

address fish and wildlife resources and their habitat, and shall include other areas considered sensitive 

environments in a separate section of the annex, based upon Area Committee recommendations. The 

annex will provide the necessary information and procedures to immediately and effectively respond to 

discharges that may adversely affect fish and wildlife and their habitat and sensitive environments, 

including provisions for a response to a worst case discharge. Such information shall include the 

identification of appropriate agencies and their responsibilities, procedures to notify these agencies 

following a discharge or threat of a discharge, protocols for obtaining required fish and wildlife permits 

and other necessary permits, and provisions to ensure compatibility of annex-related activities with 

removal operations. 

(ii) The annex shall: 

(A) Identify and establish priorities for fish and wildlife resources and their habitats and other important 

sensitive areas requiring protection from any direct or indirect effects from discharges that may occur. 

These effects include, but are not limited to, any seasonal or historical use, as well as all critical, special, 

significant, or otherwise designated protected areas. 

(B) Provide a mechanism to be used during a spill response for timely identification of protection 

priorities of those fish and wildlife resources and habitats and sensitive environmental areas that may be 

threatened or injured by a discharge. These include as appropriate, not only marine and freshwater 

species, habitats, and their food sources, but also terrestrial wildlife and their habitats that may be 

affected directly by onshore oil or indirectly by oil-related factors, such as loss or contamination of 

forage. The mechanism shall also provide for expeditious evaluation and appropriate consultations on 

the effects to fish and wildlife, their habitat, and other sensitive environments from the application of 

chemical countermeasures or other countermeasures not addressed under paragraph (e)(4)(iii). 

(C) Identify potential environmental effects on fish and wildlife, their habitat, and other sensitive 

environments resulting from removal actions or countermeasures, including the option of no removal. 

Based on this evaluation of potential environmental effects, the annex should establish priorities for 

application of countermeasure and removal actions to habitats within the geographic region of the ACP. 

The annex should establish methods to minimize the identified effects on fish and wildlife because of 

response activities, including, but not limited to: Disturbance of sensitive areas and habitats; illegal or 

inadvertent taking or disturbance of fish and wildlife or specimens by response personnel; and fish and 

wildlife, their habitat, and environmentally sensitive areas coming in contact with various cleaning or 

bioremediation agents. Furthermore, the annex should identify the areas where the movement of oiled 

debris may pose a risk to resident, transient, or migratory fish and wildlife, and other sensitive 

environments and should discuss measures to be considered for removing such oiled debris in a timely 

fashion to reduce such risk. 

(D) Provide for pre-approval of application of specific countermeasures or removal actions that, if 

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expeditiously applied, will minimize adverse spill-induced impacts to fish and wildlife resources, their 

habitat, and other sensitive environments. Such pre-approval plans must be consistent with paragraphs 

(c)(4)(ii)(B) and (C) of this section and subpart J requirements, and must have the concurrence of the 

natural resource trustees. 

(E) Provide monitoring plan(s) to evaluate the effectiveness of different countermeasures or removal 

actions in protecting the environment. Monitoring should include “set-aside” or “control” areas, where no 

mitigative actions are taken. 

(F) Identify and plan for the acquisition and utilization of necessary response capabilities for protection, 

rescue, and rehabilitation of fish and wildlife resources and habitat. This may include appropriately 

permitted private organizations and individuals with appropriate expertise and experience. The suitable 

organizations should be identified in cooperation with natural resource law enforcement agencies. Such 

capabilities shall include, but not be limited to, identification of facilities and equipment necessary for 

deterring sensitive fish and wildlife from entering oiled areas, and for capturing, holding, cleaning, and 

releasing injured wildlife. Plans for the provision of such capabilities shall ensure that there is no 

interference with other OSC removal operations. 

(G) Identify appropriate federal and state agency contacts and alternates responsible for coordination of 

fish and wildlife rescue and rehabilitation and protection of sensitive environments; identify and provide 

for required fish and wildlife handling and rehabilitation permits necessary under federal and state laws; 

and provide guidance on the implementation of law enforcement requirements included under current 

federal and state laws and corresponding regulations. Requirements include, but are not limited to 

procedures regarding the capture, transport, rehabilitation, and release of wildlife exposed to or 

threatened by oil, and disposal of contaminated carcasses of wildlife. 

(H) Identify and secure the means for providing, if needed, the minimum required OSHA and EPA 

training for volunteers, including those who assist with injured wildlife. 

(I) Define the requirements for evaluating the compatibility between this annex and non-federal response 

plans (including those of vessels, facilities, and pipelines) on issues affecting fish and wildlife, their 

habitat, and sensitive environments. 

§ 300.211 OPA facility and vessel response plans. 

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This section describes and cross-references the regulations that implement section 311(j)(5) of the 

CWA. A tank vessel, as defined under section 2101 of title 46, U.S. Code, an offshore facility, and an 

onshore facility that, because of its location, could reasonably expect to cause substantial harm to the 

environment by discharging into or on the navigable waters, adjoining shorelines, or exclusive economic 

zone must prepare and submit a plan for responding, to the maximum extent practicable, to a worst case 

discharge, and to a substantial threat of such a discharge, of oil or a hazardous substance. These 

response plans are required to be consistent with applicable Area Contingency Plans. These regulations 

are codified as follows: 

(a) For tank vessels, these regulations are codified in 33 CFR part 155; 

(b) For offshore facilities, these regulations are codified in 30 CFR part 254; 

(c) For non-transportation related onshore facilities, these regulations are codified in 40 CFR 112.20; 

(d) For transportation-related onshore facilities, these regulations are codified in 33 CFR part 154; 

(e) For pipeline facilities, these regulations are codified in 49 CFR part 194; and 

(f) For rolling stock, these regulations are codified in 49 CFR part 106 et al. 

§ 300.212 Area response drills. 

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The OSC periodically shall conduct drills of removal capability (including fish and wildlife response 

capability), without prior notice, in areas for which ACPs are required by §300.210(c) and under relevant 

tank vessel and facility response plans. 

§ 300.215 Title III local emergency response plans. 

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This section describes and cross-references the regulations that implement Title III. These regulations 

are codified at 40 CFR part 355. 

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(a) Each LEPC is to prepare an emergency response plan in accordance with section 303 of Title III and 

review the plan once a year, or more frequently as changed circumstances in the community or at any 

facility may require. Such Title III local emergency response plans should be closely coordinated with 

applicable federal ACPs and state emergency response plans. 

(b) [Reserved] 

§ 300.220 Related Title III issues. 

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Other related Title III requirements are found in 40 CFR part 355. 

Subpart D—Operational Response Phases for Oil Removal 

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Source: 59 FR 47444, Sept. 15, 1994, unless otherwise noted. 

§ 300.300 Phase I—Discovery or notification. 

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(a) A discharge of oil may be discovered through: 

(1) A report submitted by the person in charge of a vessel or facility, in accordance with statutory 

requirements; 

(2) Deliberate search by patrols; 

(3) Random or incidental observation by government agencies or the public; or 

(4) Other sources. 

(b) Any person in charge of a vessel or a facility shall, as soon as he or she has knowledge of any 

discharge from such vessel or facility in violation of section 311(b)(3) of the CWA, immediately notify the 

NRC. If direct reporting to the NRC is not practicable, reports may be made to the USCG or EPA 

predesignated OSC for the geographic area where the discharge occurs. The EPA predesignated OSC 

may also be contacted through the regional 24-hour emergency response telephone number. All such 

reports shall be promptly relayed to the NRC. If it is not possible to notify the NRC or predesignated 

OSC immediately, reports may be made immediately to the nearest Coast Guard unit. In any event such 

person in charge of the vessel or facility shall notify the NRC as soon as possible. 

(c) Any other person shall, as appropriate, notify the NRC of a discharge of oil. 

(d) Upon receipt of a notification of discharge, the NRC shall promptly notify the OSC. The OSC shall 

ensure notification of the appropriate state agency of any state which is, or may reasonably be expected 

to be, affected by the discharge. The OSC shall then proceed with the following phases as outlined in 

the RCP and ACP. 

§ 300.305 Phase II—Preliminary assessment and initiation of action. 

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(a) The OSC is responsible for promptly initiating a preliminary assessment. 

(b) The preliminary assessment shall be conducted using available information, supplemented where 

necessary and possible by an on-scene inspection. The OSC shall undertake actions to: 

(1) Evaluate the magnitude and severity of the discharge or threat to public health or welfare of the 

United States or the environment; 

(2) Assess the feasibility of removal; and 

(3) To the extent practicable, identify potentially responsible parties. 

(c) Where practicable, the framework for the response management structure is a system (e.g., a unified 

command system), that brings together the functions of the federal government, the state government, 

and the responsible party to achieve an effective and efficient response, where the OSC maintains 

authority. 

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(d) Except in a case when the OSC is required to direct the response to a discharge that may pose a 

substantial threat to the public health or welfare of the United States (including but not limited to fish, 

shellfish, wildlife, other natural resources, and the public and private beaches and shorelines of the 

United States), the OSC may allow the responsible party to voluntarily and promptly perform removal 

actions, provided the OSC determines such actions will ensure an effective and immediate removal of 

the discharge or mitigation or prevention of a substantial threat of a discharge. If the responsible party 

does conduct the removal, the OSC shall ensure adequate surveillance over whatever actions are 

initiated. If effective actions are not being taken to eliminate the threat, or if removal is not being properly 

done, the OSC should, to the extent practicable under the circumstances, so advise the responsible 

party. If the responsible party does not respond properly the OSC shall take appropriate response 

actions and should notify the responsible party of the potential liability for federal response costs 

incurred by the OSC pursuant to the OPA and CWA. Where practicable, continuing efforts should be 

made to encourage response by responsible parties. 

(1) In carrying out a response under this section, the OSC may: 

(i) Remove or arrange for the removal of a discharge, and mitigate or prevent a substantial threat of a 

discharge, at any time; 

(ii) Direct or monitor all federal, state, and private actions to remove a discharge; and 

(iii) Remove and, if necessary, destroy a vessel discharging, or threatening to discharge, by whatever 

means are available. 

(2) If the discharge results in a substantial threat to the public health or welfare of the United States 

(including, but not limited to fish, shellfish, wildlife, other natural resources, and the public and private 

beaches and shorelines of the United States), the OSC must direct all response efforts, as provided in 

§300.322(b) of this part. The OSC should declare as expeditiously as practicable to spill response 

participants that the federal government will direct the response. The OSC may act without regard to any 

other provision of the law governing contracting procedures or employment of personnel by the federal 

government in removing or arranging for the removal of such a discharge. 

(e) The OSC shall ensure that the natural resource trustees are promptly notified in the event of any 

discharge of oil, to the maximum extent practicable as provided in the Fish and Wildlife and Sensitive 

Environments Plan annex to the ACP for the area in which the discharge occurs. The OSC and the 

trustees shall coordinate assessments, evaluations, investigations, and planning with respect to 

appropriate removal actions. The OSC shall consult with the affected trustees on the appropriate 

removal action to be taken. The trustees will provide timely advice concerning recommended actions 

with regard to trustee resources potentially affected. The trustees also will assure that the OSC is 

informed of their activities in natural resource damage assessment that may affect response operations. 

The trustees shall assure, through the lead administrative trustee, that all data from the natural resource 

damage assessment activities that may support more effective operational decisions are provided in a 

timely manner to the OSC. When circumstances permit, the OSC shall share the use of non-monetary 

response resources ( i.e. , personnel and equipment) with the trustees, provided trustee activities do not 

interfere with response actions. The lead administrative trustee facilitates effective and efficient 

communication between the OSC and the other trustees during response operations and is responsible 

for applying to the OSC for non-monetary federal response resources on behalf of all trustees. The lead 

administrative trustee is also responsible for applying to the NPFC for funding for initiation of damage 

assessment for injuries to natural resources. 

§ 300.310 Phase III—Containment, countermeasures, cleanup, and disposal. 

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(a) Defensive actions shall begin as soon as possible to prevent, minimize, or mitigate threat(s) to the 

public health or welfare of the United States or the environment. Actions may include but are not limited 

to: Analyzing water samples to determine the source and spread of the oil; controlling the source of 

discharge; measuring and sampling; source and spread control or salvage operations; placement of 

physical barriers to deter the spread of the oil and to protect natural resources and sensitive 

ecosystems; control of the water discharged from upstream impoundment; and the use of chemicals and 

other materials in accordance with subpart J of this part to restrain the spread of the oil and mitigate its 

effects. The ACP prepared under §300.210(c) should be consulted for procedures to be followed for 

obtaining an expedited decision regarding the use of dispersants and other products listed on the NCP 

Product Schedule. 

(b) As appropriate, actions shall be taken to recover the oil or mitigate its effects. Of the numerous 

chemical or physical methods that may be used, the chosen methods shall be the most consistent with 

protecting public health and welfare and the environment. Sinking agents shall not be used. 

(c) Oil and contaminated materials recovered in cleanup operations shall be disposed of in accordance 

with the RCP, ACP, and any applicable laws, regulations, or requirements. RRT and Area Committee 

guidelines may identify the disposal options available during an oil spill response and may describe what 

disposal requirements are mandatory or may not be waived by the OSC. ACP guidelines should 

address: the sampling, testing, and classifying of recovered oil and oiled debris; the segregation, 

temporary storage, and stockpiling of recovered oil and oiled debris; prior state disposal approvals and 

permits; and the routes; methods (e.g. recycle/reuse, on-site burning, incineration, landfilling, etc.); and 

sites for the disposal of collected oil, oiled debris, and animal carcasses; and procedures for obtaining 

waivers, exemptions, or authorizations associated with handling or transporting waste materials. The 

ACPs may identify a hierarchy of preferences for disposal alternatives, with recycling (reprocessing) 

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being the most preferred, and other alternatives preferred based on priorities for health or the 

environment. 

§ 300.315 Phase IV—Documentation and cost recovery. 

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(a) All OSLTF users need to collect and maintain documentation to support all actions taken under the 

CWA. In general, documentation shall be sufficient to support full cost recovery for resources utilized 

and shall identify the source and circumstances of the incident, the responsible party or parties, and 

impacts and potential impacts to public health and welfare and the environment. Documentation 

procedures are contained in 33 CFR part 136. 

(b) When appropriate, documentation shall also be collected for scientific understanding of the 

environment and for research and development of improved response methods and technology. 

Funding for these actions is restricted by section 6002 of the OPA. 

(c) OSCs shall submit OSC reports to the NRT or RRT, only if requested, as provided by §300.165. 

(d) OSCs shall ensure the necessary collection and safeguarding of information, samples, and reports. 

Samples and information shall be gathered expeditiously during the response to ensure an accurate 

record of the impacts incurred. Documentation materials shall be made available to the trustees of 

affected natural resources. The OSC shall make available to trustees of the affected natural resources 

information and documentation in the OSC's possession that can assist the trustees in the determination 

of actual or potential natural resource injuries. 

(e) Information and reports obtained by the EPA or USCG OSC shall be transmitted to the appropriate 

offices responsible for follow-up actions. 

§ 300.317 National response priorities. 

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(a) Safety of human life must be given the top priority during every response action. This includes any 

search and rescue efforts in the general proximity of the discharge and the insurance of safety of 

response personnel. 

(b) Stabilizing the situation to preclude the event from worsening is the next priority. All efforts must be 

focused on saving a vessel that has been involved in a grounding, collision, fire, or explosion, so that it 

does not compound the problem. Comparable measures should be taken to stabilize a situation 

involving a facility, pipeline, or other source of pollution. Stabilizing the situation includes securing the 

source of the spill and/or removing the remaining oil from the container (vessel, tank, or pipeline) to 

prevent additional oil spillage, to reduce the need for follow-up response action, and to minimize adverse 

impact to the environment. 

(c) The response must use all necessary containment and removal tactics in a coordinated manner to 

ensure a timely, effective response that minimizes adverse impact to the environment. 

(d) All parts of this national response strategy should be addressed concurrently, but safety and 

stabilization are the highest priorities. The OSC should not delay containment and removal decisions 

unnecessarily and should take actions to minimize adverse impact to the environment that begins as 

soon as a discharge occurs, as well as actions to minimize further adverse environmental impact from 

additional discharges. 

(e) The priorities set forth in this section are broad in nature, and should not be interpreted to preclude 

the consideration of other priorities that may arise on a site-specific basis. 

§ 300.320 General pattern of response. 

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(a) When the OSC receives a report of a discharge, actions normally should be taken in the following 

sequence: 

(1) Investigate the report to determine pertinent information such as the threat posed to public health or 

welfare of the United States or the environment, the type and quantity of polluting material, and the 

source of the discharge. 

(2) Officially classify the size ( i.e. , minor, medium, major) and type ( i.e. , substantial threat to the public 

health or welfare of the United States, worst case discharge) of the discharge and determine the course 

of action to be followed to ensure effective and immediate removal, mitigation, or prevention of the 

discharge. Some discharges that are classified as a substantial threat to the public health or welfare of 

the United States may be further classified as a spill of national significance by the Administrator of EPA 

or the Commandant of the USCG. The appropriate course of action may be prescribed in §§300.322, 

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300.323, and 300.324. 

(i) When the reported discharge is an actual or potential major discharge, the OSC shall immediately 

notify the RRT and the NRC. 

(ii) When the investigation shows that an actual or potential medium discharge exists, the OSC shall 

recommend activation of the RRT, if appropriate. 

(iii) When the investigation shows that an actual or potential minor discharge exists, the OSC shall 

monitor the situation to ensure that proper removal action is being taken. 

(3) If the OSC determines that effective and immediate removal, mitigation, or prevention of a discharge 

can be achieved by private party efforts, and where the discharge does not pose a substantial threat to 

the public health or welfare of the United States, determine whether the responsible party or other 

person is properly carrying out removal. Removal is being done properly when: 

(i) The responsible party is applying the resources called for in its response plan to effectively and 

immediately remove, minimize, or mitigate threat(s) to public health and welfare and the environment; 

and 

(ii) The removal efforts are in accordance with applicable regulations, including the NCP. Even if the 

OSC supplements responsible party resources with government resources, the spill response will not be 

considered improper, unless specifically determined by the OSC. 

(4) Where appropriate, determine whether a state or political subdivision thereof has the capability to 

carry out any or all removal actions. If so, the OSC may arrange funding to support these actions. 

(5) Ensure prompt notification of the trustees of affected natural resources in accordance with the 

applicable RCP and ACP. 

(b) Removal shall be considered complete when so determined by the OSC in consultation with the 

Governor or Governors of the affected states. When the OSC considers removal complete, OSLTF 

removal funding shall end. This determination shall not preclude additional removal actions under 

applicable state law. 

§ 300.322 Response to substantial threats to public health or welfare of the United 

States. 

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(a) As part of the investigation described in §300.320, the OSC shall determine whether a discharge 

results in a substantial threat to public health or welfare of the United States (including, but not limited to, 

fish, shellfish, wildlife, other natural resources, and the public and private beaches and shorelines of the 

United States). Factors to be considered by the OSC in making this determination include, but are not 

limited to, the size of the discharge, the character of the discharge, and the nature of the threat to public 

health or welfare of the United States. Upon obtaining such information, the OSC shall conduct an 

evaluation of the threat posed, based on the OSC's experience in assessing other discharges, and 

consultation with senior lead agency officials and readily available authorities on issues outside the 

OSC's technical expertise. 

(b) If the investigation by the OSC shows that the discharge poses or may present a substantial threat to 

public health or welfare of the United States, the OSC shall direct all federal, state, or private actions to 

remove the discharge or to mitigate or prevent the threat of such a discharge, as appropriate. In 

directing the response in such cases, the OSC may act without regard to any other provision of law 

governing contracting procedures or employment of personnel by the federal government to: 

(1) Remove or arrange for the removal of the discharge; 

(2) Mitigate or prevent the substantial threat of the discharge; and 

(3) Remove and, if necessary, destroy a vessel discharging, or threatening to discharge, by whatever 

means are available. 

(c) In the case of a substantial threat to public health or welfare of the United States, the OSC shall: 

(1) Assess opportunities for the use of various special teams and other assistance described in 

§300.145, including the use of the services of the NSFCC, as appropriate; 

(2) Request immediate activation of the RRT; and 

(3) Take whatever additional response actions are deemed appropriate, including, but not limited to, 

implementation of the ACP as required by section 311(j)(4) of the CWA or relevant tank vessel or facility 

response plan required by section 311(j)(5) of the CWA. When requested by the OSC, the lead agency 

or RRT shall dispatch appropriate personnel to the scene of the discharge to assist the OSC. This 

assistance may include technical support in the agency's areas of expertise and disseminating 

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information to the public. The lead agency shall ensure that a contracting officer is available on scene, at 

the request of the OSC. 

§ 300.323 Spills of national significance. 

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(a) A discharge may be classified as a spill of national significance (SONS) by the Administrator of EPA 

for discharges occurring in the inland zone and the Commandant of the USCG for discharges occurring 

in the coastal zone. 

(b) For a SONS in the inland zone, the EPA Administrator may name a senior Agency official to assist 

the OSC in communicating with affected parties and the public and coordinating federal, state, local, and 

international resources at the national level. This strategic coordination will involve, as appropriate, the 

NRT, RRT(s), the Governor(s) of affected state(s), and the mayor(s) or other chief executive(s) of local 

government(s). 

(c) For a SONS in the coastal zone, the USCG Commandant may name a National Incident Commander 

(NIC) who will assume the role of the OSC in communicating with affected parties and the public, and 

coordinating federal, state, local, and international resources at the national level. This strategic 

coordination will involve, as appropriate, the NRT, RRT(s), the Governor(s) of affected state(s), and the 

mayor(s) or other chief executive(s) of local government(s). 

§ 300.324 Response to worst case discharges. 

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(a) If the investigation by the OSC shows that a discharge is a worst case discharge as defined in the 

ACP, or there is a substantial threat of such a discharge, the OSC shall: 

(1) Notify the NSFCC; 

(2) Require, where applicable, implementation of the worst case portion of an approved tank vessel or 

facility response plan required by section 311(j)(5) of the CWA; 

(3) Implement the worst case portion of the ACP required by section 311(j)(4) of the CWA; and 

(4) Take whatever additional response actions are deemed appropriate. 

(b) Under the direction of the OSC, the NSFCC shall coordinate use of private and public personnel and 

equipment, including strike teams, to remove a worst case discharge and mitigate or prevent a 

substantial threat of such a discharge. 

§ 300.335 Funding. 

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(a) The OSLTF is available under certain circumstances to fund removal of oil performed under section 

311 of the CWA. Those circumstances and the procedures for accessing the OSLTF are described in 33 

CFR part 136. The responsible party is liable for costs of federal removal and damages in accordance 

with section 311(f) of the CWA, section 1002 of the OPA, and other federal laws. 

(b) Where the OSC requests assistance from a federal agency, that agency may be reimbursed in 

accordance with the provisions of 33 CFR part 136. Specific interagency reimbursement agreements 

may be used when necessary to ensure that the federal resources will be available for a timely response 

to a discharge of oil. 

(c) Procedures for funding the initiation of natural resource damage assessment are covered in 33 CFR 

part 136. 

(d) Response actions other than removal, such as scientific investigations not in support of removal 

actions or law enforcement, shall be provided by the agency with legal responsibility for those specific 

actions. 

(e) The funding of a response to a discharge from a federally owned, operated, or supervised facility or 

vessel is the responsibility of the owning, operating, or supervising agency if it is a responsible party. 

(f) The following agencies have funds available for certain discharge removal actions: 

(1) DOD has two specific sources of funds that may be applicable to an oil discharge under appropriate 

circumstances. This does not consider military resources that might be made available under specific 

conditions. 

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(i) Funds required for removal of a sunken vessel or similar obstruction of navigation are available to the 

Corps of Engineers through Civil Works Appropriations, Operations and Maintenance, General. 

(ii) USN may conduct salvage operations contingent on defense operational commitments, when funded 

by the requesting agency. Such funding may be requested on a direct cite basis. 

(2) Pursuant to Title I of the OPA, the state or states affected by a discharge of oil may act where 

necessary to remove such discharge. Pursuant to 33 CFR part 136 states may be reimbursed from the 

OSLTF for the reasonable costs incurred in such a removal. 

Subpart E—Hazardous Substance Response 

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Source: 55 FR 8839, Mar. 8, 1990, unless otherwise noted. 

§ 300.400 General. 

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(a) This subpart establishes methods and criteria for determining the appropriate extent of response 

authorized by CERCLA and CWA section 311(c): 

(1) When there is a release of a hazardous substance into the environment; or 

(2) When there is a release into the environment of any pollutant or contaminant that may present an 

imminent and substantial danger to the public health or welfare of the United States. 

(b) Limitations on response. Unless the lead agency determines that a release constitutes a public 

health or environmental emergency and no other person with the authority and capability to respond will 

do so in a timely manner, a removal or remedial action under section 104 of CERCLA shall not be 

undertaken in response to a release: 

(1) Of a naturally occurring substance in its unaltered form, or altered solely through naturally occurring 

processes or phenomena, from a location where it is naturally found; 

(2) From products that are part of the structure of, and result in exposure within, residential buildings or 

business or community structures; or 

(3) Into public or private drinking water supplies due to deterioration of the system through ordinary use. 

(c) Fund-financed action. In determining the need for and in planning or undertaking Fund-financed 

action, the lead agency shall, to the extent practicable: 

(1) Engage in prompt response; 

(2) Provide for state participation in response actions, as described in subpart F of this part; 

(3) Conserve Fund monies by encouraging private party response; 

(4) Be sensitive to local community concerns; 

(5) Consider using treatment technologies; 

(6) Involve the Regional Response Team (RRT) in both removal and remedial response actions at 

appropriate decision-making stages; 

(7) Encourage the involvement and sharing of technology by industry and other experts; and 

(8) Encourage the involvement of organizations to coordinate responsible party actions, foster site 

response, and provide technical advice to the public, federal and state governments, and industry. 

(d) Entry and access. (1) For purposes of determining the need for response, or choosing or taking a 

response action, or otherwise enforcing the provisions of CERCLA, EPA, or the appropriate federal 

agency, and a state or political subdivision operating pursuant to a contract or cooperative agreement 

under CERCLA section 104(d)(1), has the authority to enter any vessel, facility, establishment or other 

place, property, or location described in paragraph (d)(2) of this section and conduct, complete, operate, 

and maintain any response actions authorized by CERCLA or these regulations. 

(2)(i) Under the authorities described in paragraph (d)(1) of this section, EPA, or the appropriate federal 

agency, and a state or political subdivision operating pursuant to a contract or cooperative agreement 

under CERCLA section 104(d)(1), may enter: 

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(A) Any vessel, facility, establishment, or other place or property where any hazardous substance or 

pollutant or contaminant may be or has been generated, stored, treated, disposed of, or transported 

from; 

(B) Any vessel, facility, establishment, or other place or property from which, or to which, a hazardous 

substance or pollutant or contaminant has been, or may have been, released or where such release is 

or may be threatened; 

(C) Any vessel, facility, establishment, or other place or property where entry is necessary to determine 

the need for response or the appropriate response or to effectuate a response action; or 

(D) Any vessel, facility, establishment, or other place, property, or location adjacent to those vessels, 

facilities, establishments, places, or properties described in paragraphs (d)(2)(i)(A), (B), or (C) of this 

section. 

(ii) Once a determination has been made that there is a reasonable basis to believe that there has been 

or may be a release, EPA, or the appropriate federal agency, and a state or political subdivision 

operating pursuant to a contract or cooperative agreement under CERCLA section 104(d)(1), is 

authorized to enter all vessels, facilities, establishments, places, properties, or locations specified in 

paragraph (d)(2)(i) of this section, at which the release is believed to be, and all other vessels, facilities, 

establishments, places, properties, or locations identified in paragraph (d)(2)(i) of this section that are 

related to the response or are necessary to enter in responding to that release. 

(3) The lead agency may designate as its representative solely for the purpose of access, among others, 

one or more potentially responsible parties, including representatives, employees, agents, and 

contractors of such parties. EPA, or the appropriate federal agency, may exercise the authority 

contained in section 104(e) of CERCLA to obtain access for its designated representative. A potentially 

responsible party may only be designated as a representative of the lead agency where that potentially 

responsible party has agreed to conduct response activities pursuant to an administrative order or 

consent decree. 

(4)(i) If consent is not granted under the authorities described in paragraph (d)(1) of this section, or if 

consent is conditioned in any manner, EPA, or the appropriate federal agency, may issue an order 

pursuant to section 104(e)(5) of CERCLA directing compliance with the request for access made under 

§300.400(d)(1). EPA or the appropriate federal agency may ask the Attorney General to commence a 

civil action to compel compliance with either a request for access or an order directing compliance. 

(ii) EPA reserves the right to proceed, where appropriate, under applicable authority other than CERCLA 

section 104(e). 

(iii) The administrative order may direct compliance with a request to enter or inspect any vessel, facility, 

establishment, place, property, or location described in paragraph (d)(2) of this section. 

(iv) Each order shall contain: 

(A) A determination by EPA, or the appropriate federal agency, that it is reasonable to believe that there 

may be or has been a release or threat of a release of a hazardous substance or pollutant or 

contaminant and a statement of the facts upon which the determination is based; 

(B) A description, in light of CERCLA response authorities, of the purpose and estimated scope and 

duration of the entry, including a description of the specific anticipated activities to be conducted 

pursuant to the order; 

(C) A provision advising the person who failed to consent that an officer or employee of the agency that 

issued the order will be available to confer with respondent prior to effective date of the order; and 

(D) A provision advising the person who failed to consent that a court may impose a penalty of up to 

$25,000 per day for unreasonable failure to comply with the order. 

(v) Orders shall be served upon the person or responsible party who failed to consent prior to their 

effective date. Force shall not be used to compel compliance with an order. 

(vi) Orders may not be issued for any criminal investigations. 

(e) Permit requirements. (1) No federal, state, or local permits are required for on-site response actions 

conducted pursuant to CERCLA sections 104, 106, 120, 121, or 122. The term on-site means the areal 

extent of contamination and all suitable areas in very close proximity to the contamination necessary for 

implementation of the response action. 

(2) Permits, if required, shall be obtained for all response activities conducted off-site. 

(f) Health assessments. Health assessments shall be performed by ATSDR at facilities on or proposed 

to be listed on the NPL and may be performed at other releases or facilities in response to petitions 

made to ATSDR. Where available, these health assessments may be used by the lead agency to assist 

in determining whether response actions should be taken and/or to identify the need for additional 

studies to assist in the assessment of potential human health effects associated with releases or 

potential releases of hazardous substances. 

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(g) Identification of applicable or relevant and appropriate requirements. (1) The lead and support 

agencies shall identify requirements applicable to the release or remedial action contemplated based 

upon an objective determination of whether the requirement specifically addresses a hazardous 

substance, pollutant, contaminant, remedial action, location, or other circumstance found at a CERCLA 

site. 

(2) If, based upon paragraph (g)(1) of this section, it is determined that a requirement is not applicable to 

a specific release, the requirement may still be relevant and appropriate to the circumstances of the 

release. In evaluating relevance and appropriateness, the factors in paragraphs (g)(2)(i) through (viii) of 

this section shall be examined, where pertinent, to determine whether a requirement addresses 

problems or situations sufficiently similar to the circumstances of the release or remedial action 

contemplated, and whether the requirement is well-suited to the site, and therefore is both relevant and 

appropriate. The pertinence of each of the following factors will depend, in part, on whether a 

requirement addresses a chemical, location, or action. The following comparisons shall be made, where 

pertinent, to determine relevance and appropriateness: 

(i) The purpose of the requirement and the purpose of the CERCLA action; 

(ii) The medium regulated or affected by the requirement and the medium contaminated or affected at 

the CERCLA site; 

(iii) The substances regulated by the requirement and the substances found at the CERCLA site; 

(iv) The actions or activities regulated by the requirement and the remedial action contemplated at the 

CERCLA site; 

(v) Any variances, waivers, or exemptions of the requirement and their availability for the circumstances 

at the CERCLA site; 

(vi) The type of place regulated and the type of place affected by the release or CERCLA action; 

(vii) The type and size of structure or facility regulated and the type and size of structure or facility 

affected by the release or contemplated by the CERCLA action; 

(viii) Any consideration of use or potential use of affected resources in the requirement and the use or 

potential use of the affected resource at the CERCLA site. 

(3) In addition to applicable or relevant and appropriate requirements, the lead and support agencies 

may, as appropriate, identify other advisories, criteria, or guidance to be considered for a particular 

release. The “to be considered” (TBC) category consists of advisories, criteria, or guidance that were 

developed by EPA, other federal agencies, or states that may be useful in developing CERCLA 

remedies. 

(4) Only those state standards that are promulgated, are identified by the state in a timely manner, and 

are more stringent than federal requirements may be applicable or relevant and appropriate. For 

purposes of identification and notification of promulgated state standards, the term promulgated means 

that the standards are of general applicability and are legally enforceable. 

(5) The lead agency and support agency shall identify their specific requirements that are applicable or 

relevant and appropriate for a particular site. These agencies shall notify each other, in a timely manner 

as described in §300.515(d), of the requirements they have determined to be applicable or relevant and 

appropriate. When identifying a requirement as an ARAR, the lead agency and support agency shall 

include a citation to the statute or regulation from which the requirement is derived. 

(6) Notification of ARARs shall be according to procedures and timeframes specified in §300.515 (d)(2) 

and (h)(2). 

(h) Oversight. The lead agency may provide oversight for actions taken by potentially responsible parties 

to ensure that a response is conducted consistent with this part. The lead agency may also monitor the 

actions of third parties preauthorized under subpart H of this part. EPA will provide oversight when the 

response is pursuant to an EPA order or federal consent decree. 

(i) Other. (1) This subpart does not establish any preconditions to enforcement action by either the 

federal or state governments to compel response actions by potentially responsible parties. 

(2) While much of this subpart is oriented toward federally funded response actions, this subpart may be 

used as guidance concerning methods and criteria for response actions by other parties under other 

funding mechanisms. Except as provided in subpart H of this part, nothing in this part is intended to limit 

the rights of any person to seek recovery of response costs from responsible parties pursuant to 

CERCLA section 107. 

(3) Activities by the federal and state governments in implementing this subpart are discretionary 

governmental functions. This subpart does not create in any private party a right to federal response or 

enforcement action. This subpart does not create any duty of the federal government to take any 

response action at any particular time. 

[55 FR 8839, Mar. 8, 1990, as amended at 59 FR 47447, Sept. 15, 1994] 

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§ 300.405 Discovery or notification. 

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(a) A release may be discovered through: 

(1) A report submitted in accordance with section 103(a) of CERCLA, i.e. , reportable quantities codified 

at 40 CFR part 302; 

(2) A report submitted to EPA in accordance with section 103(c) of CERCLA; 

(3) Investigation by government authorities conducted in accordance with section 104(e) of CERCLA or 

other statutory authority; 

(4) Notification of a release by a federal or state permit holder when required by its permit; 

(5) Inventory or survey efforts or random or incidental observation reported by government agencies or 

the public; 

(6) Submission of a citizen petition to EPA or the appropriate federal facility requesting a preliminary 

assessment, in accordance with section 105(d) of CERCLA; 

(7) A report submitted in accordance with section 311(b)(5) of the CWA; and 

(8) Other sources. 

(b) Any person in charge of a vessel or a facility shall report releases as described in paragraph (a)(1) of 

this section to the National Response Center (NRC). If direct reporting to the NRC is not practicable, 

reports may be made to the United States Coast Guard (USCG) on-scene coordinator (OSC) for the 

geographic area where the release occurs. The EPA predesignated OSC may also be contacted through 

the regional 24-hour emergency response telephone number. All such reports shall be promptly relayed 

to the NRC. If it is not possible to notify the NRC or predesignated OSC immediately, reports may be 

made immediately to the nearest USCG unit. In any event, such person in charge of the vessel or facility 

shall notify the NRC as soon as possible. 

(c) All other reports of releases described under paragraph (a) of this section, except releases reported 

under paragraphs (a)(2) and (6) of this section, shall, as appropriate, be made to the NRC. 

(d) The NRC will generally need information that will help to characterize the release. This will include, 

but not be limited to: Location of the release; type(s) of material(s) released; an estimate of the quantity 

of material released; possible source of the release; and date and time of the release. Reporting under 

paragraphs (b) and (c) of this section shall not be delayed due to incomplete notification information. 

(e) Upon receipt of a notification of a release, the NRC shall promptly notify the appropriate OSC. The 

OSC shall notify the Governor, or designee, of the state affected by the release. 

(f)(1) When the OSC is notified of a release that may require response pursuant to §300.415(b), a 

removal site evaluation shall, as appropriate, be promptly undertaken pursuant to §300.410. 

(2) When notification indicates that removal action pursuant to §300.415(b) is not required, a remedial 

site evaluation shall, if appropriate, be undertaken by the lead agency pursuant to §300.420, if one has 

not already been performed. 

(3) If radioactive substances are present in a release, the EPA Radiological Response Coordinator 

should be notified for evaluation and assistance either directly or via the NRC, consistent with §§300.130

(e) and 300.145(f). 

(g) Release notification made to the NRC under this section does not relieve the owner/operator of a 

facility from any obligations to which it is subject under SARA Title III or state law. In particular, it does 

not relieve the owner/operator from the requirements of section 304 of SARA Title III and 40 CFR part 

355 and §300.215(f) of this part for notifying the community emergency coordinator for the appropriate 

local emergency planning committee of all affected areas and the state emergency response 

commission of any state affected that there has been a release. Federal agencies are not legally 

obligated to comply with the requirements of Title III of SARA. 

[55 FR 8839, Mar. 8, 1990, as amended at 59 FR 47447, Sept. 15, 1994] 

§ 300.410 Removal site evaluation. 

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(a) A removal site evaluation includes a removal preliminary assessment and, if warranted, a removal 

site inspection. 

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(b) A removal site evaluation of a release identified for possible CERCLA response pursuant to 

§300.415 shall, as appropriate, be undertaken by the lead agency as promptly as possible. The lead 

agency may perform a removal preliminary assessment in response to petitions submitted by a person 

who is, or may be, affected by a release of a hazardous substance, pollutant, or contaminant pursuant to 

§300.420(b)(5). 

(c)(1) The lead agency shall, as appropriate, base the removal preliminary assessment on readily 

available information. A removal preliminary assessment may include, but is not limited to: 

(i) Identification of the source and nature of the release or threat of release; 

(ii) Evaluation by ATSDR or by other sources, for example, state public health agencies, of the threat to 

public health; 

(iii) Evaluation of the magnitude of the threat; 

(iv) Evaluation of factors necessary to make the determination of whether a removal is necessary; and 

(v) Determination of whether a nonfederal party is undertaking proper response. 

(2) A removal preliminary assessment of releases from hazardous waste management facilities may 

include collection or review of data such as site management practices, information from generators, 

photographs, analysis of historical photographs, literature searches, and personal interviews conducted, 

as appropriate. 

(d) A removal site inspection may be performed if more information is needed. Such inspection may 

include a perimeter ( i.e. , off-site) or on-site inspection, taking into consideration whether such 

inspection can be performed safely. 

(e)(1) As part of the evaluation under this section, the OSC shall determine whether a release governed 

by CWA section 311(c)(1), as amended by OPA section 4201(a), has occurred. 

(2) If such a release of a CWA hazardous substance has occurred, the OSC shall determine whether the 

release results in a substantial threat to the public health or welfare of the United States. Factors to be 

considered by the OSC in making this determination include, but are not limited to, the size of the 

release, the character of the release, and the nature of the threat to public health or welfare of the 

United States. Upon obtaining relevant elements of such information, the OSC shall conduct an 

evaluation of the threat posed, based on the OSC's experience in assessing other releases, and 

consultation with senior lead agency officials and readily available authorities on issues outside the 

OSC's technical expertise. 

(f) A removal site evaluation shall be terminated when the OSC or lead agency determines: 

(1) There is no release; 

(2) The source is neither a vessel nor a facility as defined in §300.5 of the NCP; 

(3) The release involves neither a hazardous substance, nor a pollutant or contaminant that may present 

an imminent and substantial danger to public health or welfare of the United States; 

(4) The release consists of a situation specified in §300.400(b)(1) through (3) subject to limitations on 

response; 

(5) The amount, quantity, or concentration released does not warrant federal response; 

(6) A party responsible for the release, or any other person, is providing appropriate response, and onscene monitoring by the government is not required; or 

(7) The removal site evaluation is completed. 

(g) The results of the removal site evaluation shall be documented. 

(h) The OSC or lead agency shall ensure that natural resource trustees are promptly notified in order 

that they may initiate appropriate actions, including those identified in subpart G of this part. The OSC or 

lead agency shall coordinate all response activities with such affected trustees. 

(i) If the removal site evaluation indicates that removal action under §300.415 is not required, but that 

remedial action under §300.430 may be necessary, the lead agency shall, as appropriate, initiate a 

remedial site evaluation pursuant to §300.420. 

[59 FR 47448, Sept. 15, 1994] 

§ 300.415 Removal action. 

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(a)(1) In determining the appropriate extent of action to be taken in response to a given release, the lead 

agency shall first review the removal site evaluation, any information produced through a remedial site 

evaluation, if any has been done previously, and the current site conditions, to determine if removal 

action is appropriate. 

(2) Where the responsible parties are known, an effort initially shall be made, to the extent practicable, to 

determine whether they can and will perform the necessary removal action promptly and properly. 

(3) This section does not apply to removal actions taken pursuant to section 104(b) of CERCLA. The 

criteria for such actions are set forth in section 104(b) of CERCLA. 

(b)(1) At any release, regardless of whether the site is included on the National Priorities List (NPL), 

where the lead agency makes the determination, based on the factors in paragraph (b)(2) of this section, 

that there is a threat to public health or welfare of the United States or the environment, the lead agency 

may take any appropriate removal action to abate, prevent, minimize, stabilize, mitigate, or eliminate the 

release or the threat of release. 

(2) The following factors shall be considered in determining the appropriateness of a removal action 

pursuant to this section: 

(i) Actual or potential exposure to nearby human populations, animals, or the food chain from hazardous 

substances or pollutants or contaminants; 

(ii) Actual or potential contamination of drinking water supplies or sensitive ecosystems; 

(iii) Hazardous substances or pollutants or contaminants in drums, barrels, tanks, or other bulk storage 

containers, that may pose a threat of release; 

(iv) High levels of hazardous substances or pollutants or contaminants in soils largely at or near the 

surface, that may migrate; 

(v) Weather conditions that may cause hazardous substances or pollutants or contaminants to migrate 

or be released; 

(vi) Threat of fire or explosion; 

(vii) The availability of other appropriate federal or state response mechanisms to respond to the 

release; and 

(viii) Other situations or factors that may pose threats to public health or welfare of the United States or 

the environment. 

(3) If the lead agency determines that a removal action is appropriate, actions shall, as appropriate, 

begin as soon as possible to abate, prevent, minimize, stabilize, mitigate, or eliminate the threat to public 

health or welfare of the United States or the environment. The lead agency shall, at the earliest possible 

time, also make any necessary determinations pursuant to paragraph (b)(4) of this section. 

(4) Whenever a planning period of at least six months exists before on-site activities must be initiated, 

and the lead agency determines, based on a site evaluation, that a removal action is appropriate: 

(i) The lead agency shall conduct an engineering evaluation/cost analysis (EE/CA) or its equivalent. The 

EE/CA is an analysis of removal alternatives for a site. 

(ii) If environmental samples are to be collected, the lead agency shall develop sampling and analysis 

plans that shall provide a process for obtaining data of sufficient quality and quantity to satisfy data 

needs. Sampling and analysis plans shall be reviewed and approved by EPA. The sampling and 

analysis plans shall consist of two parts: 

(A) The field sampling plan, which describes the number, type, and location of samples and the type of 

analyses; and 

(B) The quality assurance project plan, which describes policy, organization, and functional activities and 

the data quality objectives and measures necessary to achieve adequate data for use in planning and 

documenting the removal action. 

(5) CERCLA fund-financed removal actions, other than those authorized under section 104(b) of 

CERCLA, shall be terminated after $2 million has been obligated for the action or 12 months have 

elapsed from the date that removal activities begin on-site, unless the lead agency determines that: 

(i) There is an immediate risk to public health or welfare of the United States or the environment; 

continued response actions are immediately required to prevent, limit, or mitigate an emergency; and 

such assistance will not otherwise be provided on a timely basis; or 

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(ii) Continued response action is otherwise appropriate and consistent with the remedial action to be 

taken. 

(c)(1) In carrying out a response to a release of a CWA hazardous substance, as described in CWA 

section 311(c)(1), as amended by OPA section 4201(a), the OSC may: 

(i) Remove or arrange for the removal of a release, and mitigate or prevent a substantial threat of a 

release, at any time; 

(ii) Direct or monitor all federal, state, and private actions to remove a release; and 

(iii) Remove and, if necessary, destroy a vessel releasing or threatening to release CWA hazardous 

substances, by whatever means are available. 

(2) If the investigation by the OSC under §300.410 shows that the release of a CWA hazardous 

substance results in a substantial threat to public health or welfare of the United States, the OSC shall 

direct all federal, state, or private actions to remove the release or to mitigate or prevent the threat of 

such a release, as appropriate. In directing the response, the OSC may act without regard to any other 

provision of law governing contracting procedures or employment of personnel by the federal 

government to: 

(i) Remove or arrange for the removal of the release; 

(ii) Mitigate or prevent the substantial threat of the release; and 

(iii) Remove and, if necessary, destroy a vessel releasing, or threatening to release, by whatever means 

are available. 

(3) In the case of a release of a CWA hazardous substance posing a substantial threat to public health 

or welfare of the United States, the OSC shall: 

(i) Assess opportunities for the use of various special teams and other assistance described in 

§300.145, as appropriate; 

(ii) Request immediate activation of the RRT; and 

(iii) Take whatever additional response actions are deemed appropriate. When requested by the OSC, 

the lead agency or RRT shall dispatch appropriate personnel to the scene of the release to assist the 

OSC. This assistance may include technical support in the agency's areas of expertise and 

disseminating information to the public in accordance with §300.155. The lead agency shall ensure that 

a contracting officer is available on-scene, at the request of the OSC. 

(d) Removal actions shall, to the extent practicable, contribute to the efficient performance of any 

anticipated long-term remedial action with respect to the release concerned. 

(e) The following removal actions are, as a general rule, appropriate in the types of situations shown; 

however, this list is not exhaustive and is not intended to prevent the lead agency from taking any other 

actions deemed necessary under CERCLA, CWA section 311, or other appropriate federal or state 

enforcement or response authorities, and the list does not create a duty on the lead agency to take 

action at any particular time: 

(1) Fences, warning signs, or other security or site control precautions—where humans or animals have 

access to the release; 

(2) Drainage controls, for example, run-off or run-on diversion—where needed to reduce migration of 

hazardous substances or pollutants or contaminants off-site or to prevent precipitation or run-off from 

other sources, for example, flooding, from entering the release area from other areas; 

(3) Stabilization of berms, dikes, or impoundments or drainage or closing of lagoons—where needed to 

maintain the integrity of the structures; 

(4) Capping of contaminated soils or sludges—where needed to reduce migration of hazardous 

substances or pollutants or contaminants into soil, ground or surface water, or air; 

(5) Using chemicals and other materials to retard the spread of the release or to mitigate its effects—

where the use of such chemicals will reduce the spread of the release; 

(6) Excavation, consolidation, or removal of highly contaminated soils from drainage or other areas—

where such actions will reduce the spread of, or direct contact with, the contamination; 

(7) Removal of drums, barrels, tanks, or other bulk containers that contain or may contain hazardous 

substances or pollutants or contaminants—where it will reduce the likelihood of spillage; leakage; 

exposure to humans, animals, or food chain; or fire or explosion; 

(8) Containment, treatment, disposal, or incineration of hazardous materials—where needed to reduce 

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the likelihood of human, animal, or food chain exposure; or 

(9) Provision of alternative water supply—where necessary immediately to reduce exposure to 

contaminated household water and continuing until such time as local authorities can satisfy the need for 

a permanent remedy. 

(f) Where necessary to protect public health or welfare, the lead agency shall request that FEMA 

conduct a temporary relocation or that state/local officials conduct an evacuation. 

(g) If the lead agency determines that the removal action will not fully address the threat posed by the 

release and the release may require remedial action, the lead agency shall ensure an orderly transition 

from removal to remedial response activities. 

(h) CERCLA removal actions conducted by states under cooperative agreements, described in subpart 

F of this part, shall comply with all requirements of this section. 

(i) Facilities operated by a state or political subdivision at the time of disposal require a state cost share 

of at least 50 percent of Fund-financed response costs if a Fund-financed remedial action is conducted. 

(j) Fund-financed removal actions under CERCLA section 104 and removal actions pursuant to CERCLA 

section 106 shall, to the extent practicable considering the exigencies of the situation, attain applicable 

or relevant and appropriate requirements (ARARs) under federal environmental or state environmental 

or facility siting laws. Waivers described in §300.430(f)(1)(ii)(C) may be used for removal actions. Other 

federal and state advisories, criteria, or guidance may, as appropriate, be considered in formulating the 

removal action (see §300.400(g)(3)). In determining whether compliance with ARARs is practicable, the 

lead agency may consider appropriate factors, including: 

(1) The urgency of the situation; and 

(2) The scope of the removal action to be conducted. 

(k) Removal actions pursuant to section 106 or 122 of CERCLA are not subject to the following 

requirements of this section: 

(1) Section 300.415(a)(2) requirement to locate responsible parties and have them undertake the 

response; 

(2) Section 300.415(b)(2)(vii) requirement to consider the availability of other appropriate federal or state 

response and enforcement mechanisms to respond to the release; 

(3) Section 300.415(b)(5) requirement to terminate response after $2 million has been obligated or 12 

months have elapsed from the date of the initial response; and 

(4) Section 300.415(g) requirement to assure an orderly transition from removal to remedial action. 

(l) To the extent practicable, provision for post-removal site control following a CERCLA Fund-financed 

removal action at both NPL and non-NPL sites is encouraged to be made prior to the initiation of the 

removal action. Such post-removal site control includes actions necessary to ensure the effectiveness 

and integrity of the removal action after the completion of the on-site removal action or after the $2 

million or 12-month statutory limits are reached for sites that do not meet the exemption criteria in 

paragraph (b)(5) of this section. Post-removal site control may be conducted by: 

(1) The affected state or political subdivision thereof or local units of government for any removal; 

(2) Potentially responsible parties; or 

(3) EPA's remedial program for some federal-lead Fund-financed responses at NPL sites. 

(m) OSCs/RPMs conducting removal actions shall submit OSC reports to the RRT as required by 

§300.165. 

(n) Community relations in removal actions. (1) In the case of all CERCLA removal actions taken 

pursuant to §300.415 or CERCLA enforcement actions to compel removal response, a spokesperson 

shall be designated by the lead agency. The spokesperson shall inform the community of actions taken, 

respond to inquiries, and provide information concerning the release. All news releases or statements 

made by participating agencies shall be coordinated with the OSC/RPM. The spokesperson shall notify, 

at a minimum, immediately affected citizens, state and local officials, and, when appropriate, civil 

defense or emergency management agencies. 

(2) For CERCLA actions where, based on the site evaluation, the lead agency determines that a removal 

is appropriate, and that less than six months exists before on-site removal activity must begin, the lead 

agency shall: 

(i) Publish a notice of availability of the administrative record file established pursuant to §300.820 in a 

major local newspaper of general circulation within 60 days of initiation of on-site removal activity; 

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(ii) Provide a public comment period, as appropriate, of not less than 30 days from the time the 

administrative record file is made available for public inspection, pursuant to §300.820(b)(2); and 

(iii) Prepare a written response to significant comments pursuant to §300.820(b)(3). 

(3) For CERCLA removal actions where on-site action is expected to extend beyond 120 days from the 

initiation of on-site removal activities, the lead agency shall by the end of the 120-day period: 

(i) Conduct interviews with local officials, community residents, public interest groups, or other interested 

or affected parties, as appropriate, to solicit their concerns, information needs, and how or when citizens 

would like to be involved in the Superfund process; 

(ii) Prepare a formal community relations plan (CRP) based on the community interviews and other 

relevant information, specifying the community relations activities that the lead agency expects to 

undertake during the response; and 

(iii) Establish at least one local information repository at or near the location of the response action. The 

information repository should contain items made available for public information. Further, an 

administrative record file established pursuant to subpart I for all removal actions shall be available for 

public inspection in at least one of the repositories. The lead agency shall inform the public of the 

establishment of the information repository and provide notice of availability of the administrative record 

file for public review. All items in the repository shall be available for public inspection and copying. 

(4) Where, based on the site evaluation, the lead agency determines that a CERCLA removal action is 

appropriate and that a planning period of at least six months exists prior to initiation of the on-site 

removal activities, the lead agency shall at a minimum: 

(i) Comply with the requirements set forth in paragraphs (n)(3)(i), (ii), and (iii) of this section, prior to the 

completion of the EE/CA, or its equivalent, except that the information repository and the administrative 

record file will be established no later than when the EE/CA approval memorandum is signed; 

(ii) Publish a notice of availability and brief description of the EE/CA in a major local newspaper of 

general circulation pursuant to §300.820; 

(iii) Provide a reasonable opportunity, not less than 30 calendar days, for submission of written and oral 

comments after completion of the EE/CA pursuant to §300.820(a). Upon timely request, the lead agency 

will extend the public comment period by a minimum of 15 days; and 

(iv) Prepare a written response to significant comments pursuant to §300.820(a). 

[59 FR 47448, Sept. 15, 1994] 

§ 300.420 Remedial site evaluation. 

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(a) General. The purpose of this section is to describe the methods, procedures, and criteria the lead 

agency shall use to collect data, as required, and evaluate releases of hazardous substances, 

pollutants, or contaminants. The evaluation may consist of two steps: a remedial preliminary assessment 

(PA) and a remedial site inspection (SI). 

(b) Remedial preliminary assessment. (1) The lead agency shall perform a remedial PA on all sites in 

CERCLIS as defined in §300.5 to: 

(i) Eliminate from further consideration those sites that pose no threat to public health or the 

environment; 

(ii) Determine if there is any potential need for removal action; 

(iii) Set priorities for site inspections; and 

(iv) Gather existing data to facilitate later evaluation of the release pursuant to the Hazard Ranking 

System (HRS) if warranted. 

(2) A remedial PA shall consist of a review of existing information about a release such as information on 

the pathways of exposure, exposure targets, and source and nature of release. A remedial PA shall also 

include an off-site reconnaissance as appropriate. A remedial PA may include an on-site 

reconnaissance where appropriate. 

(3) If the remedial PA indicates that a removal action may be warranted, the lead agency shall initiate 

removal evaluation pursuant to §300.410. 

(4) In performing a remedial PA, the lead agency may complete the EPA Preliminary Assessment form, 

available from EPA regional offices, or its equivalent, and shall prepare a PA report, which shall include: 

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(i) A description of the release; 

(ii) A description of the probable nature of the release; and 

(iii) A recommendation on whether further action is warranted, which lead agency should conduct further 

action, and whether an SI or removal action or both should be undertaken. 

(5) Any person may petition the lead federal agency (EPA or the appropriate federal agency in the case 

of a release or suspected release from a federal facility), to perform a PA of a release when such person 

is, or may be, affected by a release of a hazardous substance, pollutant, or contaminant. Such petitions 

shall be addressed to the EPA Regional Administrator for the region in which the release is located, 

except that petitions for PAs involving federal facilities should be addressed to the head of the 

appropriate federal agency. 

(i) Petitions shall be signed by the petitioner and shall contain the following: 

(A) The full name, address, and phone number of petitioner; 

(B) A description, as precisely as possible, of the location of the release; and 

(C) How the petitioner is or may be affected by the release. 

(ii) Petitions should also contain the following information to the extent available: 

(A) What type of substances were or may be released; 

(B) The nature of activities that have occurred where the release is located; and 

(C) Whether local and state authorities have been contacted about the release. 

(iii) The lead federal agency shall complete a remedial or removal PA within one year of the date of 

receipt of a complete petition pursuant to paragraph (b)(5) of this section, if one has not been performed 

previously, unless the lead federal agency determines that a PA is not appropriate. Where such a 

determination is made, the lead federal agency shall notify the petitioner and will provide a reason for 

the determination. 

(iv) When determining if performance of a PA is appropriate, the lead federal agency shall take into 

consideration: 

(A) Whether there is information indicating that a release has occurred or there is a threat of a release of 

a hazardous substance, pollutant, or contaminant; and 

(B) Whether the release is eligible for response under CERCLA. 

(c) Remedial site inspection. (1) The lead agency shall perform a remedial SI as appropriate to: 

(i) Eliminate from further consideration those releases that pose no significant threat to public health or 

the environment; 

(ii) Determine the potential need for removal action; 

(iii) Collect or develop additional data, as appropriate, to evaluate the release pursuant to the HRS; and 

(iv) Collect data in addition to that required to score the release pursuant to the HRS, as appropriate, to 

better characterize the release for more effective and rapid initiation of the RI/FS or response under 

other authorities. 

(2) The remedial SI shall build upon the information collected in the remedial PA. The remedial SI shall 

involve, as appropriate, both on- and off-site field investigatory efforts, and sampling. 

(3) If the remedial SI indicates that removal action may be appropriate, the lead agency shall initiate 

removal site evaluation pursuant to §300.410. 

(4) Prior to conducting field sampling as part of site inspections, the lead agency shall develop sampling 

and analysis plans that shall provide a process for obtaining data of sufficient quality and quantity to 

satisfy data needs. The sampling and analysis plans shall consist of two parts: 

(i) The field sampling plan, which describes the number, type, and location of samples, and the type of 

analyses, and 

(ii) The quality assurance project plan (QAPP), which describes policy, organization, and functional 

activities, and the data quality objectives and measures necessary to achieve adequate data for use in 

site evaluation and hazard ranking system activities. 

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(5) Upon completion of a remedial SI, the lead agency shall prepare a report that includes the following: 

(i) A description/history/nature of waste handling; 

(ii) A description of known contaminants; 

(iii) A description of pathways of migration of contaminants; 

(iv) An identification and description of human and environmental targets; and 

(v) A recommendation on whether further action is warranted. 

§ 300.425 Establishing remedial priorities. 

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(a) General. The purpose of this section is to identify the criteria as well as the methods and procedures 

EPA uses to establish its priorities for remedial actions. 

(b) National Priorities List. The NPL is the list of priority releases for long-term remedial evaluation and 

response. 

(1) Only those releases included on the NPL shall be considered eligible for Fund-financed remedial 

action. Removal actions (including remedial planning activities, RI/FSs, and other actions taken pursuant 

to CERCLA section 104(b)) are not limited to NPL sites. 

(2) Inclusion of a release on the NPL does not imply that monies will be expended, nor does the rank of 

a release on the NPL establish the precise priorities for the allocation of Fund resources. EPA may also 

pursue other appropriate authorities to remedy the release, including enforcement actions under 

CERCLA and other laws. A site's rank on the NPL serves, along with other factors, including 

enforcement actions, as a basis to guide the allocation of Fund resources among releases. 

(3) Federal facilities that meet the criteria identified in paragraph (c) of this section are eligible for 

inclusion on the NPL. Except as provided by CERCLA sections 111(e)(3) and 111(c), federal facilities 

are not eligible for Fund-financed remedial actions. 

(4) Inclusion on the NPL is not a precondition to action by the lead agency under CERCLA sections 106 

or 122 or to action under CERCLA section 107 for recovery of non-Fund-financed costs or Fundfinanced costs other than Fund-financed remedial construction costs. 

(c) Methods for determining eligibility for NPL. A release may be included on the NPL if the release 

meets one of the following criteria: 

(1) The release scores sufficiently high pursuant to the Hazard Ranking System described in appendix A 

to this part. 

(2) A state (not including Indian tribes) has designated a release as its highest priority. States may make 

only one such designation; or 

(3) The release satisfies all of the following criteria: 

(i) The Agency for Toxic Substances and Disease Registry has issued a health advisory that 

recommends dissociation of individuals from the release; 

(ii) EPA determines that the release poses a significant threat to public health; and 

(iii) EPA anticipates that it will be more cost-effective to use its remedial authority than to use removal 

authority to respond to the release. 

(d) Procedures for placing sites on the NPL. Lead agencies may submit candidates to EPA by scoring 

the release using the HRS and providing the appropriate backup documentation. 

(1) Lead agencies may submit HRS scoring packages to EPA anytime throughout the year. 

(2) EPA shall review lead agencies' HRS scoring packages and revise them as appropriate. EPA shall 

develop any additional HRS scoring packages on releases known to EPA. 

(3) EPA shall compile the NPL based on the methods identified in paragraph (c) of this section. 

(4) EPA shall update the NPL at least once a year. 

(5) To ensure public involvement during the proposal to add a release to the NPL, EPA shall: 

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(i) Publish the proposed rule in the Federal Register and solicit comments through a public comment 

period; and 

(ii) Publish the final rule in theFederal Register,and make available a response to each significant 

comment and any significant new data submitted during the comment period. 

(6) Releases may be categorized on the NPL when deemed appropriate by EPA. 

(e) Deletion from the NPL. Releases may be deleted from or recategorized on the NPL where no further 

response is appropriate. 

(1) EPA shall consult with the state on proposed deletions from the NPL prior to developing the notice of 

intent to delete. In making a determination to delete a release from the NPL, EPA shall consider, in 

consultation with the state, whether any of the following criteria has been met: 

(i) Responsible parties or other persons have implemented all appropriate response actions required; 

(ii) All appropriate Fund-financed response under CERCLA has been implemented, and no further 

response action by responsible parties is appropriate; or 

(iii) The remedial investigation has shown that the release poses no significant threat to public health or 

the environment and, therefore, taking of remedial measures is not appropriate. 

(2) Releases shall not be deleted from the NPL until the state in which the release was located has 

concurred on the proposed deletion. EPA shall provide the state 30 working days for review of the 

deletion notice prior to its publication in the Federal Register . 

(3) All releases deleted from the NPL are eligible for further Fund-financed remedial actions should 

future conditions warrant such action. Whenever there is a significant release from a site deleted from 

the NPL, the site shall be restored to the NPL without application of the HRS. 

(4) To ensure public involvement during the proposal to delete a release from the NPL, EPA shall: 

(i) Publish a notice of intent to delete in the Federal Register and solicit comment through a public 

comment period of a minimum of 30 calendar days; 

(ii) In a major local newspaper of general circulation at or near the release that is proposed for deletion, 

publish a notice of availability of the notice of intent to delete; 

(iii) Place copies of information supporting the proposed deletion in the information repository, described 

in §300.430(c)(2)(iii), at or near the release proposed for deletion. These items shall be available for 

public inspection and copying; and 

(iv) Respond to each significant comment and any significant new data submitted during the comment 

period and include this response document in the final deletion package. 

(5) EPA shall place the final deletion package in the local information repository once the notice of final 

deletion has been published in the Federal Register . 

§ 300.430 Remedial investigation/feasibility study and selection of remedy. 

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(a) General —(1) Introduction. The purpose of the remedy selection process is to implement remedies 

that eliminate, reduce, or control risks to human health and the environment. Remedial actions are to be 

implemented as soon as site data and information make it possible to do so. Accordingly, EPA has 

established the following program goal, expectations, and program management principles to assist in 

the identification and implementation of appropriate remedial actions. 

(i) Program goal. The national goal of the remedy selection process is to select remedies that are 

protective of human health and the environment, that maintain protection over time, and that minimize 

untreated waste. 

(ii) Program management principles. EPA generally shall consider the following general principles of 

program management during the remedial process: 

(A) Sites should generally be remediated in operable units when early actions are necessary or 

appropriate to achieve significant risk reduction quickly, when phased analysis and response is 

necessary or appropriate given the size or complexity of the site, or to expedite the completion of total 

site cleanup. 

(B) Operable units, including interim action operable units, should not be inconsistent with nor preclude 

implementation of the expected final remedy. 

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(C) Site-specific data needs, the evaluation of alternatives, and the documentation of the selected 

remedy should reflect the scope and complexity of the site problems being addressed. 

(iii) Expectations. EPA generally shall consider the following expectations in developing appropriate 

remedial alternatives: 

(A) EPA expects to use treatment to address the principal threats posed by a site, wherever practicable. 

Principal threats for which treatment is most likely to be appropriate include liquids, areas contaminated 

with high concentrations of toxic compounds, and highly mobile materials. 

(B) EPA expects to use engineering controls, such as containment, for waste that poses a relatively low 

long-term threat or where treatment is impracticable. 

(C) EPA expects to use a combination of methods, as appropriate, to achieve protection of human 

health and the environment. In appropriate site situations, treatment of the principal threats posed by a 

site, with priority placed on treating waste that is liquid, highly toxic or highly mobile, will be combined 

with engineering controls (such as containment) and institutional controls, as appropriate, for treatment 

residuals and untreated waste. 

(D) EPA expects to use institutional controls such as water use and deed restrictions to supplement 

engineering controls as appropriate for short- and long-term management to prevent or limit exposure to 

hazardous substances, pollutants, or contaminants. Institutional controls may be used during the 

conduct of the remedial investigation/feasibility study (RI/FS) and implementation of the remedial action 

and, where necessary, as a component of the completed remedy. The use of institutional controls shall 

not substitute for active response measures (e.g., treatment and/or containment of source material, 

restoration of ground waters to their beneficial uses) as the sole remedy unless such active measures 

are determined not to be practicable, based on the balancing of trade-offs among alternatives that is 

conducted during the selection of remedy. 

(E) EPA expects to consider using innovative technology when such technology offers the potential for 

comparable or superior treatment performance or implementability, fewer or lesser adverse impacts than 

other available approaches, or lower costs for similar levels of performance than demonstrated 

technologies. 

(F) EPA expects to return usable ground waters to their beneficial uses wherever practicable, within a 

timeframe that is reasonable given the particular circumstances of the site. When restoration of ground 

water to beneficial uses is not practicable, EPA expects to prevent further migration of the plume, 

prevent exposure to the contaminated ground water, and evaluate further risk reduction. 

(2) Remedial investigation/feasibility study. The purpose of the remedial investigation/feasibility study 

(RI/FS) is to assess site conditions and evaluate alternatives to the extent necessary to select a remedy. 

Developing and conducting an RI/FS generally includes the following activities: project scoping, data 

collection, risk assessment, treatability studies, and analysis of alternatives. The scope and timing of 

these activities should be tailored to the nature and complexity of the problem and the response 

alternatives being considered. 

(b) Scoping. In implementing this section, the lead agency should consider the program goal, program 

management principles, and expectations contained in this rule. The investigative and analytical studies 

should be tailored to site circumstances so that the scope and detail of the analysis is appropriate to the 

complexity of site problems being addressed. During scoping, the lead and support agencies shall 

confer to identify the optimal set and sequence of actions necessary to address site problems. 

Specifically, the lead agency shall: 

(1) Assemble and evaluate existing data on the site, including the results of any removal actions, 

remedial preliminary assessment and site inspections, and the NPL listing process. 

(2) Develop a conceptual understanding of the site based on the evaluation of existing data described in 

paragraph (b)(1) of this section. 

(3) Identify likely response scenarios and potentially applicable technologies and operable units that may 

address site problems. 

(4) Undertake limited data collection efforts or studies where this information will assist in scoping the 

RI/FS or accelerate response actions, and begin to identify the need for treatability studies, as 

appropriate. 

(5) Identify the type, quality, and quantity of the data that will be collected during the RI/FS to support 

decisions regarding remedial response activities. 

(6) Prepare site-specific health and safety plans that shall specify, at a minimum, employee training and 

protective equipment, medical surveillance requirements, standard operating procedures, and a 

contingency plan that conforms with 29 CFR 1910.120 (l)(1) and (l)(2). 

(7) If natural resources are or may be injured by the release, ensure that state and federal trustees of the 

affected natural resources have been notified in order that the trustees may initiate appropriate actions, 

including those identified in subpart G of this part. The lead agency shall seek to coordinate necessary 

assessments, evaluations, investigations, and planning with such state and federal trustees. 

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(8) Develop sampling and analysis plans that shall provide a process for obtaining data of sufficient 

quality and quantity to satisfy data needs. Sampling and analysis plans shall be reviewed and approved 

by EPA. The sampling and analysis plans shall consist of two parts: 

(i) The field sampling plan, which describes the number, type, and location of samples and the type of 

analyses; and 

(ii) The quality assurance project plan, which describes policy, organization, and functional activities and 

the data quality objectives and measures necessary to achieve adequate data for use in selecting the 

appropriate remedy. 

(9) Initiate the identification of potential federal and state ARARs and, as appropriate, other criteria, 

advisories, or guidance to be considered. 

(c) Community relations. (1) The community relations requirements described in this section apply to all 

remedial activities undertaken pursuant to CERCLA section 104 and to section 106 or section 122 

consent orders or decrees, or section 106 administrative orders. 

(2) The lead agency shall provide for the conduct of the following community relations activities, to the 

extent practicable, prior to commencing field work for the remedial investigation: 

(i) Conducting interviews with local officials, community residents, public interest groups, or other 

interested or affected parties, as appropriate, to solicit their concerns and information needs, and to 

learn how and when citizens would like to be involved in the Superfund process. 

(ii) Preparing a formal community relations plan (CRP), based on the community interviews and other 

relevant information, specifying the community relations activities that the lead agency expects to 

undertake during the remedial response. The purpose of the CRP is to: 

(A) Ensure the public appropriate opportunities for involvement in a wide variety of site-related decisions, 

including site analysis and characterization, alternatives analysis, and selection of remedy; 

(B) Determine, based on community interviews, appropriate activities to ensure such public involvement, 

and 

(C) Provide appropriate opportunities for the community to learn about the site. 

(iii) Establishing at least one local information repository at or near the location of the response action. 

Each information repository should contain a copy of items made available to the public, including 

information that describes the technical assistance grants application process. The lead agency shall 

inform interested parties of the establishment of the information repository. 

(iv) Informing the community of the availability of technical assistance grants. 

(3) For PRP actions, the lead agency shall plan and implement the community relations program at a 

site. PRPs may participate in aspects of the community relations program at the discretion of and with 

oversight by the lead agency. 

(4) The lead agency may conduct technical discussions involving PRPs and the public. These technical 

discussions may be held separately from, but contemporaneously with, the negotiations/settlement 

discussions. 

(5) In addition, the following provisions specifically apply to enforcement actions: 

(i) Lead agencies entering into an enforcement agreement with de minimis parties under CERCLA 

section 122(g) or cost recovery settlements under section 122(h) shall publish a notice of the proposed 

agreement in the Federal Register at least 30 days before the agreement becomes final, as required by 

section 122(i). The notice must identify the name of the facility and the parties to the proposed 

agreement and must allow an opportunity for comment and consideration of comments; and 

(ii) Where the enforcement agreement is embodied in a consent decree, public notice and opportunity 

for public comment shall be provided in accordance with 28 CFR 50.7. 

(d) Remedial investigation. (1) The purpose of the remedial investigation (RI) is to collect data necessary 

to adequately characterize the site for the purpose of developing and evaluating effective remedial 

alternatives. To characterize the site, the lead agency shall, as appropriate, conduct field investigations, 

including treatability studies, and conduct a baseline risk assessment. The RI provides information to 

assess the risks to human health and the environment and to support the development, evaluation, and 

selection of appropriate response alternatives. Site characterization may be conducted in one or more 

phases to focus sampling efforts and increase the efficiency of the investigation. Because estimates of 

actual or potential exposures and associated impacts on human and environmental receptors may be 

refined throughout the phases of the RI as new information is obtained, site characterization activities 

should be fully integrated with the development and evaluation of alternatives in the feasibility study. 

Bench- or pilot-scale treatability studies shall be conducted, when appropriate and practicable, to 

provide additional data for the detailed analysis and to support engineering design of remedial 

alternatives. 

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(2) The lead agency shall characterize the nature of and threat posed by the hazardous substances and 

hazardous materials and gather data necessary to assess the extent to which the release poses a threat 

to human health or the environment or to support the analysis and design of potential response actions 

by conducting, as appropriate, field investigations to assess the following factors: 

(i) Physical characteristics of the site, including important surface features, soils, geology, hydrogeology, 

meteorology, and ecology; 

(ii) Characteristics or classifications of air, surface water, and ground water; 

(iii) The general characteristics of the waste, including quantities, state, concentration, toxicity, 

propensity to bioaccumulate, persistence, and mobility; 

(iv) The extent to which the source can be adequately identified and characterized; 

(v) Actual and potential exposure pathways through environmental media; 

(vi) Actual and potential exposure routes, for example, inhalation and ingestion; and 

(vii) Other factors, such as sensitive populations, that pertain to the characterization of the site or 

support the analysis of potential remedial action alternatives. 

(3) The lead and support agency shall identify their respective potential ARARs related to the location of 

and contaminants at the site in a timely manner. The lead and support agencies may also, as 

appropriate, identify other pertinent advisories, criteria, or guidance in a timely manner (see §300.400(g)

(3)). 

(4) Using the data developed under paragraphs (d)(1) and (2) of this section, the lead agency shall 

conduct a site-specific baseline risk assessment to characterize the current and potential threats to 

human health and the environment that may be posed by contaminants migrating to ground water or 

surface water, releasing to air, leaching through soil, remaining in the soil, and bioaccumulating in the 

food chain. The results of the baseline risk assessment will help establish acceptable exposure levels for 

use in developing remedial alternatives in the FS, as described in paragraph (e) of this section. 

(e) Feasibility study. (1) The primary objective of the feasibility study (FS) is to ensure that appropriate 

remedial alternatives are developed and evaluated such that relevant information concerning the 

remedial action options can be presented to a decision-maker and an appropriate remedy selected. The 

lead agency may develop a feasibility study to address a specific site problem or the entire site. The 

development and evaluation of alternatives shall reflect the scope and complexity of the remedial action 

under consideration and the site problems being addressed. Development of alternatives shall be fully 

integrated with the site characterization activities of the remedial investigation described in paragraph (d) 

of this section. The lead agency shall include an alternatives screening step, when needed, to select a 

reasonable number of alternatives for detailed analysis. 

(2) Alternatives shall be developed that protect human health and the environment by recycling waste or 

by eliminating, reducing, and/or controlling risks posed through each pathway by a site. The number and 

type of alternatives to be analyzed shall be determined at each site, taking into account the scope, 

characteristics, and complexity of the site problem that is being addressed. In developing and, as 

appropriate, screening the alternatives, the lead agency shall: 

(i) Establish remedial action objectives specifying contaminants and media of concern, potential 

exposure pathways, and remediation goals. Initially, preliminary remediation goals are developed based 

on readily available information, such as chemical-specific ARARs or other reliable information. 

Preliminary remediation goals should be modified, as necessary, as more information becomes available 

during the RI/FS. Final remediation goals will be determined when the remedy is selected. Remediation 

goals shall establish acceptable exposure levels that are protective of human health and the 

environment and shall be developed by considering the following: 

(A) Applicable or relevant and appropriate requirements under federal environmental or state 

environmental or facility siting laws, if available, and the following factors: 

( 1 ) For systemic toxicants, acceptable exposure levels shall represent concentration levels to which the 

human population, including sensitive subgroups, may be exposed without adverse effect during a 

lifetime or part of a lifetime, incorporating an adequate margin of safety; 

( 2 ) For known or suspected carcinogens, acceptable exposure levels are generally concentration levels 

that represent an excess upper bound lifetime cancer risk to an individual of between 10−4and 

10−6using information on the relationship between dose and response. The 10−6risk level shall be used 

as the point of departure for determining remediation goals for alternatives when ARARs are not 

available or are not sufficiently protective because of the presence of multiple contaminants at a site or 

multiple pathways of exposure; 

( 3 ) Factors related to technical limitations such as detection/quantification limits for contaminants; 

( 4 ) Factors related to uncertainty; and 

( 5 ) Other pertinent information. 

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(B) Maximum contaminant level goals (MCLGs), established under the Safe Drinking Water Act, that are 

set at levels above zero, shall be attained by remedial actions for ground or surface waters that are 

current or potential sources of drinking water, where the MCLGs are relevant and appropriate under the 

circumstances of the release based on the factors in §300.400(g)(2). If an MCLG is determined not to be 

relevant and appropriate, the corresponding maximum contaminant level (MCL) shall be attained where 

relevant and appropriate to the circumstances of the release. 

(C) Where the MCLG for a contaminant has been set at a level of zero, the MCL promulgated for that 

contaminant under the Safe Drinking Water Act shall be attained by remedial actions for ground or 

surface waters that are current or potential sources of drinking water, where the MCL is relevant and 

appropriate under the circumstances of the release based on the factors in §300.400(g)(2). 

(D) In cases involving multiple contaminants or pathways where attainment of chemical-specific ARARs 

will result in cumulative risk in excess of 10−4, criteria in paragraph (e)(2)(i)(A) of this section may also 

be considered when determining the cleanup level to be attained. 

(E) Water quality criteria established under sections 303 or 304 of the Clean Water Act shall be attained 

where relevant and appropriate under the circumstances of the release. 

(F) An alternate concentration limit (ACL) may be established in accordance with CERCLA section 121

(d)(2)(B)(ii). 

(G) Environmental evaluations shall be performed to assess threats to the environment, especially 

sensitive habitats and critical habitats of species protected under the Endangered Species Act. 

(ii) Identify and evaluate potentially suitable technologies, including innovative technologies; 

(iii) Assemble suitable technologies into alternative remedial actions. 

(3) For source control actions, the lead agency shall develop, as appropriate: 

(i) A range of alternatives in which treatment that reduces the toxicity, mobility, or volume of the 

hazardous substances, pollutants, or contaminants is a principal element. As appropriate, this range 

shall include an alternative that removes or destroys hazardous substances, pollutants, or contaminants 

to the maximum extent feasible, eliminating or minimizing, to the degree possible, the need for long-term 

management. The lead agency also shall develop, as appropriate, other alternatives which, at a 

minimum, treat the principal threats posed by the site but vary in the degree of treatment employed and 

the quantities and characteristics of the treatment residuals and untreated waste that must be managed; 

and 

(ii) One or more alternatives that involve little or no treatment, but provide protection of human health 

and the environment primarily by preventing or controlling exposure to hazardous substances, 

pollutants, or contaminants, through engineering controls, for example, containment, and, as necessary, 

institutional controls to protect human health and the environment and to assure continued effectiveness 

of the response action. 

(4) For ground-water response actions, the lead agency shall develop a limited number of remedial 

alternatives that attain site-specific remediation levels within different restoration time periods utilizing 

one or more different technologies. 

(5) The lead agency shall develop one or more innovative treatment technologies for further 

consideration if those technologies offer the potential for comparable or superior performance or 

implementability; fewer or lesser adverse impacts than other available approaches; or lower costs for 

similar levels of performance than demonstrated treatment technologies. 

(6) The no-action alternative, which may be no further action if some removal or remedial action has 

already occurred at the site, shall be developed. 

(7) As appropriate, and to the extent sufficient information is available, the short- and long-term aspects 

of the following three criteria shall be used to guide the development and screening of remedial 

alternatives: 

(i) Effectiveness. This criterion focuses on the degree to which an alternative reduces toxicity, mobility, 

or volume through treatment, minimizes residual risks and affords long-term protection, complies with 

ARARs, minimizes short-term impacts, and how quickly it achieves protection. Alternatives providing 

significantly less effectiveness than other, more promising alternatives may be eliminated. Alternatives 

that do not provide adequate protection of human health and the environment shall be eliminated from 

further consideration. 

(ii) Implementability. This criterion focuses on the technical feasibility and availability of the technologies 

each alternative would employ and the administrative feasibility of implementing the alternative. 

Alternatives that are technically or administratively infeasible or that would require equipment, 

specialists, or facilities that are not available within a reasonable period of time may be eliminated from 

further consideration. 

(iii) Cost. The costs of construction and any long-term costs to operate and maintain the alternatives 

shall be considered. Costs that are grossly excessive compared to the overall effectiveness of 

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alternatives may be considered as one of several factors used to eliminate alternatives. Alternatives 

providing effectiveness and implementability similar to that of another alternative by employing a similar 

method of treatment or engineering control, but at greater cost, may be eliminated. 

(8) The lead agency shall notify the support agency of the alternatives that will be evaluated in detail to 

facilitate the identification of ARARs and, as appropriate, pertinent advisories, criteria, or guidance to be 

considered. 

(9) Detailed analysis of alternatives. (i) A detailed analysis shall be conducted on the limited number of 

alternatives that represent viable approaches to remedial action after evaluation in the screening stage. 

The lead and support agencies must identify their ARARs related to specific actions in a timely manner 

and no later than the early stages of the comparative analysis. The lead and support agencies may also, 

as appropriate, identify other pertinent advisories, criteria, or guidance in a timely manner. 

(ii) The detailed analysis consists of an assessment of individual alternatives against each of nine 

evaluation criteria and a comparative analysis that focuses upon the relative performance of each 

alternative against those criteria. 

(iii) Nine criteria for evaluation. The analysis of alternatives under review shall reflect the scope and 

complexity of site problems and alternatives being evaluated and consider the relative significance of the 

factors within each criteria. The nine evaluation criteria are as follows: 

(A) Overall protection of human health and the environment. Alternatives shall be assessed to determine 

whether they can adequately protect human health and the environment, in both the short- and longterm, from unacceptable risks posed by hazardous substances, pollutants, or contaminants present at 

the site by eliminating, reducing, or controlling exposures to levels established during development of 

remediation goals consistent with §300.430(e)(2)(i). Overall protection of human health and the 

environment draws on the assessments of other evaluation criteria, especially long-term effectiveness 

and permanence, short-term effectiveness, and compliance with ARARs. 

(B) Compliance with ARARs. The alternatives shall be assessed to determine whether they attain 

applicable or relevant and appropriate requirements under federal environmental laws and state 

environmental or facility siting laws or provide grounds for invoking one of the waivers under paragraph 

(f)(1)(ii)(C) of this section. 

(C) Long-term effectiveness and permanence. Alternatives shall be assessed for the long-term 

effectiveness and permanence they afford, along with the degree of certainty that the alternative will 

prove successful. Factors that shall be considered, as appropriate, include the following: 

( 1 ) Magnitude of residual risk remaining from untreated waste or treatment residuals remaining at the 

conclusion of the remedial activities. The characteristics of the residuals should be considered to the 

degree that they remain hazardous, taking into account their volume, toxicity, mobility, and propensity to 

bioaccumulate. 

( 2 ) Adequacy and reliability of controls such as containment systems and institutional controls that are 

necessary to manage treatment residuals and untreated waste. This factor addresses in particular the 

uncertainties associated with land disposal for providing long-term protection from residuals; the 

assessment of the potential need to replace technical components of the alternative, such as a cap, a 

slurry wall, or a treatment system; and the potential exposure pathways and risks posed should the 

remedial action need replacement. 

(D) Reduction of toxicity, mobility, or volume through treatment. The degree to which alternatives employ 

recycling or treatment that reduces toxicity, mobility, or volume shall be assessed, including how 

treatment is used to address the principal threats posed by the site. Factors that shall be considered, as 

appropriate, include the following: 

( 1 ) The treatment or recycling processes the alternatives employ and materials they will treat; 

( 2 ) The amount of hazardous substances, pollutants, or contaminants that will be destroyed, treated, or 

recycled; 

( 3 ) The degree of expected reduction in toxicity, mobility, or volume of the waste due to treatment or 

recycling and the specification of which reduction(s) are occurring; 

( 4 ) The degree to which the treatment is irreversible; 

( 5 ) The type and quantity of residuals that will remain following treatment, considering the persistence, 

toxicity, mobility, and propensity to bioaccumulate of such hazardous substances and their constituents; 

and 

( 6 ) The degree to which treatment reduces the inherent hazards posed by principal threats at the site. 

(E) Short-term effectiveness. The short-term impacts of alternatives shall be assessed considering the 

following: 

( 1 ) Short-term risks that might be posed to the community during implementation of an alternative; 

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( 2 ) Potential impacts on workers during remedial action and the effectiveness and reliability of 

protective measures; 

( 3 ) Potential environmental impacts of the remedial action and the effectiveness and reliability of 

mitigative measures during implementation; and 

( 4 ) Time until protection is achieved. 

(F) Implementability. The ease or difficulty of implementing the alternatives shall be assessed by 

considering the following types of factors as appropriate: 

( 1 ) Technical feasibility, including technical difficulties and unknowns associated with the construction 

and operation of a technology, the reliability of the technology, ease of undertaking additional remedial 

actions, and the ability to monitor the effectiveness of the remedy. 

( 2 ) Administrative feasibility, including activities needed to coordinate with other offices and agencies 

and the ability and time required to obtain any necessary approvals and permits from other agencies (for 

off-site actions); 

( 3 ) Availability of services and materials, including the availability of adequate off-site treatment, 

storage capacity, and disposal capacity and services; the availability of necessary equipment and 

specialists, and provisions to ensure any necessary additional resources; the availability of services and 

materials; and availability of prospective technologies. 

(G) Cost. The types of costs that shall be assessed include the following: 

( 1 ) Capital costs, including both direct and indirect costs; 

( 2 ) Annual operation and maintenance costs; and 

( 3 ) Net present value of capital and O&M costs. 

(H) State acceptance. Assessment of state concerns may not be completed until comments on the 

RI/FS are received but may be discussed, to the extent possible, in the proposed plan issued for public 

comment. The state concerns that shall be assessed include the following: 

( 1 ) The state's position and key concerns related to the preferred alternative and other alternatives; and 

( 2 ) State comments on ARARs or the proposed use of waivers. 

(I) Community acceptance. This assessment includes determining which components of the alternatives 

interested persons in the community support, have reservations about, or oppose. This assessment may 

not be completed until comments on the proposed plan are received. 

(f) Selection of remedy —(1) Remedies selected shall reflect the scope and purpose of the actions being 

undertaken and how the action relates to long-term, comprehensive response at the site. 

(i) The criteria noted in paragraph (e)(9)(iii) of this section are used to select a remedy. These criteria are 

categorized into three groups. 

(A) Threshold criteria. Overall protection of human health and the environment and compliance with 

ARARs (unless a specific ARAR is waived) are threshold requirements that each alternative must meet 

in order to be eligible for selection. 

(B) Primary balancing criteria. The five primary balancing criteria are long-term effectiveness and 

permanence; reduction of toxicity, mobility, or volume through treatment; short-term effectiveness; 

implementability; and cost. 

(C) Modifying criteria. State and community acceptance are modifying criteria that shall be considered in 

remedy selection. 

(ii) The selection of a remedial action is a two-step process and shall proceed in accordance with 

§300.515(e). First, the lead agency, in conjunction with the support agency, identifies a preferred 

alternative and presents it to the public in a proposed plan, for review and comment. Second, the lead 

agency shall review the public comments and consult with the state (or support agency) in order to 

determine if the alternative remains the most appropriate remedial action for the site or site problem. The 

lead agency, as specified in §300.515(e), makes the final remedy selection decision, which shall be 

documented in the ROD. Each remedial alternative selected as a Superfund remedy will employ the 

criteria as indicated in paragraph (f)(1)(i) of this section to make the following determination: 

(A) Each remedial action selected shall be protective of human health and the environment. 

(B) On-site remedial actions selected in a ROD must attain those ARARs that are identified at the time of 

ROD signature or provide grounds for invoking a waiver under §300.430(f)(1)(ii)(C). 

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( 1 ) Requirements that are promulgated or modified after ROD signature must be attained (or waived) 

only when determined to be applicable or relevant and appropriate and necessary to ensure that the 

remedy is protective of human health and the environment. 

( 2 ) Components of the remedy not described in the ROD must attain (or waive) requirements that are 

identified as applicable or relevant and appropriate at the time the amendment to the ROD or the 

explanation of significant difference describing the component is signed. 

(C) An alternative that does not meet an ARAR under federal environmental or state environmental or 

facility siting laws may be selected under the following circumstances: 

( 1 ) The alternative is an interim measure and will become part of a total remedial action that will attain 

the applicable or relevant and appropriate federal or state requirement; 

( 2 ) Compliance with the requirement will result in greater risk to human health and the environment 

than other alternatives; 

( 3 ) Compliance with the requirement is technically impracticable from an engineering perspective; 

( 4 ) The alternative will attain a standard of performance that is equivalent to that required under the 

otherwise applicable standard, requirement, or limitation through use of another method or approach; 

( 5 ) With respect to a state requirement, the state has not consistently applied, or demonstrated the 

intention to consistently apply, the promulgated requirement in similar circumstances at other remedial 

actions within the state; or 

( 6 ) For Fund-financed response actions only, an alternative that attains the ARAR will not provide a 

balance between the need for protection of human health and the environment at the site and the 

availability of Fund monies to respond to other sites that may present a threat to human health and the 

environment. 

(D) Each remedial action selected shall be cost-effective, provided that it first satisfies the threshold 

criteria set forth in §300.430(f)(1)(ii)(A) and (B). Cost-effectiveness is determined by evaluating the 

following three of the five balancing criteria noted in §300.430(f)(1)(i)(B) to determine overall 

effectiveness: long-term effectiveness and permanence, reduction of toxicity, mobility, or volume through 

treatment, and short-term effectiveness. Overall effectiveness is then compared to cost to ensure that 

the remedy is cost-effective. A remedy shall be cost-effective if its costs are proportional to its overall 

effectiveness. 

(E) Each remedial action shall utilize permanent solutions and alternative treatment technologies or 

resource recovery technologies to the maximum extent practicable. This requirement shall be fulfilled by 

selecting the alternative that satisfies paragraph (f)(1)(ii)(A) and (B) of this section and provides the best 

balance of trade-offs among alternatives in terms of the five primary balancing criteria noted in 

paragraph (f)(1)(i)(B) of this section. The balancing shall emphasize long-term effectiveness and 

reduction of toxicity, mobility, or volume through treatment. The balancing shall also consider the 

preference for treatment as a principal element and the bias against off-site land disposal of untreated 

waste. In making the determination under this paragraph, the modifying criteria of state acceptance and 

community acceptance described in paragraph (f)(1)(i)(C) of this section shall also be considered. 

(2) The proposed plan. In the first step in the remedy selection process, the lead agency shall identify 

the alternative that best meets the requirements in §300.430(f)(1), above, and shall present that 

alternative to the public in a proposed plan. The lead agency, in conjunction with the support agency and 

consistent with §300.515(e), shall prepare a proposed plan that briefly describes the remedial 

alternatives analyzed by the lead agency, proposes a preferred remedial action alternative, and 

summarizes the information relied upon to select the preferred alternative. The selection of remedy 

process for an operable unit may be initiated at any time during the remedial action process. The 

purpose of the proposed plan is to supplement the RI/FS and provide the public with a reasonable 

opportunity to comment on the preferred alternative for remedial action, as well as alternative plans 

under consideration, and to participate in the selection of remedial action at a site. At a minimum, the 

proposed plan shall: 

(i) Provide a brief summary description of the remedial alternatives evaluated in the detailed analysis 

established under paragraph (e)(9) of this section; 

(ii) Identify and provide a discussion of the rationale that supports the preferred alternative; 

(iii) Provide a summary of any formal comments received from the support agency; and 

(iv) Provide a summary explanation of any proposed waiver identified under paragraph (f)(1)(ii)(C) of this 

section from an ARAR. 

(3) Community relations to support the selection of remedy. (i) The lead agency, after preparation of the 

proposed plan and review by the support agency, shall conduct the following activities: 

(A) Publish a notice of availability and brief analysis of the proposed plan in a major local newspaper of 

general circulation; 

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(B) Make the proposed plan and supporting analysis and information available in the administrative 

record required under subpart I of this part; 

(C) Provide a reasonable opportunity, not less than 30 calendar days, for submission of written and oral 

comments on the proposed plan and the supporting analysis and information located in the information 

repository, including the RI/FS. Upon timely request, the lead agency will extend the public comment 

period by a minimum of 30 additional days; 

(D) Provide the opportunity for a public meeting to be held during the public comment period at or near 

the site at issue regarding the proposed plan and the supporting analysis and information; 

(E) Keep a transcript of the public meeting held during the public comment period pursuant to CERCLA 

section 117(a) and make such transcript available to the public; and 

(F) Prepare a written summary of significant comments, criticisms, and new relevant information 

submitted during the public comment period and the lead agency response to each issue. This 

responsiveness summary shall be made available with the record of decision. 

(ii) After publication of the proposed plan and prior to adoption of the selected remedy in the record of 

decision, if new information is made available that significantly changes the basic features of the remedy 

with respect to scope, performance, or cost, such that the remedy significantly differs from the original 

proposal in the proposed plan and the supporting analysis and information, the lead agency shall: 

(A) Include a discussion in the record of decision of the significant changes and reasons for such 

changes, if the lead agency determines such changes could be reasonably anticipated by the public 

based on the alternatives and other information available in the proposed plan or the supporting analysis 

and information in the administrative record; or 

(B) Seek additional public comment on a revised proposed plan, when the lead agency determines the 

change could not have been reasonably anticipated by the public based on the information available in 

the proposed plan or the supporting analysis and information in the administrative record. The lead 

agency shall, prior to adoption of the selected remedy in the ROD, issue a revised proposed plan, which 

shall include a discussion of the significant changes and the reasons for such changes, in accordance 

with the public participation requirements described in paragraph (f)(3)(i) of this section. 

(4) Final remedy selection. (i) In the second and final step in the remedy selection process, the lead 

agency shall reassess its initial determination that the preferred alternative provides the best balance of 

trade-offs, now factoring in any new information or points of view expressed by the state (or support 

agency) and community during the public comment period. The lead agency shall consider state (or 

support agency) and community comments regarding the lead agency's evaluation of alternatives with 

respect to the other criteria. These comments may prompt the lead agency to modify aspects of the 

preferred alternative or decide that another alternative provides a more appropriate balance. The lead 

agency, as specified in §300.515(e), shall make the final remedy selection decision and document that 

decision in the ROD. 

(ii) If a remedial action is selected that results in hazardous substances, pollutants, or contaminants 

remaining at the site above levels that allow for unlimited use and unrestricted exposure, the lead 

agency shall review such action no less often than every five years after initiation of the selected 

remedial action. 

(iii) The process for selection of a remedial action at a federal facility on the NPL, pursuant to CERCLA 

section 120, shall entail: 

(A) Joint selection of remedial action by the head of the relevant department, agency, or instrumentality 

and EPA; or 

(B) If mutual agreement on the remedy is not reached, selection of the remedy is made by EPA. 

(5) Documenting the decision. (i) To support the selection of a remedial action, all facts, analyses of 

facts, and site-specific policy determinations considered in the course of carrying out activities in this 

section shall be documented, as appropriate, in a record of decision, in a level of detail appropriate to 

the site situation, for inclusion in the administrative record required under subpart I of this part. 

Documentation shall explain how the evaluation criteria in paragraph (e)(9)(iii) of this section were used 

to select the remedy. 

(ii) The ROD shall describe the following statutory requirements as they relate to the scope and 

objectives of the action: 

(A) How the selected remedy is protective of human health and the environment, explaining how the 

remedy eliminates, reduces, or controls exposures to human and environmental receptors; 

(B) The federal and state requirements that are applicable or relevant and appropriate to the site that the 

remedy will attain; 

(C) The applicable or relevant and appropriate requirements of other federal and state laws that the 

remedy will not meet, the waiver invoked, and the justification for invoking the waiver; 

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(D) How the remedy is cost-effective, i.e. , explaining how the remedy provides overall effectiveness 

proportional to its costs; 

(E) How the remedy utilizes permanent solutions and alternative treatment technologies or resource 

recovery technologies to the maximum extent practicable; and 

(F) Whether the preference for remedies employing treatment which permanently and significantly 

reduces the toxicity, mobility, or volume of the hazardous substances, pollutants, or contaminants as a 

principal element is or is not satisfied by the selected remedy. If this preference is not satisfied, the 

record of decision must explain why a remedial action involving such reductions in toxicity, mobility, or 

volume was not selected. 

(iii) The ROD also shall: 

(A) Indicate, as appropriate, the remediation goals, discussed in paragraph (e)(2)(i) of this section, that 

the remedy is expected to achieve. Performance shall be measured at appropriate locations in the 

ground water, surface water, soils, air, and other affected environmental media. Measurement relating to 

the performance of the treatment processes and the engineering controls may also be identified, as 

appropriate; 

(B) Discuss significant changes and the response to comments described in paragraph (f)(3)(i)(F) of this 

section; 

(C) Describe whether hazardous substances, pollutants, or contaminants will remain at the site such that 

a review of the remedial action under paragraph (f)(4)(ii) of this section no less often than every five 

years shall be required; and 

(D) When appropriate, provide a commitment for further analysis and selection of long-term response 

measures within an appropriate time-frame. 

(6) Community relations when the record of decision is signed. After the ROD is signed, the lead agency 

shall: 

(i) Publish a notice of the availability of the ROD in a major local newspaper of general circulation; and 

(ii) Make the record of decision available for public inspection and copying at or near the facility at issue 

prior to the commencement of any remedial action. 

§ 300.435 Remedial design/remedial action, operation and maintenance. 

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(a) General. The remedial design/remedial action (RD/RA) stage includes the development of the actual 

design of the selected remedy and implementation of the remedy through construction. A period of 

operation and maintenance may follow the RA activities. 

(b) RD/RA activities. (1) All RD/RA activities shall be in conformance with the remedy selected and set 

forth in the ROD or other decision document for that site. Those portions of RD/RA sampling and 

analysis plans describing the QA/QC requirements for chemical and analytical testing and sampling 

procedures of samples taken for the purpose of determining whether cleanup action levels specified in 

the ROD are achieved, generally will be consistent with the requirements of §300.430(b)(8). 

(2) During the course of the RD/RA, the lead agency shall be responsible for ensuring that all federal 

and state requirements that are identified in the ROD as applicable or relevant and appropriate 

requirements for the action are met. If waivers from any ARARs are involved, the lead agency shall be 

responsible for ensuring that the conditions of the waivers are met. 

(c) Community relations. (1) Prior to the initiation of RD, the lead agency shall review the CRP to 

determine whether it should be revised to describe further public involvement activities during RD/RA 

that are not already addressed or provided for in the CRP. 

(2) After the adoption of the ROD, if the remedial action or enforcement action taken, or the settlement 

or consent decree entered into, differs significantly from the remedy selected in the ROD with respect to 

scope, performance, or cost, the lead agency shall consult with the support agency, as appropriate, and 

shall either: 

(i) Publish an explanation of significant differences when the differences in the remedial or enforcement 

action, settlement, or consent decree significantly change but do not fundamentally alter the remedy 

selected in the ROD with respect to scope, performance, or cost. To issue an explanation of significant 

differences, the lead agency shall: 

(A) Make the explanation of significant differences and supporting information available to the public in 

the administrative record established under §300.815 and the information repository; and 

(B) Publish a notice that briefly summarizes the explanation of significant differences, including the 

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reasons for such differences, in a major local newspaper of general circulation; or 

(ii) Propose an amendment to the ROD if the differences in the remedial or enforcement action, 

settlement, or consent decree fundamentally alter the basic features of the selected remedy with respect 

to scope, performance, or cost. To amend the ROD, the lead agency, in conjunction with the support 

agency, as provided in §300.515(e), shall: 

(A) Issue a notice of availability and brief description of the proposed amendment to the ROD in a major 

local newspaper of general circulation; 

(B) Make the proposed amendment to the ROD and information supporting the decision available for 

public comment; 

(C) Provide a reasonable opportunity, not less than 30 calendar days, for submission of written or oral 

comments on the amendment to the ROD. Upon timely request, the lead agency will extend the public 

comment period by a minimum of 30 additional days; 

(D) Provide the opportunity for a public meeting to be held during the public comment period at or near 

the facility at issue; 

(E) Keep a transcript of comments received at the public meeting held during the public comment period; 

(F) Include in the amended ROD a brief explanation of the amendment and the response to each of the 

significant comments, criticisms, and new relevant information submitted during the public comment 

period; 

(G) Publish a notice of the availability of the amended ROD in a major local newspaper of general 

circulation; and 

(H) Make the amended ROD and supporting information available to the public in the administrative 

record and information repository prior to the commencement of the remedial action affected by the 

amendment. 

(3) After the completion of the final engineering design, the lead agency shall issue a fact sheet and 

provide, as appropriate, a public briefing prior to the initiation of the remedial action. 

(d) Contractor conflict of interest. (1) For Fund-financed RD/RA and O&M activities, the lead agency 

shall: 

(i) Include appropriate language in the solicitation requiring potential prime contractors to submit 

information on their status, as well as the status of their subcontractors, parent companies, and affiliates, 

as potentially responsible parties at the site. 

(ii) Require potential prime contractors to certify that, to the best of their knowledge, they and their 

potential subcontractors, parent companies, and affiliates have disclosed all information described in 

§300.435(d)(1)(i) or that no such information exists, and that any such information discovered after 

submission of their bid or proposal or contract award will be disclosed immediately. 

(2) Prior to contract award, the lead agency shall evaluate the information provided by the potential 

prime contractors and: 

(i) Determine whether they have conflicts of interest that could significantly impact the performance of 

the contract or the liability of potential prime contractors or subcontractors. 

(ii) If a potential prime contractor or subcontractor has a conflict of interest that cannot be avoided or 

otherwise resolved, and using that potential prime contractor or subcontractor to conduct RD/RA or O&M 

work under a Fund-financed action would not be in the best interests of the state or federal government, 

an offeror or bidder contemplating use of that prime contractor or subcontractor may be declared 

nonresponsible or ineligible for award in accordance with appropriate acquisition regulations, and the 

contract may be awarded to the next eligible offeror or bidder. 

(e) Recontracting. (1) If a Fund-financed contract must be terminated because additional work outside 

the scope of the contract is needed, EPA is authorized to take appropriate steps to continue interim RAs 

as necessary to reduce risks to public health and the environment. Appropriate steps may include 

extending an existing contract for a federal-lead RA or amending a cooperative agreement for a statelead RA. Until the lead agency can reopen the bidding process and recontract to complete the RA, EPA 

may take such appropriate steps as described above to cover interim work to reduce such risks, where: 

(i) Additional work is found to be needed as a result of such unforeseen situations as newly discovered 

sources, types, or quantities of hazardous substances at a facility; and 

(ii) Performance of the complete RA requires the lead agency to rebid the contract because the existing 

contract does not encompass this newly discovered work. 

(2) The cost of such interim actions shall not exceed $2 million. 

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(f) Operation and maintenance. (1) Operation and maintenance (O&M) measures are initiated after the 

remedy has achieved the remedial action objectives and remediation goals in the ROD, and is 

determined to be operational and functional, except for ground- or surface-water restoration actions 

covered under §300.435(f)(4). A state must provide its assurance to assume responsibility for O&M, 

including, where appropriate, requirements for maintaining institutional controls, under §300.510(c). 

(2) A remedy becomes “operational and functional” either one year after construction is complete, or 

when the remedy is determined concurrently by EPA and the state to be functioning properly and is 

performing as designed, whichever is earlier. EPA may grant extensions to the one-year period, as 

appropriate. 

(3) For Fund-financed remedial actions involving treatment or other measures to restore ground- or 

surface-water quality to a level that assures protection of human health and the environment, the 

operation of such treatment or other measures for a period of up to 10 years after the remedy becomes 

operational and functional will be considered part of the remedial action. Activities required to maintain 

the effectiveness of such treatment or measures following the 10-year period, or after remedial action is 

complete, whichever is earlier, shall be considered O&M. For the purposes of federal funding provided 

under CERCLA section 104(c)(6), a restoration activity will be considered administratively “complete” 

when: 

(i) Measures restore ground- or surface-water quality to a level that assures protection of human health 

and the environment; 

(ii) Measures restore ground or surface water to such a point that reductions in contaminant 

concentrations are no longer significant; or 

(iii) Ten years have elapsed, whichever is earliest. 

(4) The following shall not be deemed to constitute treatment or other measures to restore contaminated 

ground or surface water under §300.435(f)(3): 

(i) Source control maintenance measures; and 

(ii) Ground- or surface-water measures initiated for the primary purpose of providing a drinking-water 

supply, not for the purpose of restoring ground water. 

§ 300.440 Procedures for planning and implementing off-site response actions. 

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(a) Applicability. (1) This section applies to any remedial or removal action involving the off-site transfer 

of any hazardous substance, pollutant, or contaminant as defined under CERCLA sections 101 (14) and 

(33) (“CERCLA waste”) that is conducted by EPA, States, private parties, or other Federal agencies, that 

is Fund-financed and/or is taken pursuant to any CERCLA authority, including cleanups at Federal 

facilities under section 120 of CERCLA, and cleanups under section 311 of the Clean Water Act (except 

for cleanup of petroleum exempt under CERCLA). Applicability extends to those actions taken jointly 

under CERCLA and another authority. 

(2) In cases of emergency removal actions under CERCLA, emergency actions taken during remedial 

actions, or response actions under section 311 of the Clean Water Act where the release poses an 

immediate and significant threat to human health and the environment, the On-Scene Coordinator 

(OSC) may determine that it is necessary to transfer CERCLA waste off-site without following the 

requirements of this section. 

(3) This section applies to CERCLA wastes from cleanup actions based on CERCLA decision 

documents signed or consent decrees lodged after October 17, 1986 (“post-SARA CERCLA wastes”) as 

well as those based on CERCLA decision documents signed and consent decrees lodged prior to 

October 17, 1986 (“pre-SARA CERCLA wastes”). Pre-SARA and post-SARA CERCLA wastes are 

subject to the same acceptability criteria in §300.440(b)(1) and (2). 

(4) EPA (usually the EPA Regional Office) will determine the acceptability under this section of any 

facility selected for the treatment, storage, or disposal of CERCLA waste. EPA will determine if there are 

relevant releases or relevant violations at a facility prior to the facility's initial receipt of CERCLA waste. 

A facility which has previously been evaluated and found acceptable under this rule (or the preceding 

policy) is acceptable until the EPA Regional Office notifies the facility otherwise pursuant to §300.440(d). 

(5) Off-site transfers of those laboratory samples and treatability study CERCLA wastes from CERCLA 

sites set out in paragraphs (a)(5)(i) through (iii) of this section, are not subject to the requirements of this 

section. However, those CERCLA wastes may not be transferred back to the CERCLA site unless the 

Remedial Project Manager or OSC assures the proper management of the CERCLA waste samples or 

residues and gives permission to the laboratory or treatment facility for the samples and/or residues to 

be returned to the site. 

(i) Samples of CERCLA wastes sent to a laboratory for characterization; 

(ii) RCRA hazardous wastes that are being transferred from a CERCLA site for treatability studies and 

that meet the requirements for an exemption for RCRA under 40 CFR 261.4(e); and 

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(iii) Non-RCRA wastes that are being transferred from a CERCLA site for treatability studies and that are 

below the quantity threshold established at 40 CFR 261.4(e)(2). 

(b) Acceptability criteria —(1) Facility compliance. (i) A facility will be deemed in compliance for the 

purpose of this rule if there are no relevant violations at or affecting the unit or units receiving CERCLA 

waste: 

(A) For treatment to standards specified in 40 CFR part 268, subpart D, including any pre-treatment or 

storage units used prior to treatment; 

(B) For treatment to substantially reduce its mobility, toxicity or persistence in the absence of a defined 

treatment standard, including any pre-treatment or storage units used prior to treatment; or 

(C) For storage or ultimate disposal of CERCLA waste not treated to the previous criteria at the same 

facility. 

(ii) Relevant violations include significant deviations from regulations, compliance order provisions, or 

permit conditions designed to: ensure that CERCLA waste is destined for and delivered to authorized 

facilities; prevent releases of hazardous waste, hazardous constituents, or hazardous substances to the 

environment; ensure early detection of such releases; or compel corrective action for releases. Criminal 

violations which result in indictment are also relevant violations. In addition, violations of the following 

requirements may be considered relevant: 

(A) Applicable subsections of sections 3004 and 3005 of RCRA or, where applicable, other Federal laws 

(such as the Toxic Substances Control Act and subtitle D of RCRA); 

(B) Applicable sections of State environmental laws; and 

(C) In addition, land disposal units at RCRA subtitle C facilities receiving RCRA hazardous waste from 

response actions authorized or funded under CERCLA must be in compliance with RCRA section 3004

(o) minimum technology requirements. Exceptions may be made only if the unit has been granted a 

waiver from these requirements under 40 CFR 264.301. 

(2) Releases. (i) Release is defined in §300.5 of this part. Releases under this section do not include: 

(A) De minimis releases; 

(B) Releases permitted under Federal programs or under Federal programs delegated to the States 

(Federally permitted releases are defined in §300.5), except to the extent that such releases are found to 

pose a threat to human health and the environment; or 

(C) Releases to the air that do not exceed standards promulgated pursuant to RCRA section 3004(n), or 

absent such standards, or where such standards do not apply, releases to the air that do not present a 

threat to human health or the environment. 

(ii) Releases from units at a facility designated for off-site transfer of CERCLA waste must be addressed 

as follows: 

(A) Receiving units at RCRA subtitle C facilities. CERCLA wastes may be transferred to an off-site unit 

regulated under subtitle C of RCRA, including a facility regulated under the permit-by-rule provisions of 

40 CFR 270.60 (a), (b) or (c), only if that unit is not releasing any hazardous waste, hazardous 

constituent, or hazardous substance into the ground water, surface water, soil or air. 

(B) Other units at RCRA subtitle C land disposal facilities. CERCLA wastes may not be transferred to 

any unit at a RCRA subtitle C land disposal facility where a non-receiving unit is releasing any 

hazardous waste, hazardous constituent, or hazardous substance into the ground water, surface water, 

soil, or air, unless that release is controlled by an enforceable agreement for corrective action under 

subtitle C of RCRA or other applicable Federal or State authority. For purposes of this section, a RCRA 

“land disposal facility” is any RCRA facility at which a land disposal unit is located, regardless of whether 

a land disposal unit is the receiving unit. 

(C) Other units at RCRA subtitle C treatment, storage, and permit-by-rule facilities. CERCLA wastes 

may not be transferred to any unit at a RCRA subtitle C treatment, storage or permit-by-rule facility, 

where a release of any hazardous waste, hazardous constituent, or hazardous substance from nonreceiving units poses a significant threat to public health or the environment, unless that release is 

controlled by an enforceable agreement for corrective action under subtitle C of RCRA or other 

applicable Federal or State authority. 

(D) All other facilities. CERCLA wastes should not be transferred to any unit at an other-than-RCRA 

subtitle C facility if the EPA Regional Office has information indicating that an environmentally significant 

release of hazardous substances has occurred at that facility, unless the release is controlled by an 

enforceable agreement for corrective action under an applicable Federal or State authority. 

(iii) Releases are considered to be “controlled” for the purpose of this section as provided in §300.440 (f)

(3)(iv) and (f)(3)(v). A release is not considered “controlled” for the purpose of this section during the 

pendency of administrative or judicial challenges to corrective action requirements, unless the facility 

has made the requisite showing under §300.440(e). 

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(c) Basis for determining acceptability. (1) If a State finds that a facility within its jurisdiction is operating 

in non-compliance with state law requirements including the requirements of any Federal program for 

which the State has been authorized, EPA will determine, after consulting with the State as appropriate, 

if the violation is relevant under the rule and if so, issue an initial determination of unacceptability. 

(2) If a State finds that releases are occurring at a facility regulated under State law or a Federal 

program for which the State is authorized, EPA will determine, after consulting with the State as 

appropriate, if the release is relevant under the rule and if so, issue an initial determination of 

unacceptability. 

(3) EPA may also issue initial determinations of unacceptability based on its own findings. EPA can 

undertake any inspections, data collection and/or assessments necessary. EPA will then notify with the 

State about the results and issue a determination notice if a relevant violation or release is found. 

(d) Determination of unacceptability. (1) Upon initial determination by the EPA Regional Office that a 

facility being considered for the off-site transfer of any CERCLA waste does not meet the criteria for 

acceptability stated in §300.440(b), the EPA Region shall notify the owner/operator of such facility, and 

the responsible agency in the State in which the facility is located, of the unacceptability finding. The 

notice will be sent by certified and first-class mail, return receipt requested. The certified notice, if not 

acknowledged by the return receipt card, should be considered to have been received by the addressee 

if properly sent by regular mail to the last address known to the EPA Regional Office. 

(2) The notice shall generally: state that based on available information from a RCRA Facility 

Assessment (RFA), inspection, or other data sources, the facility has been found not to meet the 

requirements of §300.440; cite the specific acts, omissions, or conditions which form the basis of these 

findings; and inform the owner/operator of the procedural recourse available under this regulation. 

(3) A facility which was previously evaluated and found acceptable under this rule (or the preceding 

policy) may continue to receive CERCLA waste for 60 calendar days after the date of issuance of the 

notice, unless otherwise determined in accordance with paragraphs (d)(8) or (d)(9) of this section. 

(4) If the owner or operator of the facility in question submits a written request for an informal conference 

with the EPA Regional Office within 10 calendar days from the issuance of the notice, the EPA Regional 

Office shall provide the opportunity for such conference no later than 30 calendar days after the date of 

the notice, if possible, to discuss the basis for the underlying violation or release determination, and its 

relevance to the facility's acceptability to receive CERCLA cleanup wastes. State representatives may 

attend the informal conference, submit written comments prior to the informal conference, and/or request 

additional meetings with the EPA Region, relating to the unacceptability issue during the determination 

process. If no State representative is present, EPA shall notify the State of the outcome of the 

conference. An owner/operator may submit written comments by the 30th day after issuance of the 

notice, in addition to or instead of requesting an informal conference. 

(5) If the owner or operator neither requests an informal conference nor submits written comments, the 

facility becomes unacceptable to receive CERCLA waste on the 60th day after the notice is issued (or 

on such other date designated under paragraph (d)(9) of this section). The facility will remain 

unacceptable until such time as the EPA Regional Office notifies the owner or operator otherwise. 

(6) If an informal conference is held or written comments are received, the EPA Region shall decide 

whether or not the information provided is sufficient to show that the facility is operating in physical 

compliance with respect to the relevant violations cited in the initial notice of unacceptability, and that all 

relevant releases have been eliminated or controlled, as required in paragraph (b)(2) of this section, 

such that a determination of acceptability would be appropriate. EPA will notify the owner/operator in 

writing whether or not the information provided is sufficient to support a determination of acceptability. 

Unless EPA determines that information provided by the owner/operator and the State is sufficient to 

support a determination of acceptability, the facility becomes unacceptable on the 60th calendar day 

after issuance of the original notice of unacceptability (or other date established pursuant to paragraphs 

(d)(8) or (d)(9) of this section). 

(7) Within 10 days of hearing from the EPA Regional Office after the informal conference or the submittal 

of written comments, the owner/operator or the State may request a reconsideration of the 

unacceptability determination by the EPA Regional Administrator (RA). Reconsideration may be by 

review of the record, by conference, or by other means deemed appropriate by the Regional 

Administrator; reconsideration does not automatically stay the determination beyond the 60-day period. 

The owner/operator will receive notice in writing of the decision of the RA. 

(8) The EPA Regional Administrator may decide to extend the 60-day period if more time is required to 

review a submission. The facility owner/operator shall be notified in writing if the Regional Administrator 

extends the 60 days. 

(9) The EPA Regional Office may decide that a facility's unacceptability is immediately effective (or 

effective in less than 60 days) in extraordinary situations such as, but not limited to, emergencies at the 

facility or egregious violations. The EPA Region shall notify the facility owner/operator of the date of 

unacceptability, and may modify timeframes for comments and other procedures accordingly. 

(e) Unacceptability during administrative and judicial challenges of corrective action decisions. For a 

facility with releases that are subject to a corrective action permit, order, or decree, an administrative or 

judicial challenge to the corrective action (or a challenge to a permit modification calling for additional 

corrective action) shall not be considered to be part of a corrective action “program” controlling those 

releases and shall not act to stay a determination of unacceptability under this rule. However, such 

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facility may remain acceptable to receive CERCLA waste during the pendency of the appeal or litigation 

if: 

(1) It satisfies the EPA Regional Office that adequate interim corrective action measures will continue at 

the facility; or 

(2) It demonstrates to the EPA Regional Office the absence of a need to take corrective action during 

the short-term, interim period. 

Either demonstration may be made during the 60-day review period in the context of the informal 

conference and RA reconsideration. 

(f) Re-evaluating unacceptability. If, after notification of unacceptability and the opportunity to confer as 

described in §300.440(d), the facility remains unacceptable, the facility can regain acceptability. A facility 

found to be unacceptable to receive CERCLA wastes based on relevant violations or releases may 

regain acceptability if the following conditions are met: 

(1) Judgment on the merits. The facility has prevailed on the merits in an administrative or judicial 

challenge to the finding of noncompliance or uncontrolled releases upon which the unacceptability 

determination was based. 

(2) Relevant violations. The facility has demonstrated to the EPA Region its return to physical 

compliance for the relevant violations cited in the notice. 

(3) Releases. The facility has demonstrated to the EPA Region that: 

(i) All releases from receiving units at RCRA subtitle C facilities have been eliminated and prior 

contamination from such releases is controlled by a corrective action program approved under subtitle C 

of RCRA; 

(ii) All releases from other units at RCRA subtitle C land disposal facilities are controlled by a corrective 

action program approved under subtitle C of RCRA; 

(iii) All releases from other units at RCRA subtitle C treatment and storage facilities do not pose a 

significant threat to human health or the environment, or are controlled by a corrective action program 

approved under subtitle C of RCRA. 

(iv) A RCRA subtitle C corrective action program may be incorporated into a permit, order, or decree, 

including the following: a corrective action order under RCRA section 3008(h), section 7003 or section 

3013, a RCRA permit under 40 CFR 264.100 or 264.101, or a permit under an equivalent authority in a 

State authorized for corrective action under RCRA section 3004(u). Releases will be deemed controlled 

upon issuance of the order, permit, or decree which initiates and requires completion of one or more of 

the following: a RCRA Facility Investigation, a RCRA Corrective Measures Study, and/or Corrective 

Measures Implementation. The release remains controlled as long as the facility is in compliance with 

the order, permit, or decree, and enters into subsequent agreements for implementation of additional 

corrective action measures when necessary, except during periods of administrative or judicial 

challenges, when the facility must make a demonstration under §300.440(e) in order to remain 

acceptable. 

(v) Facilities with releases regulated under other applicable Federal laws, or State laws under a 

Federally-delegated program may regain acceptability under this section if the releases are deemed by 

the EPA Regional Office not to pose a threat to human health or the environment, or if the facility enters 

into an enforceable agreement under those laws to conduct corrective action activities to control 

releases. Releases will be deemed controlled upon the issuance of an order, permit, or decree which 

initiates and requires one or more of the following: a facility investigation, a corrective action study, 

and/or corrective measures implementation. The release remains controlled as long as the facility is in 

compliance with the order, permit, or decree, and enters into subsequent agreements for implementation 

of additional corrective measures when necessary, except during periods of administrative or judicial 

challenges, when the facility must make a demonstration under §300.440(e) in order to remain 

acceptable. 

(4) Prior to the issuance of a determination that a facility has returned to acceptability, the EPA Region 

shall notify the State in which the facility is located, and provide an opportunity for the State to discuss 

the facility's acceptability status with EPA. 

(5) An unacceptable facility may be reconsidered for acceptability whenever the EPA Regional Office 

finds that the facility fulfills the criteria stated in §300.440(b). Upon such a finding, the EPA Regional 

Office shall notify the facility and the State in writing. 

[58 FR 49215, Sept. 22, 1993] 

Subpart F—State Involvement in Hazardous Substance Response 

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Source: 55 FR 8853, Mar. 8, 1990, unless otherwise noted. 

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§ 300.500 General. 

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(a) EPA shall ensure meaningful and substantial state involvement in hazardous substance response as 

specified in this subpart. EPA shall provide an opportunity for state participation in removal, preremedial, remedial, and enforcement response activities. EPA shall encourage states to enter into an 

EPA/state Superfund Memorandum of Agreement (SMOA) under §300.505 to increase state 

involvement and strengthen the EPA/state partnership. 

(b) EPA shall encourage states to participate in Fund-financed response in two ways. Pursuant to 

§300.515(a), states may either assume the lead through a cooperative agreement for the response 

action or may be the support agency in EPA-lead remedial response. Section 300.515 sets forth 

requirements for state involvement in EPA-lead remedial and enforcement response and also addresses 

comparable requirements for EPA involvement in state-lead remedial and enforcement response. 

Section 300.520 specifies requirements for state involvement in EPA-lead enforcement negotiations. 

Section 300.525 specifies requirements for state involvement in removal actions. In addition to the 

requirements set forth in this subpart, 40 CFR part 35, subpart O, “Cooperative Agreements and 

Superfund State Contracts for Superfund Response Actions,” contains further requirements for state 

participation during response. 

§ 300.505 EPA/State Superfund Memorandum of Agreement (SMOA). 

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(a) The SMOA may establish the nature and extent of EPA and state interaction during EPA-lead and 

state-lead response (Indian tribes meeting the requirements of §300.515(b) may be treated as states for 

purposes of this section). EPA shall enter into SMOA discussions if requested by a state. The following 

may be addressed in a SMOA: 

(1) The EPA/state or Indian tribe relationship for removal, pre-remedial, remedial, and enforcement 

response, including a description of the roles and the responsibilities of each. 

(2) The general requirements for EPA oversight. Oversight requirements may be more specifically 

defined in cooperative agreements. 

(3) The general nature of lead and support agency interaction regarding the review of key documents 

and/or decision points in removal, pre-remedial, remedial, and enforcement response. The requirements 

for EPA and state review of each other's key documents when each is serving as the support agency 

shall be equivalent to the extent practicable. Review times agreed to in the SMOA must also be 

documented in site-specific cooperative agreements or Superfund state contracts in order to be binding. 

(4) Procedures for modification of the SMOA (e.g., if EPA and a state agree that the lead and support 

agency roles and responsibilities have changed, or if modifications are required to achieve desired 

goals). 

(b) The SMOA and any modifications thereto shall be executed by the EPA Regional Administrator and 

the head of the state agency designated as lead agency for state implementation of CERCLA. 

(c) Site-specific agreements entered into pursuant to section 104(d)(1) of CERCLA shall be developed in 

accordance with 40 CFR part 35, subpart O. The SMOA shall not supersede such agreements. 

(d)(1) EPA and the state shall consult annually to determine priorities and make lead and support 

agency designations for removal, pre-remedial, remedial, and enforcement response to be conducted 

during the next fiscal year and to discuss future priorities and long-term requirements for response. 

These consultations shall include the exchange of information on both Fund- and non-Fund-financed 

response activities. The SMOA may describe the timeframe and process for the EPA/state consultation. 

(2) The following activities shall be discussed in the EPA/state consultations established in the SMOA, or 

otherwise initiated and documented in writing in the absence of a SMOA, on a site-specific basis with 

EPA and the state identifying the lead agency for each response action discussed: 

(i) Pre-remedial response actions, including preliminary assessments and site inspections; 

(ii) Hazard Ranking System scoring and NPL listing and deletion activities; 

(iii) Remedial phase activities, including remedial investigation/feasibility study, identification of potential 

applicable or relevant and appropriate requirements (ARARs) under federal and state environmental 

laws and, as appropriate, other advisories, criteria, or guidance to be considered (TBCs), proposed plan, 

ROD, remedial design, remedial action, and operation and maintenance; 

(iv) Potentially responsible party (PRP) searches, notices to PRPs, response to information requests, 

PRP negotiations, oversight of PRPs, other enforcement actions pursuant to state law, and activities 

where the state provides support to EPA; 

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(v) Compilation and maintenance of the administrative record for selection of a response action as 

required by subpart I of this part; 

(vi) Related site support activities; 

(vii) State ability to share in the cost and timing of payments; and 

(viii) General CERCLA implementation activities. 

(3) If a state is designated as the lead agency for a non-Fund-financed action at an NPL site, the SMOA 

shall be supplemented by site-specific enforcement agreements between EPA and the state which 

specify schedules and EPA involvement. 

(4) In the absence of a SMOA, EPA and the state shall comply with the requirements in §300.515(h). If 

the SMOA does not address all of the requirements specified in §300.515(h), EPA and the state shall 

comply with any unaddressed requirements in that section. 

§ 300.510 State assurances. 

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(a) A Fund-financed remedial action undertaken pursuant to CERCLA section 104(a) cannot proceed 

unless a state provides its applicable required assurances. The assurances must be provided by the 

state prior to the initiation of remedial action pursuant to a Superfund state contract for EPA-lead (or 

political subdivision-lead) remedial action or pursuant to a cooperative agreement for a state-lead 

remedial action. The SMOA may not be used for this purpose. Federally recognized Indian tribes are not 

required to provide CERCLA section 104(c)(3) assurances for Fund-financed response actions. Further 

requirements pertaining to state, political subdivision, and federally recognized Indian tribe involvement 

in CERCLA response are found in 40 CFR part 35, subpart O. 

(b)(1) The state is not required to share in the cost of state- or EPA-lead Fund-financed removal actions 

(including remedial planning activities associated with remedial actions) conducted pursuant to CERCLA 

section 104 unless the facility was operated by the state or a political subdivision thereof at the time of 

disposal of hazardous substances therein and a remedial action is ultimately undertaken at the site. 

Such remedial planning activities include, but are not limited to, remedial investigations (RIs), feasibility 

studies (FSs), and remedial design (RD). States shall be required to share 50 percent, or greater, in the 

cost of all Fund-financed response actions if the facility was publicly operated at the time of the disposal 

of hazardous substances. For other facilities, except federal facilities, the state shall be required to share 

10 percent of the cost of the remedial action. 

(2) CERCLA section 104(c)(5) provides that EPA shall grant a state credit for reasonable, documented, 

direct, out-of-pocket, non-federal expenditures subject to the limitations specified in CERCLA section 

104(c)(5). For a state to apply credit toward its cost share, it must enter into a cooperative agreement or 

Superfund state contract. The state must submit as soon as possible, but no later than at the time 

CERCLA section 104 assurances are provided for a remedial action, its accounting of eligible credit 

expenditures for EPA verification. Additional credit requirements are contained in 40 CFR part 35, 

subpart O. 

(3) Credit may be applied to a state's future cost share requirements at NPL sites for response 

expenditures or obligations incurred by the state or a political subdivision from January 1, 1978 to 

December 11, 1980, and for the remedial action expenditures incurred only by the state after October 

17, 1986. 

(4) Credit that exceeds the required cost share at the site for which the credit is granted may be 

transferred to another site to offset a state's required remedial action cost share. 

(c)(1) Prior to a Fund-financed remedial action, the state must also provide its assurance in accordance 

with CERCLA section 104(c)(3)(A) to assume responsibility for operation and maintenance of 

implemented remedial actions for the expected life of such actions. In addition, when appropriate, as 

part of the O&M assurance, the state must assure that any institutional controls implemented as part of 

the remedial action at a site are in place, reliable, and will remain in place after the initiation of O&M. The 

state and EPA shall consult on a plan for operation and maintenance prior to the initiation of a remedial 

action. 

(2) After a joint EPA/State inspection of the implemented Fund-financed remedial action under §300.515

(g), EPA may share, for any extension period established in §300.435(f)(2), in the cost of the operation 

of the remedy to ensure that the remedy is operational and functional. In the case of restoration of 

ground or surface water, EPA shall share in the cost of the State's operation of ground- or surface-water 

restoration remedial actions as specified in §300.435(f)(3). 

(d) In accordance with CERCLA sections 104 (c)(3)(B) and 121(d)(3), if the remedial action requires offsite storage, destruction, treatment, or disposal, the state must provide its assurance before the remedial 

action begins on the availability of a hazardous waste disposal facility that is in compliance with 

CERCLA section 121(d)(3) and is acceptable to EPA. 

(e)(1) In accordance with CERCLA section 104(c)(9), EPA shall not provide any remedial action 

pursuant to CERCLA section 104 until the state in which the release occurs enters into a cooperative 

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agreement or Superfund state contract with EPA providing assurances deemed adequate by EPA that 

the state will assure the availability of hazardous waste treatment or disposal facilities which: 

(i) Have adequate capacity for the destruction, treatment, or secure disposition of all hazardous wastes 

that are reasonably expected to be generated within the state during the 20-year period following the 

date of such cooperative agreement or Superfund state contract and to be destroyed, treated, or 

disposed; 

(ii) Are within the state, or outside the state in accordance with an interstate agreement or regional 

agreement or authority; 

(iii) Are acceptable to EPA; and 

(iv) Are in compliance with the requirements of Subtitle C of the Solid Waste Disposal Act. 

(2) This rule does not address whether or not Indian tribes are states for purposes of this paragraph (e). 

(f) EPA may determine that an interest in real property must be acquired in order to conduct a response 

action. However, as provided in CERCLA section 104(j)(2), EPA may acquire an interest in real estate in 

order to conduct a remedial action only if the State in which the interest to be acquired is located 

provides assurances, through a contract, cooperative agreement or otherwise, that the State will accept 

transfer of the interest upon completion of the remedial action. For purposes of this paragraph, 

“completion of the remedial action” is the point at which operation and maintenance (O&M) measures 

would be initiated pursuant to §300.435(f). The State may accept a transfer of interest at an earlier point 

in time if agreed upon in writing by the State and EPA. Indian tribe assurances are to be provided as set 

out at 40 CFR part 35, subpart O, §35.6110(b)(2). 

[55 FR 8853, Mar. 8, 1990, as amended at 59 FR 35854, July 14, 1994] 

§ 300.515 Requirements for state involvement in remedial and enforcement response. 

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(a) General. (1) States are encouraged to undertake actions authorized under subpart E. Section 104(d)

(1) of CERCLA authorizes EPA to enter into cooperative agreements or contracts with a state, political 

subdivision, or a federally recognized Indian tribe to carry out Fund-financed response actions 

authorized under CERCLA, when EPA determines that the state, the political subdivision, or federally 

recognized Indian tribe has the capability to undertake such actions. EPA will use a cooperative 

agreement to transfer funds to those entities to undertake Fund-financed response activities. The 

requirements for states, political subdivisions, or Indian tribes to receive funds as a lead or support 

agency for response are addressed at 40 CFR part 35, subpart O. 

(2) For EPA-lead Fund-financed remedial planning activities, including, but not limited to, remedial 

investigations, feasibility studies, and remedial designs, the state agency acceptance of the support 

agency role during an EPA-lead response shall be documented in a letter, SMOA, or cooperative 

agreement. Superfund state contracts are unnecessary for this purpose. 

(3) Cooperative agreements and Superfund state contracts are only appropriate for non-Fund-financed 

response actions if a state intends to seek credit for remedial action expenses under §300.510. 

(b) Indian tribe involvement during response. To be afforded substantially the same treatment as states 

under section 104 of CERCLA, the governing body of the Indian tribe must: 

(1) Be federally recognized; and 

(2) Have a tribal governing body that is currently performing governmental functions to promote the 

health, safety, and welfare of the affected population or to protect the environment within a defined 

geographic area; and 

(3) Have jurisdiction over a site at which Fund-financed response, including pre-remedial activities, is 

contemplated. 

(c) State involvement in PA/SI and National Priorities List process. EPA shall ensure state involvement 

in the listing and deletion process by providing states opportunities for review, consultation, or 

concurrence specified in this section. 

(1) EPA shall consult with states as appropriate on the information to be used in developing HRS scores 

for releases. 

(2) EPA shall, to the extent feasible, provide the state 30 working days to review releases which were 

scored by EPA and which will be considered for placement on the National Priorities List (NPL). 

(3) EPA shall provide the state 30 working days to review and concur on the Notice of Intent to Delete a 

release from the NPL. Section 300.425 describes the EPA/state consultation and concurrence process 

for deleting releases from the NPL. 

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(d) State involvement in RI/FS process. A key component of the EPA/state partnership shall be the 

communication of potential federal and state ARARs and, as appropriate, other pertinent advisories, 

criteria, or guidance to be considered (TBCs). 

(1) In accordance with §§300.400(g) and 300.430, the lead and support agencies shall identify their 

respective potential ARARs and communicate them to each other in a timely manner, i.e. , no later than 

the early stages of the comparative analysis described in §300.430(e)(9), such that sufficient time is 

available for the lead agency to consider and incorporate all potential ARARs without inordinate delays 

and duplication of effort. The lead and support agencies may also identify TBCs and communicate them 

in a timely manner. 

(2) When a state and EPA have entered into a SMOA, the SMOA may specify a consultation process 

which requires the lead agency to solicit potential ARARs at specified points in the remedial planning 

and remedy selection processes. At a minimum, the SMOA shall include the points specified in 

§300.515(h)(2). The SMOA shall specify timeframes for support agency response to lead agency 

requests to ensure that potential ARARs are identified and communicated in a timely manner. Such 

timeframes must also be documented in site-specific agreements. The SMOA may also discuss 

identification and communication of TBCs. 

(3) If EPA in its statement of a proposed plan intends to waive any state-identified ARARs, or does not 

agree with the state that a certain state standard is an ARAR, it shall formally notify the state when it 

submits the RI/FS report for state review or responds to the state's submission of the RI/FS report. 

(4) EPA shall respond to state comments on waivers from or disagreements about state ARARs, as well 

as the preferred alternative when making the RI/FS report and proposed plan available for public 

comment. 

(e) State involvement in selection of remedy. (1) Both EPA and the state shall be involved in preliminary 

discussions of the alternatives addressed in the FS prior to preparation of the proposed plan and ROD. 

At the conclusion of the RI/FS, the lead agency, in conjunction with the support agency, shall develop a 

proposed plan. The support agency shall have an opportunity to comment on the plan. The lead agency 

shall publish a notice of availability of the RI/FS report and a brief analysis of the proposed plan pursuant 

to §300.430(e) and (f). Included in the proposed plan shall be a statement that the lead and support 

agencies have reached agreement or, where this is not the case, a statement explaining the concerns of 

the support agency with the lead agency's proposed plan. The state may not publish a proposed plan 

that EPA has not approved. EPA may assume the lead from the state if agreement cannot be reached. 

(2)(i) EPA and the state shall identify, at least annually, sites for which RODs will be prepared during the 

next fiscal year, in accordance with §300.515(h)(1). For all EPA-lead sites, EPA shall prepare the ROD 

and provide the state an opportunity to concur with the recommended remedy. For Fund-financed statelead sites, EPA and the state shall designate sites, in a site-specific agreement, for which the state shall 

prepare the ROD and seek EPA's concurrence and adoption of the remedy specified therein, and sites 

for which EPA shall prepare the ROD and seek the state's concurrence. EPA and the state may 

designate sites for which the state shall prepare the ROD for non-Fund-financed state-lead enforcement 

response actions ( i.e. , actions taken under state law) at an NPL site. The state may seek EPA's 

concurrence in the remedy specified therein. Either EPA or the state may choose not to designate a site 

as state-lead. 

(ii) State concurrence on a ROD is not a prerequisite to EPA's selecting a remedy, i.e. , signing a ROD, 

nor is EPA's concurrence a prerequisite to a state's selecting a remedy at a non-Fund-financed statelead enforcement site under state law. Unless EPA's Assistant Administrator for Solid Waste and 

Emergency Response or Regional Administrator concurs in writing with a state-prepared ROD, EPA 

shall not be deemed to have approved the state decision. A state may not proceed with a Fund-financed 

response action unless EPA has first concurred in and adopted the ROD. Section 300.510(a) specifies 

limitations on EPA's proceeding with a remedial action without state assurances. 

(iii) The lead agency shall provide the support agency with a copy of the signed ROD for remedial 

actions to be conducted pursuant to CERCLA. 

(iv) On state-lead sites identified for EPA concurrence, the state generally shall be expected to maintain 

its lead agency status through the completion of the remedial action. 

(f) Enhancement of remedy. (1) A state may ask EPA to make changes in or expansions of a remedial 

action selected under subpart E. 

(i) If EPA finds that the proposed change or expansion is necessary and appropriate to the EPA-selected 

remedial action, the remedy may be modified (consistent with §300.435(c)(2)) and any additional costs 

paid as part of the remedial action. 

(ii) If EPA finds that the proposed change or expansion is not necessary to the selected remedial action, 

but would not conflict or be inconsistent with the EPA-selected remedy, EPA may agree to integrate the 

proposed change or expansion into the planned CERCLA remedial work if: 

(A) The state agrees to fund the entire additional cost associated with the change or expansion; and 

(B) The state agrees to assume the lead for supervising the state-funded component of the remedy or, if 

EPA determines that the state-funded component cannot be conducted as a separate phase or activity, 

for supervising the remedial design and construction of the entire remedy. 

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(2) Where a state does not concur in a remedial action secured by EPA under CERCLA section 106, 

and the state desires to have the remedial action conform to an ARAR that has been waived under 

§300.430(f)(1)(ii)(C), a state may seek to have that remedial action so conform, in accordance with the 

procedures set out in CERCLA section 121(f)(2) . 

(g) State involvement in remedial design/remedial action. The extent and nature of state involvement 

during remedial design and remedial action shall be specified in site-specific cooperative agreements or 

Superfund state contracts, consistent with 40 CFR part 35, subpart O. For Fund-financed remedial 

actions, the lead and support agencies shall conduct a joint inspection at the conclusion of construction 

of the remedial action to determine that the remedy has been constructed in accordance with the ROD 

and with the remedial design. 

(h) Requirements for state involvement in absence of SMOA. In the absence of a SMOA, EPA and the 

state shall comply with the requirements in §300.515(h). If the SMOA does not address all of the 

requirements specified in §300.515(h), EPA and the state shall comply with any unaddressed 

requirements in that section. 

(1) Annual consultations. EPA shall conduct consultations with states at least annually to establish 

priorities and identify and document in writing the lead for remedial and enforcement response for each 

NPL site within the state for the upcoming fiscal year. States shall be given the opportunity to participate 

in long-term planning efforts for remedial and enforcement response during these annual consultations. 

(2) Identification of ARARs and TBCs. The lead and support agencies shall discuss potential ARARs 

during the scoping of the RI/FS. The lead agency shall request potential ARARs from the support 

agency no later than the time that the site characterization data are available. The support agency shall 

communicate in writing those potential ARARs to the lead agency within 30 working days of receipt of 

the lead agency request for these ARARs. The lead and support agencies may also discuss and 

communicate other pertinent advisories, criteria, or guidance to be considered (TBCs). After the initial 

screening of alternatives has been completed but prior to initiation of the comparative analysis 

conducted during the detailed analysis phase of the FS, the lead agency shall request that the support 

agency communicate any additional requirements that are applicable or relevant and appropriate to the 

alternatives contemplated within 30 working days of receipt of this request. The lead agency shall 

thereafter consult the support agency to ensure that identified ARARs and TBCs are updated as 

appropriate. 

(3) Support agency review of lead agency documents. The lead agency shall provide the support agency 

an opportunity to review and comment on the RI/FS, proposed plan, ROD, and remedial design, and any 

proposed determinations on potential ARARs and TBCs. The support agency shall have a minimum of 

10 working days and a maximum of 15 working days to provide comments to the lead agency on the 

RI/FS, ROD, ARAR/TBC determinations, and remedial design. The support agency shall have a 

minimum of five working days and a maximum of 10 working days to comment on the proposed plan. 

(i) Administrative record requirements. The state, where it is the lead agency for a Fund-financed site, 

shall compile and maintain the administrative record for selection of a response action under subpart I of 

this part unless specified otherwise in the SMOA. 

§ 300.520 State involvement in EPA-lead enforcement negotiations. 

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(a) EPA shall notify states of response action negotiations to be conducted by EPA with potentially 

responsible parties during each fiscal year. 

(b) The state must notify EPA of such negotiations in which it intends to participate. 

(c) The state is not foreclosed from signing a consent decree if it does not participate substantially in the 

negotiations. 

§ 300.525 State involvement in removal actions. 

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(a) States may undertake Fund-financed removal actions pursuant to a cooperative agreement with 

EPA. State-lead removal actions taken pursuant to cooperative agreements must be conducted in 

accordance with §300.415 on removal actions, and 40 CFR part 35, subpart O. 

(b) States are not required under section 104(c)(3) of CERCLA to share in the cost of a Fund-financed 

removal action, unless the removal is conducted at an NPL site that was operated by a state or political 

subdivision at the time of disposal of hazardous substances therein and a Fund-financed remedial action 

is ultimately undertaken at the site. In this situation, states are required to share, 50 percent or greater, 

in the cost of all removal (including remedial planning) and remedial action costs at the time of the 

remedial action. 

(c) States are encouraged to provide for post-removal site control as discussed in §300.415(k) for all 

Fund-financed removal actions. 

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(d) States shall be responsible for identifying potential state ARARs for all Fund-financed removal 

actions and for providing such ARARs to EPA in a timely manner for all EPA-lead removal actions. 

(e) EPA shall consult with a state on all removal actions to be conducted in that state. 

Subpart G—Trustees for Natural Resources 

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Source: 59 FR 47450, Sept. 15, 1994, unless otherwise noted. 

§ 300.600 Designation of federal trustees. 

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(a) The President is required to designate in the NCP those federal officials who are to act on behalf of 

the public as trustees for natural resources. Federal officials so designated will act pursuant to section 

107(f) of CERCLA, section 311(f)(5) of the CWA, and section 1006 of the OPA. Natural resources 

means land, fish, wildlife, biota, air, water, ground water, drinking water supplies, and other such 

resources belonging to, managed by, held in trust by, appertaining to, or otherwise controlled 

(hereinafter referred to as “managed or controlled”) by the United States (including the resources of the 

exclusive economic zone). 

(b) The following individuals shall be the designated trustee(s) for general categories of natural 

resources, including their supporting ecosystems. They are authorized to act pursuant to section 107(f) 

of CERCLA, section 311(f)(5) of the CWA, or section 1006 of the OPA when there is injury to, 

destruction of, loss of, or threat to natural resources, including their supporting ecosystems, as a result 

of a release of a hazardous substance or a discharge of oil. Notwithstanding the other designations in 

this section, the Secretaries of Commerce and the Interior shall act as trustees of those resources 

subject to their respective management or control. 

(1) Secretary of Commerce. The Secretary of Commerce shall act as trustee for natural resources 

managed or controlled by DOC and for natural resources managed or controlled by other federal 

agencies and that are found in, under, or using waters navigable by deep draft vessels, tidally influenced 

waters, or waters of the contiguous zone, the exclusive economic zone, and the outer continental shelf. 

However, before the Secretary takes an action with respect to an affected resource under the 

management or control of another federal agency, he shall, whenever practicable, seek to obtain the 

concurrence of that other federal agency. Examples of the Secretary's trusteeship include the following 

natural resources and their supporting ecosystems: marine fishery resources; anadromous fish; 

endangered species and marine mammals; and the resources of National Marine Sanctuaries and 

National Estuarine Research Reserves. 

(2) Secretary of the Interior. The Secretary of the Interior shall act as trustee for natural resources 

managed or controlled by the DOI. Examples of the Secretary's trusteeship include the following natural 

resources and their supporting ecosystems: migratory birds; anadromous fish; endangered species and 

marine mammals; federally owned minerals; and certain federally managed water resources. The 

Secretary of the Interior shall also be trustee for those natural resources for which an Indian tribe would 

otherwise act as trustee in those cases where the United States acts on behalf of the Indian tribe. 

(3) Secretary for the land managing agency. For natural resources located on, over, or under land 

administered by the United States, the trustee shall be the head of the department in which the land 

managing agency is found. The trustees for the principal federal land managing agencies are the 

Secretaries of DOI, USDA, DOD, and DOE. 

(4) Head of authorized agencies. For natural resources located in the United States but not otherwise 

described in this section, the trustee shall be the head of the federal agency or agencies authorized to 

manage or control those resources. 

§ 300.605 State trustees. 

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State trustees shall act on behalf of the public as trustees for natural resources, including their 

supporting ecosystems, within the boundary of a state or belonging to, managed by, controlled by, or 

appertaining to such state. For the purposes of subpart G of this part, the definition of the term state 

does not include Indian tribes. The governor of a state is encouraged to designate a state lead trustee to 

coordinate all state trustee responsibilities with other trustee agencies and with response activities of the 

RRT and OSC. The state's lead trustee would designate a representative to serve as contact with the 

OSC. This individual should have ready access to appropriate state officials with environmental 

protection, emergency response, and natural resource responsibilities. The EPA Administrator or USCG 

Commandant or their designees may appoint the state lead trustee as a member of the Area Committee. 

Response strategies should be coordinated between the state and other trustees and the OSC for 

specific natural resource locations in an inland or coastal zone and should be included in the Fish and 

Wildlife and Sensitive Environments Plan annex of the ACP. 

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§ 300.610 Indian tribes. 

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The tribal chairmen (or heads of the governing bodies) of Indian tribes, as defined in §300.5, or a person 

designated by the tribal officials, shall act on behalf of the Indian tribes as trustees for the natural 

resources, including their supporting ecosystems, belonging to, managed by, controlled by, or 

appertaining to such Indian tribe, or held in trust for the benefit of such Indian tribe, or belonging to a 

member of such Indian tribe, if such resources are subject to a trust restriction on alienation. When the 

tribal chairman or head of the tribal governing body designates another person as trustee, the tribal 

chairman or head of the tribal governing body shall notify the President of such designation. Such 

officials are authorized to act when there is injury to, destruction of, loss of, or threat to natural 

resources, including their supporting ecosystems as a result of a release of a hazardous substance. 

§ 300.612 Foreign trustees. 

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Pursuant to section 1006 of the OPA, foreign trustees shall act on behalf of the head of a foreign 

government as trustees for natural resources belonging to, managed by, controlled by, or appertaining to 

such foreign government. 

§ 300.615 Responsibilities of trustees. 

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(a) Where there are multiple trustees, because of coexisting or contiguous natural resources or 

concurrent jurisdictions, they should coordinate and cooperate in carrying out these responsibilities. 

(b) Trustees are responsible for designating to the RRTs and the Area Committees, for inclusion in the 

RCP and the ACP, appropriate contacts to receive notifications from the OSCs/RPMs of discharges or 

releases. 

(c)(1) Upon notification or discovery of injury to, destruction of, loss of, or threat to natural resources, 

trustees may, pursuant to section 107(f) of CERCLA, or section 311(f)(5) of the CWA, take the following 

or other actions as appropriate: 

(i) Conduct a preliminary survey of the area affected by the discharge or release to determine if trust 

resources under their jurisdiction are, or potentially may be, affected; 

(ii) Cooperate with the OSC/RPM in coordinating assessments, investigations, and planning; 

(iii) Carry out damage assessments; or 

(iv) Devise and carry out a plan for restoration, rehabilitation, replacement, or acquisition of equivalent 

natural resources. In assessing damages to natural resources, the federal, state, and Indian tribe 

trustees have the option of following the procedures for natural resource damage assessments located 

at 43 CFR part 11. 

(2) Upon notification or discovery of injury to, destruction of, loss of, or loss of use of, natural resources, 

or the potential for such, resulting from a discharge of oil occurring after August 18, 1990, the trustees, 

pursuant to section 1006 of the OPA, are to take the following actions: 

(i) In accordance with OPA section 1006(c), determine the need for assessment of natural resource 

damages, collect data necessary for a potential damage assessment, and, where appropriate, assess 

damages to natural resources under their trusteeship; and 

(ii) As appropriate, and subject to the public participation requirements of OPA section 1006(c), develop 

and implement a plan for the restoration, rehabilitation, replacement, or acquisition of the equivalent, of 

the natural resources under their trusteeship; 

(3)(i) The trustees, consistent with procedures specified in the Fish and Wildlife and Sensitive 

Environments Plan Annex to the Area Contingency Plan, shall provide timely advice on recommended 

actions concerning trustee resources that are potentially affected by a discharge of oil. This may include 

providing assistance to the OSC in identifying/recommending pre-approved response techniques and in 

predesignating shoreline types and areas in ACPs. 

(ii) The trustees shall assure, through the lead administrative trustee, that the OSC is informed of their 

activities regarding natural resource damage assessment that may affect response operations in order 

to assure coordination and minimize any interference with such operations. The trustees shall assure, 

through the lead administrative trustee, that all data from the natural resource damage assessment 

activities that may support more effective operational decisions are provided in a timely manner to the 

OSC. 

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(iii) When circumstances permit, the OSC shall share the use of federal response resources (including 

but not limited to aircraft, vessels, and booms to contain and remove discharged oil) with the trustees, 

providing trustee activities do not interfere with response actions. The lead administrative trustee 

facilitates effective and efficient communication between the OSC and the other trustees during 

response operations and is responsible for applying to the OSC for non-monetary federal response 

resources on behalf of all trustees. The lead administrative trustee is also responsible for applying to the 

NPFC for funding for initiation of damage assessment for injuries to natural resources. 

(d) The authority of federal trustees includes, but is not limited to the following actions: 

(1) Requesting that the Attorney General seek compensation from the responsible parties for the 

damages assessed and for the costs of an assessment and of restoration planning; and 

(2) Participating in negotiations between the United States and potentially responsible parties to obtain 

PRP-financed or PRP-conducted assessments and restorations for injured resources or protection for 

threatened resources and to agree to covenants not to sue, where appropriate. 

(3) Requiring, in consultation with the lead agency, any person to comply with the requirements of 

CERCLA section 104(e) regarding information gathering and access. 

(4) Initiating damage assessments, as provided in OPA section 6002. 

(e) Actions which may be taken by any trustee pursuant to section 107(f) of CERCLA, section 311(f)(5) 

of the CWA, or section 1006 of the OPA include, but are not limited to, any of the following: 

(1) Requesting that an authorized agency issue an administrative order or pursue injunctive relief 

against the parties responsible for the discharge or release; or 

(2) Requesting that the lead agency remove, or arrange for the removal of, or provide for remedial action 

with respect to, any oil or hazardous substances from a contaminated medium pursuant to section 104 

of CERCLA or section 311 of CWA. 

Subpart H—Participation by Other Persons 

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Source: 59 FR 47452, Sept. 15, 1994, unless otherwise noted. 

§ 300.700 Activities by other persons. 

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(a) General. Except as provided (e.g., in CWA section 311(c)), any person may undertake a response 

action to reduce or eliminate a release of a hazardous substance, pollutant, or contaminant. 

(b) Summary of CERCLA authorities. The mechanisms available to recover the costs of response 

actions under CERCLA are, in summary: 

(1) Section 107(a), wherein any person may receive a court award of his or her response costs, plus 

interest, from the party or parties found to be liable; 

(2) Section 111(a)(2), wherein a private party, a PRP pursuant to a settlement agreement, or certain 

foreign entities may file a claim against the Fund for reimbursement of response costs; 

(3) Section 106(b), wherein any person who has complied with a section 106(a) order may petition the 

Fund for reimbursement of reasonable costs, plus interest; and 

(4) Section 123, wherein a general purpose unit of local government may apply to the Fund under 40 

CFR part 310 for reimbursement of the costs of temporary emergency measures that are necessary to 

prevent or mitigate injury to human health or the environment associated with a release. 

(c) Section 107(a) cost recovery actions. (1) Responsible parties shall be liable for all response costs 

incurred by the United States government or a state or an Indian tribe not inconsistent with the NCP. 

(2) Responsible parties shall be liable for necessary costs of response actions to releases of hazardous 

substances incurred by any other person consistent with the NCP. 

(3) For the purpose of cost recovery under section 107(a)(4)(B) of CERCLA: 

(i) A private party response action will be considered “consistent with the NCP” if the action, when 

evaluated as a whole, is in substantial compliance with the applicable requirements in paragraphs (5) 

and (6) of this section, and results in a CERCLA-quality cleanup; and 

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(ii) Any response action carried out in compliance with the terms of an order issued by EPA pursuant to 

section 106 of CERCLA, or a consent decree entered into pursuant to section 122 of CERCLA, will be 

considered “consistent with the NCP.” 

(4) Actions under §300.700(c)(1) will not be considered “inconsistent with the NCP,” and actions under 

§300.700(c)(2) will not be considered not “consistent with the NCP,” based on immaterial or insubstantial 

deviations from the provisions of 40 CFR part 300. 

(5) The following provisions of this part are potentially applicable to private party response actions: 

(i) Section 300.150 (on worker health and safety); 

(ii) Section 300.160 (on documentation and cost recovery); 

(iii) Section 300.400(c)(1), (4), (5), and (7) (on determining the need for a Fund-financed action); (e) (on 

permit requirements) except that the permit waiver does not apply to private party response actions; and 

(g) (on identification of ARARs) except that applicable requirements of federal or state law may not be 

waived by a private party; 

(iv) Section 300.405(b), (c), and (d) (on reports of releases to the NRC); 

(v) Section 300.410 (on removal site evaluation) except paragraphs (f)(5) and (6); 

(vi) Section 300.415 (on removal actions) except paragraphs (a)(2), (b)(2)(vii), (b)(5), and (g); and 

including §300.415(j) with regard to meeting ARARs where practicable except that private party removal 

actions must always comply with the requirements of applicable law; 

(vii) Section 300.420 (on remedial site evaluation); 

(viii) Section 300.430 (on RI/FS and selection of remedy) except paragraph (f)(1)(ii)(C)(6) and that 

applicable requirements of federal or state law may not be waived by a private party; and 

(ix) Section 300.435 (on RD/RA and operation and maintenance). 

(6) Private parties undertaking response actions should provide an opportunity for public comment 

concerning the selection of the response action based on the provisions set out below, or based on 

substantially equivalent state and local requirements. The following provisions of this part regarding 

public participation are potentially applicable to private party response actions, with the exception of 

administrative record and information repository requirements stated therein: 

(i) Section 300.155 (on public information and community relations); 

(ii) Section 300.415(n) (on community relations during removal actions); 

(iii) Section 300.430(c) (on community relations during RI/FS) except paragraph (c)(5); 

(iv) Section 300.430(f)(2), (3), and (6) (on community relations during selection of remedy); and 

(v) Section 300.435(c) (on community relations during RD/RA and operation and maintenance). 

(7) When selecting the appropriate remedial action, the methods of remedying releases listed in 

appendix D of this part may also be appropriate to a private party response action. 

(8) Except for actions taken pursuant to CERCLA sections 104 or 106 or response actions for which 

reimbursement from the Fund will be sought, any action to be taken by the lead agency listed in 

paragraphs (c)(5) through (c)(7) may be taken by the person carrying out the response action. 

(d) Section 111(a)(2) claims. (1) Persons, other than those listed in paragraphs (d)(1)(i) through (iii) of 

this section, may be able to receive reimbursement of response costs by means of a claim against the 

Fund. The categories of persons excluded from pursuing this claims authority are: 

(i) Federal government; 

(ii) State governments, and their political subdivisions, unless they are potentially responsible parties 

covered by an order or consent decree pursuant to section 122 of CERCLA; and 

(iii) Persons operating under a procurement contract or an assistance agreement with the United States 

with respect to matters covered by that contract or assistance agreement, unless specifically provided 

therein. 

(2) In order to be reimbursed by the Fund, an eligible person must notify the Administrator of EPA or 

designee prior to taking a response action and receive prior approval, i.e. , “preauthorization,” for such 

action. 

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(3) Preauthorization is EPA's prior approval to submit a claim against the Fund for necessary response 

costs incurred as a result of carrying out the NCP. All applications for preauthorization will be reviewed 

to determine whether the request should receive priority for funding. EPA, in its discretion, may grant 

preauthorization of a claim. Preauthorization will be considered only for: 

(i) Removal actions pursuant to §300.415; 

(ii) CERCLA section 104(b) activities; and 

(iii) Remedial actions at National Priorities List sites pursuant to §300.435. 

(4) To receive EPA's prior approval, the eligible person must: 

(i) Demonstrate technical and other capabilities to respond safely and effectively to releases of 

hazardous substances, pollutants, or contaminants; and 

(ii) Establish that the action will be consistent with the NCP in accordance with the elements set forth in 

paragraphs (c)(5) through (8) of this section. 

(5) EPA will grant preauthorization to a claim by a party it determines to be potentially liable under 

section 107 of CERCLA only in accordance with an order issued pursuant to section 106 of CERCLA, or 

a settlement with the federal government in accordance with section 122 of CERCLA. 

(6) Preauthorization does not establish an enforceable contractual relationship between EPA and the 

claimant. 

(7) Preauthorization represents EPA's commitment that if funds are appropriated for response actions, 

the response action is conducted in accordance with the preauthorization decision document, and costs 

are reasonable and necessary, reimbursement will be made from the Superfund, up to the maximum 

amount provided in the preauthorization decision document. 

(8) For a claim to be awarded under section 111 of CERCLA, EPA must certify that the costs were 

necessary and consistent with the preauthorization decision document. 

(e) Section 106(b) petition. Subject to conditions specified in CERCLA section 106(b), any person who 

has complied with an order issued after October 16, 1986 pursuant to section 106(a) of CERCLA, may 

seek reimbursement for response costs incurred in complying with that order unless the person has 

waived that right. 

(f) Section 123 reimbursement to local governments. Any general purpose unit of local government for a 

political subdivision that is affected by a release may receive reimbursement for the costs of temporary 

emergency measures necessary to prevent or mitigate injury to human health or the environment 

subject to the conditions set forth in 40 CFR part 310. Such reimbursement may not exceed $25,000 for 

a single response. 

(g) Release From Liability. Implementation of response measures by potentially responsible parties or by 

any other person does not release those parties from liability under section 107(a) of CERCLA, except 

as provided in a settlement under section 122 of CERCLA or a federal court judgment. 

(h) Oil Pollution Act Claims. Claims are authorized to be presented to the OSLTF under section 1013 of 

the OPA, for certain uncompensated removal costs or uncompensated damages resulting from the 

discharge, or substantial threat of discharge, of oil from a vessel or facility into or upon the navigable 

waters, adjoining shorelines, or exclusive economic zone of the United States. Anyone desiring to file a 

claim against the OSLTF may obtain general information on the procedure for filing a claim from the 

Director, National Pollution Funds Center, Suite 1000, 4200 Wilson Boulevard, Arlington, Virginia 

22203–1804, (703) 235–4756. 

Subpart I—Administrative Record for Selection of Response Action 

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Source: 55 FR 8859, Mar. 8, 1990, unless otherwise noted. 

§ 300.800 Establishment of an administrative record. 

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(a) General requirement. The lead agency shall establish an administrative record that contains the 

documents that form the basis for the selection of a response action. The lead agency shall compile and 

maintain the administrative record in accordance with this subpart. 

(b) Administrative records for federal facilities. (1) If a federal agency other than EPA is the lead agency 

for a federal facility, the federal agency shall compile and maintain the administrative record for the 

selection of the response action for that facility in accordance with this subpart. EPA may furnish 

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documents which the federal agency shall place in the administrative record file to ensure that the 

administrative record includes all documents that form the basis for the selection of the response action. 

(2) EPA or the U.S. Coast Guard shall compile and maintain the administrative record when it is the lead 

agency for a federal facility. 

(3) If EPA is involved in the selection of the response action at a federal facility on the NPL, the federal 

agency acting as the lead agency shall provide EPA with a copy of the index of documents included in 

the administrative record file, the RI/FS workplan, the RI/FS released for public comment, the proposed 

plan, any public comments received on the RI/FS and proposed plan, and any other documents EPA 

may request on a case-by-case basis. 

(c) Administrative record for state-lead sites. If a state is the lead agency for a site, the state shall 

compile and maintain the administrative record for the selection of the response action for that site in 

accordance with this subpart. EPA may require the state to place additional documents in the 

administrative record file to ensure that the administrative record includes all documents which form the 

basis for the selection of the response action. The state shall provide EPA with a copy of the index of 

documents included in the administrative record file, the RI/FS workplan, the RI/FS released for public 

comment, the proposed plan, any public comments received on the RI/FS and proposed plan, and any 

other documents EPA may request on a case-by-case basis. 

(d) Applicability. This subpart applies to all response actions taken under section 104 of CERCLA or 

sought, secured, or ordered administratively or judicially under section 106 of CERCLA, as follows: 

(1) Remedial actions where the remedial investigation commenced after the promulgation of these 

regulations; and 

(2) Removal actions where the action memorandum is signed after the promulgation of these 

regulations. 

(e) For those response actions not included in paragraph (d) of this section, the lead agency shall 

comply with this subpart to the extent practicable. 

§ 300.805 Location of the administrative record file. 

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(a) The lead agency shall establish a docket at an office of the lead agency or other central location at 

which documents included in the administrative record file shall be located and a copy of the documents 

included in the administrative record file shall also be made available for public inspection at or near the 

site at issue, except as provided below: 

(1) Sampling and testing data, quality control and quality assurance documentation, and chain of 

custody forms, need not be located at or near the site at issue or at the central location, provided that 

the index to the administrative record file indicates the location and availability of this information. 

(2) Guidance documents not generated specifically for the site at issue need not be located at or near 

the site at issue, provided that they are maintained at the central location and the index to the 

administrative record file indicates the location and availability of these guidance documents. 

(3) Publicly available technical literature not generated for the site at issue, such as engineering 

textbooks, articles from technical journals, and toxicological profiles, need not be located at or near the 

site at issue or at the central location, provided that the literature is listed in the index to the 

administrative record file or the literature is cited in a document in the record. 

(4) Documents included in the confidential portion of the administrative record file shall be located only in 

the central location. 

(5) The administrative record for a removal action where the release or threat of release requires that 

on-site removal activities be initiated within hours of the lead agency's determination that a removal is 

appropriate and on-site removal activities cease within 30 days of initiation, need be available for public 

inspection only at the central location. 

(b) Where documents are placed in the central location but not in the file located at or near the site, such 

documents shall be added to the file located at or near the site upon request, except for documents 

included in paragraph (a)(4) of this section. 

(c) The lead agency may make the administrative record file available to the public in microform. 

§ 300.810 Contents of the administrative record file. 

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(a) Contents. The administrative record file for selection of a response action typically, but not in all 

cases, will contain the following types of documents: 

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(1) Documents containing factual information, data and analysis of the factual information, and data that 

may form a basis for the selection of a response action. Such documents may include verified sampling 

data, quality control and quality assurance documentation, chain of custody forms, site inspection 

reports, preliminary assessment and site evaluation reports, ATSDR health assessments, documents 

supporting the lead agency's determination of imminent and substantial endangerment, public health 

evaluations, and technical and engineering evaluations. In addition, for remedial actions, such 

documents may include approved workplans for the remedial investigation/feasibility study, state 

documentation of applicable or relevant and appropriate requirements, and the RI/FS; 

(2) Guidance documents, technical literature, and site-specific policy memoranda that may form a basis 

for the selection of the response action. Such documents may include guidance on conducting remedial 

investigations and feasibility studies, guidance on determining applicable or relevant and appropriate 

requirements, guidance on risk/exposure assessments, engineering handbooks, articles from technical 

journals, memoranda on the application of a specific regulation to a site, and memoranda on off-site 

disposal capacity; 

(3) Documents received, published, or made available to the public under §300.815 for remedial actions, 

or §300.820 for removal actions. Such documents may include notice of availability of the administrative 

record file, community relations plan, proposed plan for remedial action, notices of public comment 

periods, public comments and information received by the lead agency, and responses to significant 

comments; 

(4) Decision documents. Such documents may include action memoranda and records of decision; 

(5) Enforcement orders. Such documents may include administrative orders and consent decrees; and 

(6) An index of the documents included in the administrative record file. If documents are customarily 

grouped together, as with sampling data chain of custody documents, they may be listed as a group in 

the index to the administrative record file. 

(b) Documents not included in the administrative record file. The lead agency is not required to include 

documents in the administrative record file which do not form a basis for the selection of the response 

action. Such documents include but are not limited to draft documents, internal memoranda, and day-today notes of staff unless such documents contain information that forms the basis of selection of the 

response action and the information is not included in any other document in the administrative record 

file. 

(c) Privileged documents. Privileged documents shall not be included in the record file except as 

provided in paragraph (d) of this section or where such privilege is waived. Privileged documents include 

but are not limited to documents subject to the attorney-client, attorney work product, deliberative 

process, or other applicable privilege. 

(d) Confidential file. If information which forms the basis for the selection of a response action is included 

only in a document containing confidential or privileged information and is not otherwise available to the 

public, the information, to the extent feasible, shall be summarized in such a way as to make it 

disclosable and the summary shall be placed in the publicly available portion of the administrative record 

file. The confidential or privileged document itself shall be placed in the confidential portion of the 

administrative record file. If information, such as confidential business information, cannot be 

summarized in a disclosable manner, the information shall be placed only in the confidential portion of 

the administrative record file. All documents contained in the confidential portion of the administrative 

record file shall be listed in the index to the file. 

§ 300.815 Administrative record file for a remedial action. 

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(a) The administrative record file for the selection of a remedial action shall be made available for public 

inspection at the commencement of the remedial investigation phase. At such time, the lead agency 

shall publish in a major local newspaper of general circulation a notice of the availability of the 

administrative record file. 

(b) The lead agency shall provide a public comment period as specified in §300.430(f)(3) so that 

interested persons may submit comments on the selection of the remedial action for inclusion in the 

administrative record file. The lead agency is encouraged to consider and respond as appropriate to 

significant comments that were submitted prior to the public comment period. A written response to 

significant comments submitted during the public comment period shall be included in the administrative 

record file. 

(c) The lead agency shall comply with the public participation procedures required in §300.430(f)(3) and 

shall document such compliance in the administrative record. 

(d) Documents generated or received after the record of decision is signed shall be added to the 

administrative record file only as provided in §300.825. 

§ 300.820 Administrative record file for a removal action. 

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(a) If, based on the site evaluation, the lead agency determines that a removal action is appropriate and 

that a planning period of at least six months exists before on-site removal activities must be initiated: 

(1) The administrative record file shall be made available for public inspection when the engineering 

evaluation/cost analysis (EE/CA) is made available for public comment. At such time, the lead agency 

shall publish in a major local newspaper of general circulation a notice of the availability of the 

administrative record file. 

(2) The lead agency shall provide a public comment period as specified in §300.415 so that interested 

persons may submit comments on the selection of the removal action for inclusion in the administrative 

record file. The lead agency is encouraged to consider and respond, as appropriate, to significant 

comments that were submitted prior to the public comment period. A written response to significant 

comments submitted during the public comment period shall be included in the administrative record file. 

(3) The lead agency shall comply with the public participation procedures of §300.415(m) and shall 

document compliance with §300.415(m)(3)(i) through (iii) in the administrative record file. 

(4) Documents generated or received after the decision document is signed shall be added to the 

administrative record file only as provided in §300.825. 

(b) For all removal actions not included in paragraph (a) of this section: 

(1) Documents included in the administrative record file shall be made available for public inspection no 

later than 60 days after initiation of on-site removal activity. At such time, the lead agency shall publish in 

a major local newspaper of general circulation a notice of availability of the administrative record file. 

(2) The lead agency shall, as appropriate, provide a public comment period of not less than 30 days 

beginning at the time the administrative record file is made available to the public. The lead agency is 

encouraged to consider and respond, as appropriate, to significant comments that were submitted prior 

to the public comment period. A written response to significant comments submitted during the public 

comment period shall be included in the administrative record file. 

(3) Documents generated or received after the decision document is signed shall be added to the 

administrative record file only as provided in §300.825. 

§ 300.825 Record requirements after the decision document is signed. 

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(a) The lead agency may add documents to the administrative record file after the decision document 

selecting the response action has been signed if: 

(1) The documents concern a portion of a response action decision that the decision document does not 

address or reserves to be decided at a later date; or 

(2) An explanation of significant differences required by §300.435(c), or an amended decision document 

is issued, in which case, the explanation of significant differences or amended decision document and all 

documents that form the basis for the decision to modify the response action shall be added to the 

administrative record file. 

(b) The lead agency may hold additional public comment periods or extend the time for the submission 

of public comment after a decision document has been signed on any issues concerning selection of the 

response action. Such comment shall be limited to the issues for which the lead agency has requested 

additional comment. All additional comments submitted during such comment periods that are 

responsive to the request, and any response to these comments, along with documents supporting the 

request and any final decision with respect to the issue, shall be placed in the administrative record file. 

(c) The lead agency is required to consider comments submitted by interested persons after the close of 

the public comment period only to the extent that the comments contain significant information not 

contained elsewhere in the administrative record file which could not have been submitted during the 

public comment period and which substantially support the need to significantly alter the response 

action. All such comments and any responses thereto shall be placed in the administrative record file. 

Subpart J—Use of Dispersants and Other Chemicals 

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Source: 59 FR 47453, Sept. 15, 1994, unless otherwise noted. 

§ 300.900 General. 

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(a) Section 311(d)(2)(G) of the CWA requires that EPA prepare a schedule of dispersants, other 

chemicals, and other spill mitigating devices and substances, if any, that may be used in carrying out the 

NCP. This subpart makes provisions for such a schedule. 

(b) This subpart applies to the navigable waters of the United States and adjoining shorelines, the 

waters of the contiguous zone, and the high seas beyond the contiguous zone in connection with 

activities under the Outer Continental Shelf Lands Act, activities under the Deepwater Port Act of 1974, 

or activities that may affect natural resources belonging to, appertaining to, or under the exclusive 

management authority of the United States, including resources under the Magnuson Fishery 

Conservation and Management Act of 1976. 

(c) This subpart applies to the use of any chemical agents or other additives as defined in subpart A of 

this part that may be used to remove or control oil discharges. 

§ 300.905 NCP Product Schedule. 

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(a) Oil Discharges. (1) EPA shall maintain a schedule of dispersants and other chemical or 

bioremediation products that may be authorized for use on oil discharges in accordance with the 

procedures set forth in §300.910. This schedule, called the NCP Product Schedule, may be obtained 

from the Emergency Response Division (5202–G), U.S. Environmental Protection Agency, 1200 

Pennsylvania Ave., NW., Washington, DC 20460. The telephone number is 703–603–8760. 

(2) Products may be added to the NCP Product Schedule by the process specified in §300.920. 

(b) Hazardous Substance Releases. [Reserved] 

[59 FR 47453, Sept. 15, 1994, as amended at 65 FR 47325, Aug. 2, 2000] 

§ 300.910 Authorization of use. 

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(a) RRTs and Area Committees shall address, as part of their planning activities, the desirability of using 

appropriate dispersants, surface washing agents, surface collecting agents, bioremediation agents, or 

miscellaneous oil spill control agents listed on the NCP Product Schedule, and the desirability of using 

appropriate burning agents. RCPs and ACPs shall, as appropriate, include applicable preauthorization 

plans and address the specific contexts in which such products should and should not be used. In 

meeting the provisions of this paragraph, preauthorization plans may address factors such as the 

potential sources and types of oil that might be spilled, the existence and location of environmentally 

sensitive resources that might be impacted by spilled oil, available product and storage locations, 

available equipment and adequately trained operators, and the available means to monitor product 

application and effectiveness. The RRT representatives from EPA and the states with jurisdiction over 

the waters of the area to which a preauthorization plan applies and the DOC and DOI natural resource 

trustees shall review and either approve, disapprove, or approve with modification the preauthorization 

plans developed by Area Committees, as appropriate. Approved preauthorization plans shall be 

included in the appropriate RCPs and ACPs. If the RRT representatives from EPA and the states with 

jurisdiction over the waters of the area to which a preauthorization plan applies and the DOC and DOI 

natural resource trustees approve in advance the use of certain products under specified circumstances 

as described in the preauthorization plan, the OSC may authorize the use of the products without 

obtaining the specific concurrences described in paragraphs (b) and (c) of this section. 

(b) For spill situations that are not addressed by the preauthorization plans developed pursuant to 

paragraph (a) of this section, the OSC, with the concurrence of the EPA representative to the RRT and, 

as appropriate, the concurrence of the RRT representatives from the states with jurisdiction over the 

navigable waters threatened by the release or discharge, and in consultation with the DOC and DOI 

natural resource trustees, when practicable, may authorize the use of dispersants, surface washing 

agents, surface collecting agents, bioremediation agents, or miscellaneous oil spill control agents on the 

oil discharge, provided that the products are listed on the NCP Product Schedule. 

(c) The OSC, with the concurrence of the EPA representative to the RRT and, as appropriate, the 

concurrence of the RRT representatives from the states with jurisdiction over the navigable waters 

threatened by the release or discharge, and in consultation with the DOC and DOI natural resource 

trustees, when practicable, may authorize the use of burning agents on a case-by-case basis. 

(d) The OSC may authorize the use of any dispersant, surface washing agent, surface collecting agent, 

other chemical agent, burning agent, bioremediation agent, or miscellaneous oil spill control agent, 

including products not listed on the NCP Product Schedule, without obtaining the concurrence of the 

EPA representative to the RRT and, as appropriate, the RRT representatives from the states with 

jurisdiction over the navigable waters threatened by the release or discharge, when, in the judgment of 

the OSC, the use of the product is necessary to prevent or substantially reduce a hazard to human life. 

Whenever the OSC authorizes the use of a product pursuant to this paragraph, the OSC is to inform the 

EPA RRT representative and, as appropriate, the RRT representatives from the affected states and, 

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when practicable, the DOC/DOI natural resources trustees of the use of a product, including products 

not on the Schedule, as soon as possible. Once the threat to human life has subsided, the continued 

use of a product shall be in accordance with paragraphs (a), (b), and (c) of this section. 

(e) Sinking agents shall not be authorized for application to oil discharges. 

(f) When developing preauthorization plans, RRTs may require the performance of supplementary 

toxicity and effectiveness testing of products, in addition to the test methods specified in §300.915 and 

described in appendix C to part 300, due to existing site-specific or area-specific concerns. 

§ 300.915 Data requirements. 

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(a) Dispersants. (1) Name, brand, or trademark, if any, under which the dispersant is sold. 

(2) Name, address, and telephone number of the manufacturer, importer, or vendor. 

(3) Name, address, and telephone number of primary distributors or sales outlets. 

(4) Special handling and worker precautions for storage and field application. Maximum and minimum 

storage temperatures, to include optimum ranges as well as temperatures that will cause phase 

separations, chemical changes, or other alterations to the effectiveness of the product. 

(5) Shelf life. 

(6) Recommended application procedures, concentrations, and conditions for use depending upon water 

salinity, water temperature, types and ages of the pollutants, and any other application restrictions. 

(7) Effectiveness. Use the Swirling Flask effectiveness test methods described in appendix C to part 

300. Manufacturers shall submit test results and supporting data, along with a certification signed by 

responsible corporate officials of the manufacturer and laboratory stating that the test was conducted on 

a representative product sample, the testing was conducted using generally accepted laboratory 

practices, and they believe the results to be accurate. A dispersant must attain an effectiveness value of 

45 percent or greater to be added to the NCP Product Schedule. Manufacturers are encouraged to 

provide data on product performance under conditions other than those captured by these tests. 

(8) Dispersant Toxicity. For those dispersants that meet the effectiveness threshold described in 

paragraph (a)(7) above, use the standard toxicity test methods described in appendix C to part 300. 

Manufacturers shall submit test results and supporting data, along with a certification signed by 

responsible corporate officials of the manufacturer and laboratory stating that the test was conducted on 

a representative product sample, the testing was conducted using generally accepted laboratory 

practices, and they believe the results to be accurate. 

(9) The following data requirements incorporate by reference standards from the 1991 or 1992 Annual 

Books of ASTM Standards. American Society for Testing and Materials, 1916 Race Street, Philadelphia, 

Pennsylvania 19103. This incorporation by reference was approved by the Director of the Federal 

Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51.1

1 Copies of these standards may be obtained from the publisher. Copies may be inspected at 

the U.S. Environmental Protection Agency Superfund Docket, located at 1235 Jefferson Davis 

Highway, First Floor, Arlington, VA 22202 or send mail to Mail Code 5305G, 1200 

Pennsylvania Ave., NW., Washington, DC, or at the Office of the Federal Register, 1100 L 

Street, NW., Room 8401, Washington, DC 20408. 

(i) Flash Point—Select appropriate method from the following: 

(A) ASTM—D 56–87, “Standard Test Method for Flash Point by Tag Closed Tester;” 

(B) ASTM—D 92–90, “Standard Test Method for Flash and Fire Points by Cleveland Open Cup;” 

(C) ASTM—D 93–90, “Standard Test Methods for Flash Point by Pensky-Martens Closed Tester;” 

(D) ASTM—D 1310–86, “Standard Test Method for Flash Point and Fire Point of Liquids by Tag OpenCup Apparatus;” or 

(E) ASTM—D 3278–89, “Standard Test Methods for Flash Point of Liquids by Setaflash Closed-Cup 

Apparatus.” 

(ii) Pour Point—Use ASTM—D 97–87, “Standard Test Method for Pour Point of Petroleum Oils.” 

(iii) Viscosity—Use ASTM—D 445–88, “Standard Test Method for Kinematic Viscosity of Transparent 

and Opaque Liquids (and the Calculation of Dynamic Viscosity).” 

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(iv) Specific Gravity—Use ASTM—D 1298–85(90), “Standard Test Method for Density, Relative Density 

(Specific Gravity), or API Gravity of Crude Petroleum and Liquid Petroleum Products by Hydrometer 

Method.” 

(v) pH—Use ASTM—D 1293–84(90), “Standard Test Methods for pH of Water.” 

(10) Dispersing Agent Components. Itemize by chemical name and percentage by weight each 

component of the total formulation. The percentages will include maximum, minimum, and average 

weights in order to reflect quality control variations in manufacture or formulation. In addition to the 

chemical information provided in response to the first two sentences, identify the major components in at 

least the following categories: surface active agents, solvents, and additives. 

(11) Heavy Metals, Cyanide, and Chlorinated Hydrocarbons. Using standard test procedures, state the 

concentrations or upper limits of the following materials: 

(i) Arsenic, cadmium, chromium, copper, lead, mercury, nickel, zinc, plus any other metals that may be 

reasonably expected to be in the sample. Atomic absorption methods should be used and the detailed 

analytical methods and sample preparation shall be fully described. 

(ii) Cyanide. Standard calorimetric procedures should be used. 

(iii) Chlorinated hydrocarbons. Gas chromatography should be used and the detailed analytical methods 

and sample preparation shall be fully described. At a minimum, the following test methods shall be used 

for chlorinated hydrocarbon analyses: EPA Method 601—Purgeable halocarbons (Standard Method 

6230 B) and EPA Method 608—Organochlorine pesticides and PCBs (Standard Method 6630 C).2

2 These test methods may be obtained from: Standard Methods for the Examination of Water 

and Wastewater, 17th Edition, American Public Health Association, 1989; or Method 601—

Purgeable halocarbons, 40 CFR part 136 and Method 608—Organochlorine pesticide and 

PCBs, 40 CFR part 136. Copies may be inspected at the U.S. Environmental Protection 

Agency Superfund Docket, located at 1235 Jefferson Davis Highway, First Floor, Arlington, 

VA 22202 or send mail to Mail Code 5305G, 1200 Pennsylvania Ave., NW., Washington, DC, 

or at the Office of the Federal Register, 1100 L Street, NW., Room 8401, Washington, DC 

20408. 

(12) The technical product data submission shall include the identity of the laboratory that performed the 

required tests, the qualifications of the laboratory staff, including professional biographical information for 

individuals responsible for any tests, and laboratory experience with similar tests. Laboratories 

performing toxicity tests for dispersant toxicity must demonstrate previous toxicity test experience in 

order for their results to be accepted. It is the responsibility of the submitter to select competent 

analytical laboratories based on the guidelines contained herein. EPA reserves the right to refuse to 

accept a submission of technical product data because of lack of qualification of the analytical 

laboratory, significant variance between submitted data and any laboratory confirmation performed by 

EPA, or other circumstances that would result in inadequate or inaccurate information on the dispersing 

agent. 

(b) Surface washing agents. (1) Name, brand, or trademark, if any, under which the surface washing 

agent is sold. 

(2) Name, address, and telephone number of the manufacturer, importer, or vendor. 

(3) Name, address, and telephone number of primary distributors or sales outlets. 

(4) Special handling and worker precautions for storage and field application. Maximum and minimum 

storage temperatures, to include optimum ranges as well as temperatures that will cause phase 

separations, chemical changes, or other alterations to the effectiveness of the product. 

(5) Shelf life. 

(6) Recommended application procedures, concentrations, and conditions for use depending upon water 

salinity, water temperature, types and ages of the pollutants, and any other application restrictions. 

(7) Toxicity. Use standard toxicity test methods described in appendix C to part 300. 

(8) Follow the data requirement specifications in paragraph (a)(9) of this section. 

(9) Surface Washing Agent Components. Itemize by chemical name and percentage by weight each 

component of the total formulation. The percentages will include maximum, minimum, and average 

weights in order to reflect quality control variations in manufacture or formulation. In addition to the 

chemical information provided in response to the first two sentences, identify the major components in at 

least the following categories: surface active agents, solvents, and additives. 

(10) Heavy Metals, Cyanide, and Chlorinated Hydrocarbons. Follow specifications in paragraph (a)(11) 

of this section. 

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(11) Analytical Laboratory Requirements for Technical Product Data. Follow specifications in paragraph 

(a)(12) of this section. 

(c) Surface collecting agents. (1) Name, brand, or trademark, if any, under which the product is sold. 

(2) Name, address, and telephone number of the manufacturer, importer, or vendor. 

(3) Name, address, and telephone number of primary distributors or sales outlets. 

(4) Special handling and worker precautions for storage and field application. Maximum and minimum 

storage temperatures, to include optimum ranges as well as temperatures that will cause phase 

separations, chemical changes, or other alterations to the effectiveness of the product. 

(5) Shelf life. 

(6) Recommended application procedures, concentrations, and conditions for use depending upon water 

salinity, water temperature, types and ages of the pollutants, and any other application restrictions. 

(7) Toxicity. Use standard toxicity test methods described in appendix C to part 300. 

(8) Follow the data requirement specifications in paragraph (a)(9) of this section. 

(9) Test to Distinguish Between Surface Collecting Agents and Other Chemical Agents. 

(i) Method Summary—Five milliliters of the chemical under test are mixed with 95 milliliters of distilled 

water and allowed to stand undisturbed for one hour. Then the volume of the upper phase is determined 

to the nearest one milliliter. 

(ii) Apparatus. 

(A) Mixing Cylinder: 100 milliliter subdivisions and fitted with a glass stopper. 

(B) Pipettes: Volumetric pipette, 5.0 milliliter. 

(C) Timers. 

(iii) Procedure—Add 95 milliliters of distilled water at 22 °C, plus or minus 3 °C, to a 100 milliliter mixing 

cylinder. To the surface of the water in the mixing cylinder, add 5.0 milliliters of the chemical under test. 

Insert the stopper and invert the cylinder five times in ten seconds. Set upright for one hour at 22 °C, 

plus or minus 3 °C, and then measure the chemical layer at the surface of the water. If the major portion 

of the chemical added (75 percent) is at the water surface as a separate and easily distinguished layer, 

the product is a surface collecting agent. 

(10) Surface Collecting Agent Components. Itemize by chemical name and percentage by weight each 

component of the total formulation. The percentages should include maximum, minimum, and average 

weights in order to reflect quality control variations in manufacture or formulation. In addition to the 

chemical information provided in response to the first two sentences, identify the major components in at 

least the following categories: surface action agents, solvents, and additives. 

(11) Heavy Metals, Cyanide, and Chlorinated Hydrocarbons. Follow specifications in paragraph (a)(11) 

of this section. 

(12) Analytical Laboratory Requirements for Technical Product Data. Follow specifications in paragraph 

(a)(12) of this section. 

(d) Bioremediation Agents. (1) Name, brand, or trademark, if any, under which the agent is sold. 

(2) Name, address, and telephone number of the manufacturer, importer, or vendor. 

(3) Name, address, and telephone number of primary distributors or sales outlets. 

(4) Special handling and worker precautions for storage and field application. Maximum and minimum 

storage temperatures. 

(5) Shelf life. 

(6) Recommended application procedures, concentrations, and conditions for use depending upon water 

salinity, water temperature, types and ages of the pollutants, and any other application restrictions. 

(7) Bioremediation Agent Effectiveness. Use bioremediation agent effectiveness test methods described 

in appendix C to part 300. 

(8) Bioremediation Agent Toxicity [Reserved]. 

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(9) Biological additives. 

(i) For microbiological cultures, furnish the following information: 

(A) Listing of each component of the total formulation, other than microorganisms, by chemical name 

and percentage by weight. 

(B) Listing of all microorganisms by species. 

(C) Percentage of each species in the composition of the additive. 

(D) Optimum pH, temperature, and salinity ranges for use of the additive, and maximum and minimum 

pH, temperature, and salinity levels above or below which the effectiveness of the additive is reduced to 

half its optimum capacity. 

(E) Special nutrient requirements, if any. 

(F) Separate listing of the following, and test methods for such determinations: Salmonella, fecal 

coliform, Shigella, Staphylococcus Coagulase positive, and Beta Hemolytic Streptococci. 

(ii) For enzyme additives, furnish the following information: 

(A) Listing of each component of the total formulation, other than enzymes, by chemical name and 

percentage by weight. 

(B) Enzyme name(s). 

(C) International Union of Biochemistry (I.U.B.) number(s). 

(D) Source of the enzyme. 

(E) Units. 

(F) Specific Activity. 

(G) Optimum pH, temperature, and salinity ranges for use of the additive, and maximum and minimum 

pH, temperature, and salinity levels above or below which the effectiveness of the additive is reduced to 

half its optimum capacity. 

(H) Enzyme shelf life. 

(I) Enzyme optimum storage conditions. 

(10) For nutrient additives, furnish the following information: 

(i) Listing of each component of the total formulation by chemical name and percentage by weight. 

(ii) Nutrient additive optimum storage conditions. 

(11) Analytical Laboratory Requirements for Technical Product Data. Follow specifications in paragraph 

(a)(12) of this section. 

(e) Burning Agents. EPA does not require technical product data submissions for burning agents and 

does not include burning agents on the NCP Product Schedule. 

(f) Miscellaneous Oil Spill Control Agents. (1) Name, brand, or trademark, if any, under which the 

miscellaneous oil spill control agent is sold. 

(2) Name, address, and telephone number of the manufacturer, importer, or vendor. 

(3) Name, address, and telephone number of primary distributors or sales outlets. 

(4) Brief description of recommended uses of the product and how the product works. 

(5) Special handling and worker precautions for storage and field application. Maximum and minimum 

storage temperatures, to include optimum ranges as well as temperatures that will cause phase 

separations, chemical changes, or other alternatives to the effectiveness of the product. 

(6) Shelf life. 

(7) Recommended application procedures, concentrations, and conditions for use depending upon water 

salinity, water temperature, types and ages of the pollutants, and any other application restrictions. 

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(8) Toxicity. Use standard toxicity test methods described in appendix C to part 300. 

(9) Follow the data requirement specifications in paragraph (a)(9) of this section. 

(10) Miscellaneous Oil Spill Control Agent Components. Itemize by chemical name and percentage by 

weight each component of the total formulation. The percentages should include maximum, minimum, 

and average weights in order to reflect quality control variations in manufacture or formulation. In 

addition to the chemical information provided in response to the first two sentences, identify the major 

components in at least the following categories: surface active agents, solvents, and additives. 

(11) Heavy Metals, Cyanide, and Chlorinated Hydrocarbons. Follow specifications in paragraph (a)(11) 

of this section. 

(12) For any miscellaneous oil spill control agent that contains microbiological cultures, enzyme 

additives, or nutrient additives, furnish the information specified in paragraphs (d)(9) and (d)(10) of this 

section, as appropriate. 

(13) Analytical Laboratory Requirements for Technical Product Data. Follow specifications in paragraph 

(a)(12) of this section. 

(g) Sorbents. (1) Sorbent material may consist of, but is not limited to, the following materials: 

(i) Organic products— 

(A) Peat moss or straw; 

(B) Cellulose fibers or cork; 

(C) Corn cobs; 

(D) Chicken, duck, or other bird feathers. 

(ii) Mineral compounds— 

(A) Volcanic ash or perlite; 

(B) Vermiculite or zeolite. 

(iii) Synthetic products— 

(A) Polypropylene; 

(B) Polyethylene; 

(C) Polyurethane; 

(D) Polyester. 

(2) EPA does not require technical product data submissions for sorbents and does not include sorbents 

on the NCP Product Schedule. 

(3) Manufacturers that produce sorbent materials that consist of materials other than those listed in 

paragraph (g)(1) of this section shall submit to EPA the technical product data specified for 

miscellaneous oil spill control agents in paragraph (f) of this section and EPA will consider listing those 

products on the NCP Product Schedule under the miscellaneous oil spill control agent category. EPA will 

inform the submitter in writing, within 60 days of the receipt of technical product data, of its decision on 

adding the product to the Schedule. 

(4) Certification. OSCs may request a written certification from manufacturers that produce sorbent 

materials that consist solely of the materials listed in paragraph (g)(1) of this section prior to making a 

decision on the use of a particular sorbent material. The certification at a minimum shall state that the 

sorbent consists solely of the materials listed in §300.915(g)(1) of the NCP. The following statement, 

when completed, dated, and signed by a sorbent manufacturer, is sufficient to meet the written 

certification requirement: 

[SORBENT NAME] is a sorbent material and consists solely of the materials listed in 

§300.915(g)(1) of the NCP. 

(h) Mixed products. Manufacturers of products that consist of materials that meet the definitions of two or 

more of the product categories contained on the NCP Product Schedule shall submit to EPA the 

technical product data specified in this section for each of those product categories. After review of the 

submitted technical product data, and the performance of required dispersant effectiveness and toxicity 

tests, if appropriate, EPA will make a determination on whether and under which category the mixed 

product should be listed on the Schedule. 

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[59 FR 47453, Sept. 15, 1994, as amended at 65 FR 47325, Aug. 2, 2000] 

§ 300.920 Addition of products to Schedule. 

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(a) Dispersants. (1) To add a dispersant to the NCP Product Schedule, submit the technical product data 

specified in §300.915(a) to the Emergency Response Division (5202–G), U.S. Environmental Protection 

Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460. A dispersant must attain an 

effectiveness value of 45 percent or greater in order to be added to the Schedule. 

(2) EPA reserves the right to request further documentation of the manufacturers' test results. EPA also 

reserves the right to verify test results and consider the results of EPA's verification testing in 

determining whether the dispersant meets listing criteria. EPA will, within 60 days of receiving a 

complete application as specified in §300.915(a) of this part, notify the manufacturer of its decision to list 

the product on the Schedule, or request additional information and/or a sample of the product in order to 

review and/or conduct validation sampling. If EPA requests additional information and/or a product 

sample, within 60 days of receiving such additional information or sample, EPA will then notify the 

manufacturer in writing of its decision to list or not list the product. 

(3) Request for review of decision. (i) A manufacturer whose product was determined to be ineligible for 

listing on the NCP Product Schedule may request EPA's Administrator to review the determination. The 

request must be made in writing within 30 days of receiving notification of EPA's decision to not list the 

dispersant on the Schedule. The request shall contain a clear and concise statement with supporting 

facts and technical analysis demonstrating that EPA's decision was incorrect. 

(ii) The Administrator or his designee may request additional information from the manufacturer, or from 

any other person, and may provide for a conference between EPA and the manufacturer, if appropriate. 

The Administrator or his designee shall render a decision within 60 days of receiving the request, or 

within 60 days of receiving requested additional information, if appropriate, and shall notify the 

manufacturer of his decision in writing. 

(b) Surface washing agents, surface collecting agents, bioremediation agents, and miscellaneous oil spill 

control agents. (1) To add a surface washing agent, surface collecting agent, bioremediation agent, or 

miscellaneous oil spill control agent to the NCP Product Schedule, the technical product data specified 

in §300.915 must be submitted to the Emergency Response Division (5202–G), U.S. Environmental 

Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460. If EPA determines that the 

required data were submitted, EPA will add the product to the Schedule. 

(2) EPA will inform the submitter in writing, within 60 days of the receipt of technical product data, of its 

decision on adding the product to the Schedule. 

(c) The submitter may assert that certain information in the technical product data submissions, including 

technical product data submissions for sorbents pursuant to §300.915(g)(3), is confidential business 

information. EPA will handle such claims pursuant to the provisions in 40 CFR part 2, subpart B. Such 

information must be submitted separately from non-confidential information, clearly identified, and clearly 

marked “Confidential Business Information.” If the submitter fails to make such a claim at the time of 

submittal, EPA may make the information available to the public without further notice. 

(d) The submitter must notify EPA of any changes in the composition, formulation, or application of the 

dispersant, surface washing agent, surface collecting agent, bioremediation agent, or miscellaneous oil 

spill control agent. On the basis of this data, EPA may require retesting of the product if the change is 

likely to affect the effectiveness or toxicity of the product. 

(e) The listing of a product on the NCP Product Schedule does not constitute approval of the product. To 

avoid possible misinterpretation or misrepresentation, any label, advertisement, or technical literature 

that refers to the placement of the product on the NCP Product Schedule must either reproduce in its 

entirety EPA's written statement that it will add the product to the NCP Product Schedule under 

§300.920(a)(2) or (b)(2), or include the disclaimer shown below. If the disclaimer is used, it must be 

conspicuous and must be fully reproduced. Failure to comply with these restrictions or any other 

improper attempt to demonstrate the approval of the product by any NRT or other U.S. Government 

agency shall constitute grounds for removing the product from the NCP Product Schedule. 

DISCLAIMER 

[PRODUCT NAME] is on the U.S. Environmental Protection Agency's NCP Product Schedule. 

This listing does NOT mean that EPA approves, recommends, licenses, certifies, or 

authorizes the use of [PRODUCT NAME] on an oil discharge. This listing means only that 

data have been submitted to EPA as required by subpart J of the National Contingency Plan, 

§300.915. 

Subpart K—Federal Facilities [Reserved] 

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Subpart L—National Oil and Hazardous Substances Pollution Contingency Plan; 

Involuntary Acquisition of Property by the Government 

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Source: 62 FR 34602, June 26, 1997, unless otherwise noted. 

§ 300.1105 Involuntary acquisition of property by the government. 

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(a) Governmental ownership or control of property by involuntary acquisitions or involuntary transfers 

within the meaning of CERCLA section 101(20)(D) or section 101(35)(A)(ii) includes, but is not limited to: 

(1) Acquisitions by or transfers to the government in its capacity as a sovereign, including transfers or 

acquisitions pursuant to abandonment proceedings, or as the result of tax delinquency, or escheat, or 

other circumstances in which the government involuntarily obtains ownership or control of property by 

virtue of its function as sovereign; 

(2) Acquisitions by or transfers to a government entity or its agent (including governmental lending and 

credit institutions, loan guarantors, loan insurers, and financial regulatory entities which acquire security 

interests or properties of failed private lending or depository institutions) acting as a conservator or 

receiver pursuant to a clear and direct statutory mandate or regulatory authority; 

(3) Acquisitions or transfers of assets through foreclosure and its equivalents (as defined in 40 CFR 

300.1100(d)(1)) or other means by a Federal, state, or local government entity in the course of 

administering a governmental loan or loan guarantee or loan insurance program; and 

(4) Acquisitions by or transfers to a government entity pursuant to seizure or forfeiture authority. 

(b) Nothing in this section or in CERCLA section 101(20)(D) or section 101(35)(A)(ii) affects the 

applicability of 40 CFR 300.1100 to any security interest, property, or asset acquired pursuant to an 

involuntary acquisition or transfer, as described in this section. 

Note to paragraphs (a)(3) and (bof this section: Reference to 40 CFR 300.1100 is a reference 

to the provisions regarding secured creditors in CERCLA sections 101(20)(E)–(G), 42 U.S.C. 

9601(20)(E)–(G). See Section 2504(a) of the Asset Conservation, Lender Liability, and 

Deposit Insurance Protection Act, Public Law, 104–208, 110 Stat. 3009–462, 3009–468 

(1996).

Appendix A to Part 300—The Hazard Ranking System 

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Table of Contents

List of Figures 

List of Tables 

1.0. Introduction. 

1.1 Definitions. 

2.0 Evaluations Common to Multiple Pathways. 

2.1 Overview. 

2.1.1 Calculation of HRS site score. 

2.1.2 Calculation of pathway score. 

2.1.3 Common evaluations. 

2.2 Characterize sources. 

2.2.1 Identify sources. 

2.2.2 Identify hazardous substances associated with a source. 

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2.2.3 Identify hazardous substances available to a pathway. 

2.3 Likelihood of release. 

2.4 Waste characteristics. 

2.4.1 Selection of substance potentially posing greatest hazard. 

2.4.1.1 Toxicity factor. 

2.4.1.2 Hazardous substance selection. 

2.4.2 Hazardous waste quantity. 

2.4.2.1 Source hazardous waste quantity. 

2.4.2.1.1 Hazardous constituent quantity. 

2.4.2.1.2 Hazardous wastestream quantity. 

2.4.2.1.3 Volume. 

2.4.2.1.4 Area. 

2.4.2.1.5 Calculation of source hazardous waste quantity value. 

2.4.2.2 Calculation of hazardous waste quantity factor value. 

2.4.3 Waste characteristics factor category value. 

2.4.3.1 Factor category value. 

2.4.3.2 Factor category value, considering bioaccumulation potential. 

2.5 Targets. 

2.5.1 Determination of level of actual contamination at a sampling location. 

2.5.2 Comparison to benchmarks. 

3.0 Ground Water Migration Pathway. 

3.0.1 General considerations. 

3.0.1.1 Ground water target distance limit. 

3.0.1.2 Aquifer boundaries. 

3.0.1.2.1 Aquifer interconnections. 

3.0.1.2.2 Aquifer discontinuities. 

3.0.1.3 Karst aquifer. 

3.1 Likelihood of release. 

3.1.1 Observed release. 

3.1.2 Potential to release. 

3.1.2.1 Containment. 

3.1.2.2 Net precipitation. 

3.1.2.3 Depth to aquifer. 

3.1.2.4 Travel time. 

3.1.2.5 Calculation of potential to release factor value. 

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3.1.3 Calculation of likelihood of release factor category value. 

3.2 Waste characteristics. 

3.2.1 Toxicity/mobility. 

3.2.1.1 Toxicity. 

3.2.1.2 Mobility. 

3.2.1.3 Calculation of toxicity/mobility factor value. 

3.2.2 Hazardous waste quantity. 

3.2.3 Calculation of waste characteristics factor category value. 

3.3 Targets. 

3.3.1 Nearest well. 

3.3.2 Population. 

3.3.2.1 Level of contamination. 

3.3.2.2 Level I concentrations. 

3.3.2.3 Level II concentrations. 

3.3.2.4 Potential contamination. 

3.3.2.5 Calculation of population factor value. 

3.3.3 Resources. 

3.3.4 Wellhead Protection Area. 

3.3.5 Calculation of targets factor category value. 

3.4 Ground water migration score for an aquifer. 

3.5 Calculation of ground water migration pathway score. 

4.0 Surface Water Migration Pathway. 

4.0.1 Migration components. 

4.0.2 Surface water categories. 

4.1 Overland/flood migration component. 

4.1.1 General considerations. 

4.1.1.1 Definition of hazardous substance migration path for overland/flood migration component. 

4.1.1.2 Target distance limit. 

4.1.1.3 Evaluation of overland/flood migration component. 

4.1.2 Drinking water threat. 

4.1.2.1 Drinking water threat-likelihood of release. 

4.1.2.1.1 Observed release. 

4.1.2.1.2 Potential to release. 

4.1.2.1.2.1 Potential to release by overland flow. 

4.1.2.1.2.1.1 Containment. 

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4.1.2.1.2.1.2 Runoff. 

4.1.2.1.2.1.3 Distance to surface water. 

4.1.2.1.2.1.4 Calculation of factor value for potential to release by overland flow. 

4.1.2.1.2.2 Potential to release by flood. 

4.1.2.1.2.2.1 Containment (flood). 

4.1.2.1.2.2.2 Flood frequency. 

4.1.2.1.2.2.3 Calculation of factor value for potential to release by flood. 

4.1.2.1.2.3 Calculation of potential to release factor value. 

4.1.2.1.3 Calculation of drinking water threat-likelihood of release factor category value. 

4.1.2.2 Drinking water threat-waste characteristics. 

4.1.2.2.1 Toxicity/persistence. 

4.1.2.2.1.1 Toxicity. 

4.1.2.2.1.2 Persistence. 

4.1.2.2.1.3 Calculation of toxicity/persistence factor value. 

4.1.2.2.2 Hazardous waste quantity. 

4.1.2.2.3 Calculation of drinking water threat-waste characteristics factor category value. 

4.1.2.3 Drinking water threat-targets. 

4.1.2.3.1 Nearest intake. 

4.1.2.3.2 Population. 

4.1.2.3.2.1 Level of contamination. 

4.1.2.3.2.2 Level I concentrations. 

4.1.2.3.2.3 Level II concentrations. 

4.1.2.3.2.4 Potential contamination. 

4.1.2.3.2.5 Calculation of population factor value. 

4.1.2.3.3 Resources. 

4.1.2.3.4 Calculation of drinking water threat-targets factor category value. 

4.1.2.4 Calculation of the drinking water threat score for a watershed. 

4.1.3 Human food chain threat. 

4.1.3.1 Human food chain threat-likelihood of release. 

4.1.3.2 Human food chain threat-waste characteristics. 

4.1.3.2.1 Toxicity/persistence/bioaccumulation. 

4.1.3.2.1.1 Toxicity. 

4.1.3.2.1.2 Persistence. 

4.1.3.2.1.3 Bioaccumulation potential. 

4.1.3.2.1.4 Calculation of toxicity/persistence/bioaccumulation factor value. 

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4.1.3.2.2 Hazardous waste quantity. 

4.1.3.2.3 Calculation of human food chain threat-waste characteristics factor category value. 

4.1.3.3 Human food chain threat-targets. 

4.1.3.3.1 Food chain individual. 

4.1.3.3.2 Population. 

4.1.3.3.2.1 Level I concentrations. 

4.1.3.3.2.2 Level II concentrations. 

4.1.3.3.2.3 Potential human food chain contamination. 

4.1.3.3.2.4 Calculation of population factor value. 

4.1.3.3.3 Calculation of human food chain threat-targets factor category value. 

4.1.3.4 Calculation of human food chain threat score for a watershed. 

4.1.4 Environmental threat. 

4.1.4.1 Environmental threat-likelihood of release. 

4.1.4.2 Environmental threat-waste characteristics. 

4.1.4.2.1 Ecosystem toxicity/persistence/bioaccumulation. 

4.1.4.2.1.1 Ecosystem toxicity. 

4.1.4.2.1.2 Persistence. 

4.1.4.2.1.3 Ecosystem bioaccumulation potential. 

4.1.4.2.1.4 Calculation of ecosystem toxicity/persistence/bioaccumulation factor value. 

4.1.4.2.2 Hazardous waste quantity. 

4.1.4.2.3 Calculation of environmental threat-waste characteristics factor category value. 

4.1.4.3 Environmental threat-targets. 

4.1.4.3.1 Sensitive environments. 

4.1.4.3.1.1 Level I concentrations. 

4.1.4.3.1.2 Level II concentrations. 

4.1.4.3.1.3 Potential contamination. 

4.1.4.3.1.4 Calculation of environmental threat-targets factor category value. 

4.1.4.4 Calculation of environmental threat score for a watershed. 

4.1.5 Calculation of overland/flood migration component score for a watershed. 

4.1.6 Calculation of overland/flood migration component score. 

4.2 Ground water to surface water migration component. 

4.2.1 General Considerations. 

4.2.1.1 Eligible surface waters. 

4.2.1.2 Definition of hazardous substance migration path for ground water to surface water migration 

component. 

4.2.1.3 Observed release of a specific hazardous substance to surface water in-water segment. 

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4.2.1.4 Target distance limit. 

4.2.1.5 Evaluation of ground water to surface water migration component. 

4.2.2 Drinking water threat. 

4.2.2.1 Drinking water threat-likelihood of release. 

4.2.2.1.1 Observed release. 

4.2.2.1.2 Potential to release. 

4.2.2.1.3 Calculation of drinking water threat-likelihood of release factor category value. 

4.2.2.2 Drinking water threat-waste characteristics. 

4.2.2.2.1 Toxicity/mobility/persistence. 

4.2.2.2.1.1 Toxicity. 

4.2.2.2.1.2 Mobility. 

4.2.2.2.1.3 Persistence. 

4.2.2.2.1.4 Calculation of toxicity/mobility/persistence factor value. 

4.2.2.2.2 Hazardous waste quantity. 

4.2.2.2.3 Calculation of drinking water threat-waste characteristics factor category value. 

4.2.2.3 Drinking water threat-targets. 

4.2.2.3.1 Nearest intake. 

4.2.2.3.2 Population. 

4.2.2.3.2.1 Level I concentrations. 

4.2.2.3.2.2 Level II concentrations. 

4.2.2.3.2.3 Potential contamination. 

4.2.2.3.2.4 Calculation of population factor value. 

4.2.2.3.3 Resources. 

4.2.2.3.4 Calculation of drinking water threat-targets factor category value. 

4.2.2.4 Calculation of drinking water threat score for a watershed. 

4.2.3 Human food chain threat. 

4.2.3.1 Human food chain threat-likelihood of release. 

4.2.3.2 Human food chain threat-waste characteristics. 

4.2.3.2.1 Toxicity/mobility/persistence/bioaccumulation. 

4.2.3.2.1.1 Toxicity. 

4.2.3.2.1.2 Mobility. 

4.2.3.2.1.3 Persistence. 

4.2.3.2.1.4 Bioaccumulation potential. 

4.2.3.2.1.5 Calculation of toxicity/mobility/persistence/bioaccumulation factor value. 

4.2.3.2.2 Hazardous waste quantity. 

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4.2.3.2.3 Calculation of human food chain threat-waste characteristics factor category value. 

4.2.3.3 Human food chain threat-targets. 

4.2.3.3.1 Food chain individual. 

4.2.3.3.2 Population. 

4.2.3.3.2.1 Level I concentrations. 

4.2.3.3.2.2 Level II concentrations. 

4.2.3.3.2.3 Potential human food chain contamination. 

4.2.3.3.2.4 Calculation of population factor value. 

4.2.3.3.3 Calculation of human food chain threat-targets factor category value. 

4.2.3.4 Calculation of human food chain threat score for a watershed. 

4.2.4 Environmental threat. 

4.2.4.1 Environmental threat-likelihood of release. 

4.2.4.2 Environmental threat-waste characteristics. 

4.2.4.2.1 Ecosystem toxicity/mobility/persistence/bioaccumulation. 

4.2.4.2.1.1 Ecosystem toxicity. 

4.2.4.2.1.2 Mobility. 

4.2.4.2.1.3 Persistence. 

4.2.4.2.1.4 Ecosystem bioaccumulation potential. 

4.2.4.2.1.5 Calculation of ecosystem toxicity/mobility/persistence/bioaccumulation factor value. 

4.2.4.2.2 Hazardous waste quantity. 

4.2.4.2.3 Calculation of environmental threat-waste characteristics factor category value. 

4.2.4.3 Environmental threat-targets. 

4.2.4.3.1 Sensitive environments. 

4.2.4.3.1.1 Level I concentrations. 

4.2.4.3.1.2 Level II concentrations. 

4.2.4.3.1.3 Potential contamination. 

4.2.4.3.1.4 Calculation of environmental threat-targets factor category value. 

4.2.4.4 Calculation of environmental threat score for a watershed. 

4.2.5 Calculation of ground water to surface water migration component score for a watershed. 

4.2.6 Calculation of ground water to surface water migration component score. 

4.3 Calculation of surface water migration pathway score. 

5.0 Soil Exposure Pathway. 

5.0.1 General considerations. 

5.1 Resident population threat. 

5.1.1 Likelihood of exposure. 

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5.1.2 Waste characteristics. 

5.1.2.1 Toxicity. 

5.1.2.2 Hazardous waste quantity. 

5.1.2.3 Calculation of waste characteristics factor category value. 

5.1.3 Targets. 

5.1.3.1 Resident individual. 

5.1.3.2 Resident population. 

5.1.3.2.1 Level I concentrations. 

5.1.3.2.2 Level II concentrations. 

5.1.3.2.3 Calculation of resident population factor value. 

5.1.3.3 Workers. 

5.1.3.4 Resources. 

5.1.3.5 Terrestrial sensitive environments. 

5.1.3.6 Calculation of resident population targets factor category value. 

5.1.4 Calculation of resident population threat score. 

5.2 Nearby population threat. 

5.2.1 Likelihood of exposure. 

5.2.1.1 Attractiveness/accessibility. 

5.2.1.2 Area of contamination. 

5.2.1.3 Likelihood of exposure factor category value. 

5.2.2 Waste characteristics. 

5.2.2.1 Toxicity. 

5.2.2.2 Hazardous waste quantity. 

5.2.2.3 Calculation of waste characteristics factor category value. 

5.2.3 Targets. 

5.2.3.1 Nearby individual. 

5.2.3.2 Population within 1 mile. 

5.2.3.3 Calculation of nearby population targets factor category value. 

5.2.4 Calculation of nearby population threat score. 

5.3 Calculation of soil exposure pathway score. 

6.0 Air Migration Pathway. 

6.1 Likelihood of release. 

6.1.1 Observed release. 

6.1.2 Potential to release. 

6.1.2.1 Gas potential to release. 

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6.1.2.1.1 Gas containment. 

6.1.2.1.2 Gas source type. 

6.1.2.1.3 Gas migration potential. 

6.1.2.1.4 Calculation of gas potential to release value. 

6.1.2.2 Particulate potential to release. 

6.1.2.2.1 Particulate containment. 

6.1.2.2.2 Pariculate source type. 

6.1.2.2.3 Particulate migration potential. 

6.1.2.2.4 Calculation of particulate potential to release value. 

6.1.2.3 Calculation of potential to release factor value for the site. 

6.1.3 Calculation of likelihood of release factor category value. 

6.2 Waste characteristics. 

6.2.1 Toxicity/mobility. 

6.2.1.1 Toxicity. 

6.2.1.2 Mobility. 

6.2.1.3 Calculation of toxicity/mobility factor value. 

6.2.2 Hazardous waste quantity. 

6.2.3 Calculation of waste characteristics factor category value. 

6.3 Targets. 

6.3.1 Nearest individual. 

6.3.2 Population. 

6.3.2.1 Level of contamination. 

6.3.2.2 Level I concentrations. 

6.3.2.3 Level II concentrations. 

6.3.2.4 Potential contamination. 

6.3.2.5 Calculation of population factor value. 

6.3.3 Resources. 

6.3.4 Sensitive environments. 

6.3.4.1 Actual contamination. 

6.3.4.2 Potential contamination. 

6.3.4.3 Calculation of sensitive environments factor value. 

6.3.5 Calculation of targets factor category value. 

6.4 Calculation of air migration pathway score. 

7.0 Sites Containing Radioactive Substances. 

7.1 Likelihood of release/likelihood of exposure. 

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7.1.1 Observed release/observed contamination. 

7.1.2 Potential to release. 

7.2 Waste characteristics. 

7.2.1 Human toxicity. 

7.2.2 Ecosystem toxicity. 

7.2.3 Persistence. 

7.2.4 Selection of substance potentially posing greatest hazard. 

7.2.5 Hazardous waste quantity. 

7.2.5.1 Source hazardous waste quantity for radionuclides. 

7.2.5.1.1 Radionuclide constituent quantity (Tier A). 

7.2.5.1.2 Radionuclide wastestream quantity (Tier B). 

7.2.5.1.3 Calculation of source hazardous waste quantity value for radionuclides. 

7.2.5.2 Calculation of hazardous waste quantity factor value for radionuclides. 

7.2.5.3 Calculation of hazardous waste quantity factor value for sites containing mixed radioactive and 

other hazardous substances. 

7.3 Targets. 

7.3.1 Level of contamination at a sampling location. 

7.3.2 Comparison to benchmarks. 

List of Figures 

Figure number

3–1 Overview of ground water migration pathway. 

3–2 Net precipitation factor values. 

4–1 Overview of surface water overland/flood migration component. 

4–2 Overview of ground water to surface water migration component. 

4–3 Sample determination of ground water to surface water angle. 

5–1 Overview of soil exposure pathway. 

6–1 Overview of air migration pathway. 

6–2 Particulate migration potential factor values. 

6–3 Particulate mobility factor values. 

List of Tables 

Table number

2–1 Sample pathway scoresheet. 

2–2 Sample source characterization worksheet. 

2–3 Observed release criteria for chemical analysis. 

2–4 Toxicity factor evaluation. 

2–5 Hazardous waste quantity evaluation equations. 

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2–6 Hazardous waste quantity factor values. 

2–7 Waste characteristics factor category values. 

3–1 Ground water migration pathway scoresheet. 

3–2 Containment factor values for ground water migration pathway. 

3–3 Monthly latitude adjusting values. 

3–4 Net precipitation factor values. 

3–5 Depth to aquifer factor values. 

3–6 Hydraulic conductivity of geologic materials. 

3–7 Travel time factor values. 

3–8 Ground water mobility factor values. 

3–9 Toxicity/mobility factor values. 

3–10 Health-based benchmarks for hazardous substances in drinking water. 

3–11 Nearest well factor values. 

3–12 Distance-weighted population values for potential contamination factor for ground water migration 

pathway. 

4–1 Surface water overland/flood migration component scoresheet. 

4–2 Containment factor values for surface water migration pathway. 

4–3 Drainage area values. 

4–4 Soil group designations. 

4–5 Rainfall/runoff values. 

4–6 Runoff factor values. 

4–7 Distance to surface water factor values. 

4–8 Containment (flood) factor values. 

4–9 Flood frequency factor values. 

4–10 Persistence factor values—half-life. 

4–11 Persistence factor values—log Kow

4–12 Toxicity/persistence factor values. 

4–13 Surface water dilution weights. 

4–14 Dilution-weighted population values for potential contamination factor for surface water migration 

pathway. 

4–15 Bioaccumulation potential factor values. 

4–16 Toxicity/persistence/bioaccumulation factor values. 

4–17 Health-based benchmarks for hazardous substances in human food chain. 

4–18 Human food chain population values. 

4–19 Ecosystem toxicity factor values. 

4–20 Ecosystem toxicity/persistence factor values. 

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4–21 Ecosystem toxicity/persistence/bioaccumulation factor values. 

4–22 Ecological-based benchmarks for hazardous substances in surface water. 

4–23 Sensitive environments rating values. 

4–24 Wetlands rating values for surface water migration pathway. 

4–25 Ground water to surface water migration component scoresheet. 

4–26 Toxicity/mobility/persistence factor values. 

4–27 Dilution weight adjustments. 

4–28 Toxicity/mobility/persistence/bioaccumulation factor values. 

4–29 Ecosystem toxicity/mobility/persistence factor values. 

4–30 Ecosystem toxicity/mobility/persistence/bioaccumulation factor values. 

5–1 Soil exposure pathway scoresheet. 

5–2 Hazardous waste quantity evaluation equations for soil exposure pathway. 

5–3 Health-based benchmarks for hazardous substances in soils. 

5–4 Factor values for workers. 

5–5 Terrestrial sensitive environments rating values. 

5–6 Attractiveness/accessibility values. 

5–7 Area of contamination factor values. 

5–8 Nearby population likelihood of exposure factor values. 

5–9 Nearby individual factor values. 

5–10 Distance-weighted population values for nearby population threat. 

6–1 Air migration pathway scoresheet. 

6–2 Gas potential to release evaluation. 

6–3 Gas containment factor values. 

6–4 Source type factor values. 

6–5 Values for vapor pressure and Henry's constant. 

6–6 Gas migration potential values for a hazardous substance. 

6–7 Gas migration potential values for the source. 

6–8 Particulate potential to release evaluation. 

6–9 Particulate containment factor values. 

6–10 Particulate migration potential values. 

6–11 Gas mobility factor values. 

6–12 Particulate mobility factor values. 

6–13 Toxicity/mobility factor values. 

6–14 Health-based benchmarks for hazardous substances in air. 

6–15 Air migration pathway distance weights. 

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6–16 Nearest individual factor values. 

6–17 Distance-weighted population values for potential contamination factor for air pathway. 

6–18 Wetlands rating values for air migration pathway. 

7–1 HRS factors evaluated differently for radionuclides. 

7–2 Toxicity factor values for radionuclides. 

1.0 Introduction

The Hazard Ranking System (HRS) is the principal mechanism the U.S. Environmental Protection 

Agency (EPA) uses to place sites on the National Priorities List (NPL). The HRS serves as a screening 

device to evaluate the potential for releases of uncontrolled hazardous substances to cause human 

health or environmental damage. The HRS provides a measure of relative rather than absolute risk. It is 

designed so that it can be consistently applied to a wide variety of sites. 

1.1 Definitions

Acute toxicity: Measure of toxicological responses that result from a single exposure to a substance or 

from multiple exposures within a short period of time (typically several days or less). Specific measures 

of acute toxicity used within the HRS include lethal dose50(LD50) and lethal concentration50(LC50), 

typically measured within a 24-hour to 96-hour period. 

Ambient Aquatic Life Advisory Concentrations (AALACs): EPA's advisory concentration limit for acute or 

chronic toxicity to aquatic organisms as established under section 304(a)(1) of the Clean Water Act, as 

amended. 

Ambient Water Quality Criteria (AWQC): EPA's maximum acute or chronic toxicity concentrations for 

protection of aquatic life and its uses as established under section 304(a)(1) of the Clean Water Act, as 

amended. 

Bioconcentration factor (BCF): Measure of the tendency for a substance to accumulate in the tissue of 

an aquatic organism. BCF is determined by the extent of partitioning of a substance, at equilibrium, 

between the tissue of an aquatic organism and water. As the ratio of concentration of a substance in the 

organism divided by the concentration in water, higher BCF values reflect a tendency for substances to 

accumulate in the tissue of aquatic organisms. [unitless]. 

Biodegradation: Chemical reaction of a substance induced by enzymatic activity of microorganisms. 

CERCLA: Comprehensive Environmental Response, Compensation, and Liability Act of 1980, as 

amended (Pub. L. 96–510, as amended). 

Chronic toxicity: Measure of toxicological responses that result from repeated exposure to a substance 

over an extended period of time (typically 3 months or longer). Such responses may persist beyond the 

exposure or may not appear until much later in time than the exposure. HRS measures of chronic 

toxicity include Reference Dose (RfD) values. 

Contract Laboratory Program (CLP): Analytical program developed for CERCLA waste site samples to 

fill the need for legally defensible analytical results supported by a high level of quality assurance and 

documentation. 

Contract-Required Detection Limit (CRDL): Term equivalent to contract-required quantitation limit, but 

used primarily for inorganic substances. 

Contract-Required Quantitation Limit (CRQL): Substance-specific level that a CLP laboratory must be 

able to routinely and reliably detect in specific sample matrices. It is not the lowest detectable level 

achievable, but rather the level that a CLP laboratory should reasonably quantify. The CRQL may or 

may not be equal to the quantitation limit of a given substance in a given sample. For HRS purposes, the 

term CRQL refers to both the contract-required quantitation limit and the contract-required detection 

limit. 

Curie (Ci): Measure used to quantify the amount of radioactivity. One curie equals 37 billion nuclear 

transformations per second, and one picocurie (pCi) equals 10−12Ci.

Decay product: Isotope formed by the radioactive decay of some other isotope. This newly formed 

isotope possesses physical and chemical properties that are different from those of its parent isotope, 

and may also be radioactive. 

Detection Limit (DL): Lowest amount that can be distinguished from the normal random “noise” of an 

analytical instrument or method. For HRS purposes, the detection limit used is the method detection limit 

(MDL) or, for real-time field instruments, the detection limit of the instrument as used in the field. 

Dilution weight: Parameter in the HRS surface water migration pathway that reduces the point value 

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assigned to targets as the flow or depth of the relevant surface water body increases. [unitless]. 

Distance weight: Parameter in the HRS air migration, ground water migration, and soil exposure 

pathways that reduces the point value assigned to targets as their distance increases from the site. 

[unitless]. 

Distribution coefficient (K d ): Measure of the extent of partitioning of a substance between geologic 

materials (for example, soil, sediment, rock) and water (also called partition coefficient). The distribution 

coefficient is used in the HRS in evaluating the mobility of a substance for the ground water migration 

pathway. [ml/g]. 

ED 10( 10 percent effective dose): Estimated dose associated with a 10 percent increase in response 

over control groups. For HRS purposes, the response considered is cancer. [milligrams toxicant per 

kilogram body weight per day (mg/kg-day)]. 

Food and Drug Administration Action Level (FDAAL): Under section 408 of the Federal Food, Drug and 

Cosmetic Act, as amended, concentration of a poisonous or deleterious substance in human food or 

animal feed at or above which FDA will take legal action to remove adulterated products from the 

market. Only FDAALs established for fish and shellfish apply in the HRS. 

Half-life: Length of time required for an initial concentration of a substance to be halved as a result of 

loss through decay. The HRS considers five decay processes: biodegradation, hydrolysis, photolysis, 

radioactive decay, and volatilization. 

Hazardous substance: CERCLA hazardous substances, pollutants, and contaminants as defined in 

CERCLA sections 101(14) and 101(33), except where otherwise specifically noted in the HRS. 

Hazardous wastestream: Material containing CERCLA hazardous substances (as defined in CERCLA 

section 101[14]) that was deposited, stored, disposed, or placed in, or that otherwise migrated to, a 

source. 

HRS “factor”: Primary rating elements internal to the HRS. 

HRS “factor category”: Set of HRS factors (that is, likelihood of release [or exposure], waste 

characteristics, targets). 

HRS “migration pathways”: HRS ground water, surface water, and air migration pathways. 

HRS “pathway”: Set of HRS factor categories combined to produce a score to measure relative risks 

posed by a site in one of four environmental pathways (that is, ground water, surface water, soil, and 

air). 

HRS “site score”: Composite of the four HRS pathway scores. 

Henry's law constant: Measure of the volatility of a substance in a dilute solution of water at equilibrium. 

It is the ratio of the vapor pressure exerted by a substance in the gas phase over a dilute aqueous 

solution of that substance to its concentration in the solution at a given temperature. For HRS purposes, 

use the value reported at or near 25 °C. [atmosphere-cubic meters per mole (atm-m3 /mol)].

Hydrolysis: Chemical reaction of a substance with water. 

Karst: Terrain with characteristics of relief and drainage arising from a high degree of rock solubility in 

natural waters. The majority of karst occurs in limestones, but karst may also form in dolomite, gypsum, 

and salt deposits. Features associated with karst terrains typically include irregular topography, 

sinkholes, vertical shafts, abrupt ridges, caverns, abundant springs, and/or disappearing streams. Karst 

aquifers are associated with karst terrain. 

LC 50( lethal concentration, 50 percent ): Concentration of a substance in air [typically micrograms per 

cubic meter (μg/m3 )] or water [typically micrograms per liter (μg/l)] that kills 50 percent of a group of 

exposed organisms. The LC50is used in the HRS in assessing acute toxicity. 

LD 50( lethal dose, 50 percent ): Dose of a substance that kills 50 percent of a group of exposed 

organisms. The LD50is used in the HRS in assessing acute toxicity [milligrams toxicant per kilogram 

body weight (mg/kg)]. 

Maximum Contaminant Level (MCL): Under section 1412 of the Safe Drinking Water Act, as amended, 

the maximum permissible concentration of a substance in water that is delivered to any user of a public 

water supply. 

Maximum Contaminant Level Goal (MCLG): Under section 1412 of the Safe Drinking Water Act, as 

amended, a nonenforceable concentration for a substance in drinking water that is protective of adverse 

human health effects and allows an adequate margin of safety. 

Method Detection Limit (MDL): Lowest concentration of analyte that a method can detect reliably in 

either a sample or blank. 

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Mixed radioactive and other hazardous substances: Material containing both radioactive hazardous 

substances and nonradioactive hazardous substances, regardless of whether these types of substances 

are physically separated, combined chemically, or simply mixed together. 

National Ambient Air Quality Standards (NAAQS): Primary standards for air quality established under 

sections 108 and 109 of the Clean Air Act, as amended. 

National Emission Standards for Hazardous Air Pollutants (NESHAPs): Standards established for 

substances listed under section 112 of the Clean Air Act, as amended. Only those NESHAPs 

promulgated in ambient concentration units apply in the HRS. 

Octanol-water partition coefficient (K ow[ or P ]): Measure of the extent of partitioning of a substance 

between water and octanol at equilibrium. The Kowis determined by the ratio between the concentration 

in octanol divided by the concentration in water at equilibrium. [unitless]. 

Organic carbon partition coefficient (K oc ): Measure of the extent of partitioning of a substance, at 

equilibrium, between organic carbon in geologic materials and water. The higher the Koc, the more likely 

a substance is to bind to geologic materials than to remain in water. [ml/g]. 

Photolysis: Chemical reaction of a substance caused by direct absorption of solar energy (direct 

photolysis) or caused by other substances that absorb solar energy (indirect photolysis). 

Radiation: Particles (alpha, beta, neutrons) or photons (x- and gamma-rays) emitted by radionuclides. 

Radioactive decay: Process of spontaneous nuclear transformation, whereby an isotope of one element 

is transformed into an isotope of another element, releasing excess energy in the form of radiation. 

Radioactive half-life: Time required for one-half the atoms in a given quantity of a specific radionuclide to 

undergo radioactive decay. 

Radioactive substance: Solid, liquid, or gas containing atoms of a single radionuclide or multiple 

radionuclides. 

Radioactivity: Property of those isotopes of elements that exhibit radioactive decay and emit radiation. 

Radionuclide/radioisotope: Isotope of an element exhibiting radioactivity. For HRS purposes, 

“radionuclide” and “radioisotope” are used synonymously. 

Reference dose (RfD): Estimate of a daily exposure level of a substance to a human population below 

which adverse noncancer health effects are not anticipated. [milligrams toxicant per kilogram body 

weight per day (mg/kg-day)]. 

Removal action: Action that removes hazardous substances from the site for proper disposal or 

destruction in a facility permitted under the Resource Conservation and Recovery Act or the Toxic 

Substances Control Act or by the Nuclear Regulatory Commission. 

Roentgen (R): Measure of external exposures to ionizing radiation. One roentgen equals that amount of 

x-ray or gamma radiation required to produce ions carrying a charge of 1 electrostatic unit (esu) in 1 

cubic centimeter of dry air under standard conditions. One microroentgen (μR) equals 10−6R.

Sample quantitation limit (SQL): Quantity of a substance that can be reasonably quantified given the 

limits of detection for the methods of analysis and sample characteristics that may affect quantitation (for 

example, dilution, concentration). 

Screening concentration: Media-specific benchmark concentration for a hazardous substance that is 

used in the HRS for comparison with the concentration of that hazardous substance in a sample from 

that media. The screening concentration for a specific hazardous substance corresponds to its reference 

dose for inhalation exposures or for oral exposures, as appropriate, and, if the substance is a human 

carcinogen with a weight-of-evidence classification of A, B, or C, to that concentration that corresponds 

to its 10−6individual lifetime excess cancer risk for inhalation exposures or for oral exposures, as 

appropriate. 

Site: Area(s) where a hazardous substance has been deposited, stored, disposed, or placed, or has 

otherwise come to be located. Such areas may include multiple sources and may include the area 

between sources. 

Slope factor (also referred to as cancer potency factor): Estimate of the probability of response (for 

example, cancer) per unit intake of a substance over a lifetime. The slope factor is typically used to 

estimate upper-bound probability of an individual developing cancer as a result of exposure to a 

particular level of a human carcinogen with a weight-of-evidence classification of A, B, or C. [(mg/kgday)−1for non-radioactive substances and (pCi

)

−1for radioactive substances].

Source: Any area where a hazardous substance has been deposited, stored, disposed, or 

placed, plus those soils that have become contaminated from migration of a hazardous 

substance. Sources do not include those volumes of air, ground water, surface water, or 

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surface water sediments that have become contaminated by migration, except: in the case of 

either a ground water plume with no identified source or contaminated surface water 

sediments with no identified source, the plume or contaminated sediments may be considered 

a source.

Target distance limit: Maximum distance over which targets for the site are evaluated. The target 

distance limit varies by HRS pathway. 

Uranium Mill Tailings Radiation Control Act (UMTRCA) Standards: Standards for radionuclides 

established under sections 102, 104, and 108 of the Uranium Mill Tailings Radiation Control Act, as 

amended. 

Vapor pressure: Pressure exerted by the vapor of a substance when it is in equilibrium with its solid or 

liquid form at a given temperature. For HRS purposes, use the value reported at or near 25 °C. 

[atmosphere or torr]. 

Volatilization: Physical transfer process through which a substance undergoes a change of state from a 

solid or liquid to a gas. 

Water solubility: Maximum concentration of a substance in pure water at a given temperature. For HRS 

purposes, use the value reported at or near 25 °C. [milligrams per liter (mg/l)]. 

Weight-of-evidence: EPA classification system for characterizing the evidence supporting the 

designation of a substance as a human carcinogen. EPA weight-of-evidence groupings include: 

Group A: Human carcinogen––sufficient evidence of carcinogenicity in humans. 

Group B1: Probable human carcinogen––limited evidence of carcinogenicity in humans. 

Group B2: Probable human carcinogen––sufficient evidence of carcinogenicity in animals. 

Group C: Possible human carcinogen––limited evidence of carcinogenicity in animals. 

Group D: Not classifiable as to human carcinogenicity––applicable when there is no animal evidence, or 

when human or animal evidence is inadequate. 

Group E: Evidence of noncarcinogenicity for humans. 

2.0 Evaluations Common to Multiple Pathways

2.1 Overview. The HRS site score (S) is the result of an evaluation of four pathways: 

• Ground Water Migration (Sgw).

• Surface Water Migration (Ssw).

• Soil Exposure (Ss).

• Air Migration (Sa).

The ground water and air migration pathways use single threat evaluations, while the surface water 

migration and soil exposure pathways use multiple threat evaluations. Three threats are evaluated for 

the surface water migration pathway: drinking water, human food chain, and environmental. These 

threats are evaluated for two separate migration components––overland/flood migration and ground 

water to surface water migration. Two threats are evaluated for the soil exposure pathway: resident 

population and nearby population. 

The HRS is structured to provide a parallel evaluation for each of these pathways and threats. This 

section focuses on these parallel evaluations, starting with the calculation of the HRS site score and the 

individual pathway scores. 

2.1.1 Calculation of HRS site score. Scores are first calculated for the individual pathways as specified 

in sections 2 through 7 and then are combined for the site using the following root-mean-square 

equation to determine the overall HRS site score, which ranges from 0 to 100: 

2.1.2 Calculation of pathway score. Table 2–1, which is based on the air migration pathway, illustrates 

the basic parameters used to calculate a pathway score. As table 2–1 shows, each pathway (or threat) 

score is the product of three “factor categories”: likelihood of release, waste characteristics, and targets. 

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(The soil exposure pathway uses likelihood of exposure rather than likelihood of release.) Each of the 

three factor categories contains a set of factors that are assigned numerical values and combined as 

specified in sections 2 through 7. The factor values are rounded to the nearest integer, except where 

otherwise noted. 

2.1.3 Common evaluations. Evaluations common to all four HRS pathways include: 

• Characterizing sources. 

–Identifying sources (and, for the soil exposure pathway, areas of observed contamination [see section 

5.0.1]).–Identifying hazardous substances associated with each source (or area of observed 

contamination).–Identifying hazardous substances available to a pathway. 

Table 2–1—Sample Pathway Scoresheet 

aMaximum value applies to waste characteristics category. The product of lines 4 and 5 is used in table 

2–7 to derive the value for the waste characteristics factor category. 

bThere is no limit to the human population or sensitive environments factor values. However, the 

pathway score based solely on sensitive environments is limited to a maximum of 60 points. 

• Scoring likelihood of release (or likelihood of exposure) factor category. 

–Scoring observed release (or observed contamination).–Scoring potential to release when there is no 

Factor category

Maximum 

value

Value 

assigned

Likelihood of Release

1. Observed Release 550

2. Potential to Release 500

3. Likelihood of Release (higher of lines 1 

and 2)

550

Waste Characteristics

4. Toxicity/Mobility (a)

5. Hazardous Waste Quantity (a)

6. Waste Characteristics 100

Targets

7. Nearest Individual

7a. Level I 50

7b. Level II 45

7c. Potential Contamination 20

7d. Nearest Individual (higher of lines 

7a, 7b, or 7c)

50

8. Population

8a. Level I (b)

8b. Level II (b)

8c. Potential Contamination (b)

8d. Total Population (lines

 8a+8b+8c) (b)

9. Resources 5

10. Sensitive Environments (b)

10a. Actual Contamination (b)

10b. Potential Contamination (b)

10c. Sensitive Environments 

 (lines 10a+10b) (b)

11. Targets (lines 7d+8d+9+10c) (b)

12.Pathway Scoreis the product of Likelihood of Release, Waste 

Characteristics, and Targets, divided by 82,500. Pathway scores are limited 

to a maximum of 100 points.

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observed release. 

• Scoring waste characteristics factor category. 

–Evaluating toxicity.–Combining toxicity with mobility, persistence, and/or bioaccumulation (or 

ecosystem bioaccumulation) potential, as appropriate to the pathway (or threat).–Evaluating hazardous 

waste quantity.–Combining hazardous waste quantity with the other waste characteristics factors.–

Determining waste characteristics factor category value. 

• Scoring targets factor category. 

–Determining level of contamination for targets. 

These evaluations are essentially identical for the three migration pathways (ground water, surface 

water, and air). However, the evaluations differ in certain respects for the soil exposure pathway. 

Section 7 specifies modifications that apply to each pathway when evaluating sites containing 

radioactive substances. 

Section 2 focuses on evaluations common at the pathway and threat levels. Note that for the ground 

water and surface water migration pathways, separate scores are calculated for each aquifer (see 

section 3.0) and each watershed (see sections 4.1.1.3 and 4.2.1.5) when determining the pathway 

scores for a site. Although the evaluations in section 2 do not vary when different aquifers or watersheds 

are scored at a site, the specific factor values (for example, observed release, hazardous waste quantity, 

toxicity/mobility) that result from these evaluations can vary by aquifer and by watershed at the site. This 

can occur through differences both in the specific sources and targets eligible to be evaluated for each 

aquifer and watershed and in whether observed releases can be established for each aquifer and 

watershed. Such differences in scoring at the aquifer and watershed level are addressed in sections 3 

and 4, not section 2. 

2.2 Characterize sources. Source characterization includes identification of the following: 

• Sources (and areas of observed contamination) at the site. 

• Hazardous substances associated with these sources (or areas of observed contamination). 

• Pathways potentially threatened by these hazardous substances. 

Table 2–2 presents a sample worksheet for source characterization. 

2.2.1 Identify sources. For the three migration pathways, identify the sources at the site that contain 

hazardous substances. Identify the migration pathway(s) to which each source applies. For the soil 

exposure pathway, identify areas of observed contamination at the site (see section 5.0.1). 

Table 2–2—Sample Source Characterization Worksheet 

2.2.2 Identify hazardous substances associated with a source. For each of the three migration 

pathways, consider those hazardous substances documented in a source (for example, by sampling, 

labels, manifests, oral or written statements) to be associated with that source when evaluating each 

pathway. In some instances, a hazardous substance can be documented as being present at a site (for 

example, by labels, manifests, oral or written statements), but the specific source(s) containing that 

hazardous substance cannot be documented. For the three migration pathways, in those instances 

Source: __________________

A. Source dimensions and hazardous waste quantity.

 Hazardous constituent quantity: ___

 Hazardous wastestream quantity: ___

 Volume: ___

 Area: ___

 Area of observed contamination: ___

B. Hazardous substances associated with the source.

Hazardous 

substance

Available to pathway

 Air 

Ground 

water 

(GW)

Surface water 

(SW) Soil

Gas Particulate Overland/flood

GW 

to 

SW Resident Nearby

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when the specific source(s) cannot be documented for a hazardous substance, consider the hazardous 

substance to be present in each source at the site, except sources for which definitive information 

indicates that the hazardous substance was not or could not be present. 

For an area of observed contamination in the soil exposure pathway, consider only those hazardous 

substances that meet the criteria for observed contamination for that area (see section 5.0.1) to be 

associated with that area when evaluating the pathway. 

2.2.3 Identify hazardous substances available to a pathway. In evaluating each migration pathway, 

consider the following hazardous substances available to migrate from the sources at the site to the 

pathway: 

• Ground water migration. 

–Hazardous substances that meet the criteria for an observed release (see section 2.3) to ground 

water.–All hazardous substances associated with a source with a ground water containment factor value 

greater than 0 (see section 3.1.2.1). 

• Surface water migration—overland/flood component. 

–Hazardous substances that meet the criteria for an observed release to surface water in the watershed 

being evaluated.–All hazardous substances associated with a source with a surface water containment 

factor value greater than 0 for the watershed (see sections 4.1.2.1.2.1.1 and 4.1.2.1.2.2.1). 

• Surface water migration—ground water to surface water component. 

–Hazardous substances that meet the criteria for an observed release to ground water.–All hazardous 

substances associated with a source with a ground water containment factor value greater than 0 (see 

sections 4.2.2.1.2 and 3.1.2.1). 

• Air migration. 

–Hazardous substances that meet the criteria for an observed release to the atmosphere.–All gaseous 

hazardous substances associated with a source with a gas containment factor value greater than 0 (see 

section 6.1.2.1.1).–All particulate hazardous substances associated with a source with a particulate 

containment factor value greater than 0 (see section 6.1.2.2.1). 

• For each migration pathway, in those instances when the specific source(s) containing the hazardous 

substance cannot be documented, consider that hazardous substance to be available to migrate to the 

pathway when it can be associated (see section 2.2.2) with at least one source having a containment 

factor value greater than 0 for that pathway. 

In evaluating the soil exposure pathway, consider the following hazardous substances available to the 

pathway: 

• Soil exposure—resident population threat. 

–All hazardous substances that meet the criteria for observed contamination at the site (see section 

5.0.1). 

• Soil exposure—nearby population threat. 

–All hazardous substances that meet the criteria for observed contamination at areas with an 

attractiveness/accessibility factor value greater than 0 (see section 5.2.1.1). 

2.3 Likelihood of release. Likelihood of release is a measure of the likelihood that a waste has been or 

will be released to the environment. The likelihood of release factor category is assigned the maximum 

value of 550 for a migration pathway whenever the criteria for an observed release are met for that 

pathway. If the criteria for an observed release are met, do not evaluate potential to release for that 

pathway. When the criteria for an observed release are not met, evaluate potential to release for that 

pathway, with a maximum value of 500. The evaluation of potential to release varies by migration 

pathway (see sections 3, 4 and 6). 

Establish an observed release either by direct observation of the release of a hazardous substance into 

the media being evaluated (for example, surface water) or by chemical analysis of samples appropriate 

to the pathway being evaluated (see sections 3, 4, and 6). The minimum standard to establish an 

observed release by chemical analysis is analytical evidence of a hazardous substance in the media 

significantly above the background level. Further, some portion of the release must be attributable to the 

site. Use the criteria in table 2–3 as the standard for determining analytical significance. (The criteria in 

table 2–3 are also used in establishing observed contamination for the soil exposure pathway, see 

section 5.0.1.) Separate criteria apply to radionuclides (see section 7.1.1). 

Table 2–3—Observed Release Criteria for Chemical Analysis 

Sample Measurement< Sample Quantitation Limita

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aIf the sample quantitation limit (SQL) cannot be established, determine if there is an observed release 

as follows: 

 —If the sample analysis was performed under the EPA Contract Laboratory Program, use the EPA 

contract-required quantitation limit (CRQL) in place of the SQL. 

 —If the sample analysis is not performed under the EPA Contract Laboratory Program, use the 

detection limit (DL) in place of the SQL. 

2.4 Waste characteristics. The waste characteristics factor category includes the following factors: 

hazardous waste quantity, toxicity, and as appropriate to the pathway or threat being evaluated, mobility, 

persistence, and/or bioaccumulation (or ecosystem bioaccumulation) potential. 

2.4.1 Selection of substance potentially posing greatest hazard. For all pathways (and threats), select 

the hazardous substance potentially posing the greatest hazard for the pathway (or threat) and use that 

substance in evaluating the waste characteristics category of the pathway (or threat). For the three 

migration pathways (and threats), base the selection of this hazardous substance on the toxicity factor 

value for the substance, combined with its mobility, persistence, and/or bioaccumulation (or ecosystem 

bioaccumulation) potential factor values, as applicable to the migration pathway (or threat). For the soil 

exposure pathway, base the selection on the toxicity factor alone. 

Evaluation of the toxicity factor is specified in section 2.4.1.1. Use and evaluation of the mobility, 

persistence, and/or bioaccumulation (or ecosystem bioaccumulation) potential factors vary by pathway 

(or threat) and are specified under the appropriate pathway (or threat) section. Section 2.4.1.2 identifies 

the specific factors that are combined with toxicity in evaluating each pathway (or threat). 

2.4.1.1 Toxicity factor. Evaluate toxicity for those hazardous substances at the site that are available to 

the pathway being scored. For all pathways and threats, except the surface water environmental threat, 

evaluate human toxicity as specified below. For the surface water environmental threat, evaluate 

ecosystem toxicity as specified in section 4.1.4.2.1.1. 

Establish human toxicity factor values based on quantitative dose-response parameters for the following 

three types of toxicity: 

• Cancer– –Use slope factors (also referred to as cancer potency factors) combined with weight-ofevidence ratings for carcinogenicity. If a slope factor is not available for a substance, use its ED10value 

to estimate a slope factor as follows: 

• Noncancer toxicological responses of chronic exposure– –use reference dose (RfD) values. 

• Noncancer toxicological responses of acute exposure– –use acute toxicity parameters, such as the 

LD50. 

Assign human toxicity factor values to a hazardous substance using table 2–4, as follows: 

• If RfD and slope factor values are both available for the hazardous substance, assign the substance a 

value from table 2–4 for each. Select the higher of the two values assigned and use it as the overall 

toxicity factor value for the hazardous substance. 

• If either an RfD or slope factor value is available, but not both, assign the hazardous substance an 

overall toxicity factor value from table 2–4 based solely on the available value (RfD or slope factor). 

• If neither an RfD nor slope factor value is available, assign the hazardous substance an overall toxicity 

factor value from table 2–4 based solely on acute toxicity. That is, consider acute toxicity in table 2–4 

only when both RfD and slope factor values are not available. 

• If neither an RfD, nor slope factor, nor acute toxicity value is available, assign the hazardous substance 

No observed release is established.

Sample Measurement≥ Sample Quantitation Limita

An observed release is established as follows:

• If the background concentration is not detected (or is less than the 

detection limit), an observed release is established when the sample 

measurement equals or exceeds the sample quantitation limit.a

• If the background concentration equals or exceeds the detection limit, 

an observed release is established when the sample measurement is 3 

times or more above the background concentration.

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an overall toxicity factor value of 0 and use other hazardous substances for which information is 

available in evaluating the pathway. 

Table 2–4—Toxicity Factor Evaluation 

Chronic Toxicity (Human)

Carcinogenicity (Human)

aA, B, and C refer to weight-of-evidence categories. Assign substances with a weight-of-evidence 

category of D (inadequate evidence of carcinogenicity) or E (evidence of lack of carcinogenicity) a value 

of 0 for carcinogenicity. 

bSF = Slope factor.

Table 2–4—Toxicity Factor Evaluation—Concluded 

Acute Toxicity (Human)

If a toxicity factor value of 0 is assigned to all hazardous substances available to a particular pathway 

(that is, insufficient toxicity data are available for evaluating all the substances), use a default value of 

100 as the overall human toxicity factor value for all hazardous substances available to the pathway. For 

hazardous substances having usable toxicity data for multiple exposure routes (for example, inhalation 

and ingestion), consider all exposure routes and use the highest assigned value, regardless of exposure 

route, as the toxicity factor value. 

For HRS purposes, assign both asbestos and lead (and its compounds) a human toxicity factor value of 

10,000. 

Separate criteria apply for assigning factor values for human toxicity and ecosystem toxicity for 

radionuclides (see sections 7.2.1 and 7.2.2). 

Reference dose (RfD) (mg/kg-day) Assigned value

RfD < 0.0005 10,000

0.0005 ≤ RfD < 0.005 1,000

0.005 ≤ RfD < 0.05 100

0.05 ≤ RfD < 0.5 10

0.5 ≤ RfD 1

RfD not available 0

Weight-of-evidencea/slope factor (mg/kg-day)−1 Assigned 

ABC value

0.5 ≤ SFb 5 ≤ SF 50 ≤ SF 10,000

0.05 ≤ SF < 0.5 0.5 ≤ SF < 5 5 ≤ SF < 50 1,000

SF < 0.05 0.05 ≤ SF < 0.5 0.5 ≤ SF < 5 100

— — — SF < 0.05 SF < 0.5 10

Slope factor not 

available

Slope factor not 

available

Slope factor not 

available

0

Oral LD50

(mg/kg)

Dermal LD50

(mg/kg)

Dust or mist 

LC50(mg/l)

Gas or vapor 

LC50(ppm) Assigned 

value

— — — — — — — — — — — — — — —

LD50< 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

LD50not 

available

LD50not 

available

LC50not 

available

LC50not 

available

0

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2.4.1.2 Hazardous substance selection. For each hazardous substance evaluated for a migration 

pathway (or threat), combine the human toxicity factor value (or ecosystem toxicity factor value) for the 

hazardous substance with a mobility, persistence, and/or bioaccumulation (or ecosystem 

bioaccumulation) potential factor value as follows: 

• Ground water migration. 

–Determine a combined human toxicity/mobility factor value for the hazardous substance (see section 

3.2.1). 

• Surface water migration-overland/flood migration component. 

–Determine a combined human toxicity/persistence factor value for the hazardous substance for the 

drinking water threat (see section 4.1.2.2.1).–Determine a combined human 

toxicity/persistence/bioaccumulation factor value for the hazardous substance for the human food chain 

threat (see section 4.1.3.2.1).–Determine a combined ecosystem toxicity/persistence/bioaccumulation 

factor value for the hazardous substance for the environmental threat (see section 4.1.4.2.1). 

• Surface water migration-ground water to surface water migration component. 

–Determine a combined human toxicity/mobility/persistence factor value for the hazardous substance for 

the drinking water threat (see section 4.2.2.2.1).–Determine a combined human 

toxicity/mobility/persistence/bioaccumulation factor value for the hazardous substance for the human 

food chain threat (see section 4.2.3.2.1).–Determine a combined ecosystem 

toxicity/mobility/persistence/bioaccumulation factor value for the hazardous substance for the 

environmental threat (see section 4.2.4.2.1). 

• Air migration. 

–Determine a combined human toxicity/mobility factor value for the hazardous substance (see section 

6.2.1). 

Determine each combined factor value for a hazardous substance by multiplying the individual factor 

values appropriate to the pathway (or threat). For each migration pathway (or threat) being evaluated, 

select the hazardous substance with the highest combined factor value and use that substance in 

evaluating the waste characteristics factor category of the pathway (or threat). 

For the soil exposure pathway, select the hazardous substance with the highest human toxicity factor 

value from among the substances that meet the criteria for observed contamination for the threat 

evaluated and use that substance in evaluating the waste characteristics factor category. 

2.4.2 Hazardous waste quantity. Evaluate the hazardous waste quantity factor by first assigning each 

source (or area of observed contamination) a source hazardous waste quantity value as specified below. 

Sum these values to obtain the hazardous waste quantity factor value for the pathway being evaluated. 

In evaluating the hazardous waste quantity factor for the three migration pathways, allocate hazardous 

substances and hazardous wastestreams to specific sources in the manner specified in section 2.2.2, 

except: consider hazardous substances and hazardous wastestreams that cannot be allocated to any 

specific source to constitute a separate “unallocated source” for purposes of evaluating only this factor 

for the three migration pathways. Do not, however, include a hazardous substance or hazardous 

wastestream in the unallocated source for a migration pathway if there is definitive information indicating 

that the substance or wastestream could only have been placed in sources with a containment factor 

value of 0 for that migration pathway. 

In evaluating the hazardous waste quantity factor for the soil exposure pathway, allocate to each area of 

observed contamination only those hazardous substances that meet the criteria for observed 

contamination for that area of observed contamination and only those hazardous wastestreams that 

contain hazardous substances that meet the criteria for observed contamination for that area of 

observed contamination. Do not consider other hazardous substances or hazardous wastestreams at 

the site in evaluating this factor for the soil exposure pathway. 

2.4.2.1 Source hazardous waste quantity. For each of the three migration pathways, assign a source 

hazardous waste quantity value to each source (including the unallocated source) having a containment 

factor value greater than 0 for the pathway being evaluated. Consider the unallocated source to have a 

containment factor value greater than 0 for each migration pathway. 

For the soil exposure pathway, assign a source hazardous waste quantity value to each area of 

observed contamination, as applicable to the threat being evaluated. 

For all pathways, evaluate source hazardous waste quantity using the following four measures in the 

following hierarchy: 

• Hazardous constituent quantity. 

• Hazardous wastestream quantity. 

• Volume. 

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• Area. 

For the unallocated source, use only the first two measures. 

Separate criteria apply for assigning a source hazardous waste quantity value for radionuclides (see 

section 7.2.5). 

2.4.2.1.1 Hazardous constituent quantity. Evaluate hazardous constituent quantity for the source (or 

area of observed contamination) based solely on the mass of CERCLA hazardous substances (as 

defined in CERCLA section 101(14), as amended) allocated to the source (or area of observed 

contamination), except: 

• For a hazardous waste listed pursuant to section 3001 of the Solid Waste Disposal Act, as amended 

by the Resource Conservation and Recovery Act of 1976 (RCRA), 42 U.S.C. 6901 et seq., determine its 

mass for the evaluation of this measure as follows: 

–If the hazardous waste is listed solely for Hazard Code T (toxic waste), include only the mass of 

constituents in the hazardous waste that are CERCLA hazardous substances and not the mass of the 

entire hazardous waste.–If the hazardous waste is listed for any other Hazard Code (including T plus 

any other Hazard Code), include the mass of the entire hazardous waste. 

• For a RCRA hazardous waste that exhibits the characteristics identified under section 3001 of RCRA, 

as amended, determine its mass for the evaluation of this measure as follows: 

–If the hazardous waste exhibits only the characteristic of toxicity (or only the characteristic of EP 

toxicity), include only the mass of constituents in the hazardous waste that are CERCLA hazardous 

substances and not the mass of the entire hazardous waste.–If the hazardous waste exhibits any other 

characteristic identified under section 3001 (including any other characteristic plus the characteristic of 

toxicity [or the characteristic of EP toxicity]), include the mass of the entire hazardous waste. 

Based on this mass, designated as C, assign a value for hazardous constituent quantity as follows: 

• For the migration pathways, assign the source a value for hazardous constituent quantity using the Tier 

A equation of table 2–5. 

• For the soil exposure pathway, assign the area of observed contamination a value using the Tier A 

equation of table 5–2 (section 5.1.2.2). 

If the hazardous constituent quantity for the source (or area of observed contamination) is adequately 

determined (that is, the total mass of all CERCLA hazardous substances in the source and releases 

from the source [or in the area of observed contamination] is known or is estimated with reasonable 

confidence), do not evaluate the other three measures discussed below. Instead assign these other 

three measures a value of 0 for the source (or area of observed contamination) and proceed to section 

2.4.2.1.5. 

If the hazardous constituent quantity is not adequately determined, assign the source (or area of 

observed contamination) a value for hazardous constituent quantity based on the available data and 

proceed to section 2.4.2.1.2. 

Table 2–5—Hazardous Waste Quantity Evaluation Equations 

Tier Measure Units

Equation 

for 

assigning 

valuea

A Hazardous constituent quantity (C) lb C

Bb Hazardous wastestream quantity (W) lb W/5,000

Cb Volume (V)

 Landfill yd3 V/2,500

 Surface impoundment yd3 V/2.5

 Surface impoundment (buried/backfilled) yd3 V/2.5

 Drumsc gallon V/500

 Tanks and containers other than drums yd3 V/2.5

 Contaminated soil yd3 V/2,500

 Pile yd3 V/2.5

 Other yd3 V/2.5

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aDo not round to nearest integer.

bConvert volume to mass when necessary: 1 ton=2,000 pounds=1 cubic yard=4 drums=200 gallons.

cIf actual volume of drums is unavailable, assume 1 drum=50 gallons.

dUse land surface area under pile, not surface area of pile.

2.4.2.1.2 Hazardous wastestream quantity. Evaluate hazardous wastestream quantity for the source 

(or area of observed contamination) based on the mass of hazardous wastestreams plus the mass of 

any additional CERCLA pollutants and contaminants (as defined in CERCLA section 101[33], as 

amended) that are allocated to the source (or area of observed contamination). For a wastestream that 

consists solely of a hazardous waste listed pursuant to section 3001 of RCRA, as amended or that 

consists solely of a RCRA hazardous waste that exhibits the characteristics identified under section 

3001 of RCRA, as amended, include the mass of that entire hazardous waste in the evaluation of this 

measure. 

Based on this mass, designated as W, assign a value for hazardous wastestream quantity as follows: 

• For the migration pathways, assign the source a value for hazardous wastestream quantity using the 

Tier B equation of table 2–5. 

• For the soil exposure pathway, assign the area of observed contamination a value using the Tier B 

equation of table 5–2 (section 5.1.2.2). 

Do not evaluate the volume and area measures described below if the source is the unallocated source 

or if the following condition applies: 

• The hazardous wastestream quantity for the source (or area of observed contamination) is adequately 

determined—that is, total mass of all hazardous wastestreams and CERCLA pollutants and 

contaminants for the source and releases from the source (or for the area of observed contamination) is 

known or is estimated with reasonable confidence. 

If the source is the unallocated source or if this condition applies, assign the volume and area measures 

a value of 0 for the source (or area of observed contamination) and proceed to section 2.4.2.1.5. 

Otherwise, assign the source (or area of observed contamination) a value for hazardous wastestream 

quantity based on the available data and proceed to section 2.4.2.1.3. 

2.4.2.1.3 Volume. Evaluate the volume measure using the volume of the source (or the volume of the 

area of observed contamination). For the soil exposure pathway, restrict the use of the volume measure 

to those areas of observed contamination specified in section 5.1.2.2. 

Based on the volume, designated as V, assign a value to the volume measure as follows: 

• For the migration pathways, assign the source a value for volume using the appropriate Tier C 

equation of table 2–5. 

• For the soil exposure pathway, assign the area of observed contamination a value for volume using the 

appropriate Tier C equation of table 5–2 (section 5.1.2.2). 

If the volume of the source (or volume of the area of observed contamination, if applicable) can be 

determined, do not evaluate the area measure. Instead, assign the area measure a value of 0 and 

proceed to section 2.4.2.1.5. If the volume cannot be determined (or is not applicable for the soil 

exposure pathway), assign the source (or area of observed contamination) a value of 0 for the volume 

measure and proceed to section 2.4.2.1.4. 

2.4.2.1.4 Area. Evaluate the area measure using the area of the source (or the area of the area of 

observed contamination). Based on this area, designated as A, assign a value to the area measure as 

follows: 

• For the migration pathways, assign the source a value for area using the appropriate Tier D equation of 

Db Area (A)

 Landfill ft2 A/3,400

 Surface impoundment ft2 A/13

 Surface impoundment (buried/backfilled) ft2 A/13

 Land treatment ft2 A/270

 Piled ft2 A/13

 Contaminated soil ft2 A/34,000

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table 2–5. 

• For the soil exposure pathway, assign the area of observed contamination a value for area using the 

appropriate Tier D equation of table 5–2 (section 5.1.2.2). 

2.4.2.1.5 Calculation of source hazardous waste quantity value. Select the highest of the values 

assigned to the source (or area of observed contamination) for the hazardous constituent quantity, 

hazardous wastestream quantity, volume, and area measures. Assign this value as the source 

hazardous waste quantity value. Do not round to the nearest integer. 

2.4.2.2 Calculation of hazardous waste quantity factor value. Sum the source hazardous waste quantity 

values assigned to all sources (including the unallocated source) or areas of observed contamination for 

the pathway being evaluated and round this sum to the nearest integer, except: if the sum is greater 

than 0, but less than 1, round it to 1. Based on this value, select a hazardous waste quantity factor value 

for the pathway from table 2–6. 

Table 2–6—Hazardous Waste Quantity Factor Values 

aIf the hazardous waste quantity value is greater than 0, but less than 1, round it to 1 as specified in text.

bFor the pathway, if hazardous constituent quantity is not adequately determined, assign a value as 

specified in the text; do not assign the value of 1. 

For a migration pathway, if the hazardous constituent quantity is adequately determined (see section 

2.4.2.1.1) for all sources (or all portions of sources and releases remaining after a removal action), 

assign the value from table 2–6 as the hazardous waste quantity factor value for the pathway. If the 

hazardous constituent quantity is not adequately determined for one or more sources (or one or more 

portions of sources or releases remaining after a removal action) assign a factor value as follows: 

• If any target for that migration pathway is subject to Level I or Level II concentrations (see section 2.5), 

assign either the value from table 2–6 or a value of 100, whichever is greater, as the hazardous waste 

quantity factor value for that pathway. 

• If none of the targets for that pathway is subject to Level I or Level II concentrations, assign a factor 

value as follows: 

–If there has been no removal action, assign either the value from table 2–6 or a value of 10, whichever 

is greater, as the hazardous waste quantity factor value for that pathway.–If there has been a removal 

action: 

 –Determine values from table 2–6 with and without consideration of the removal action. 

 –If the value that would be assigned from table 2–6 without consideration of the removal action would 

be 100 or greater, assign either the value from table 2–6 with consideration of the removal action or a 

value of 100, whichever is greater, as the hazardous waste quantity factor value for the pathway. 

 –If the value that would be assigned from table 2–6 without consideration of the removal action would 

be less than 100, assign a value of 10 as the hazardous waste quantity factor value for the pathway. 

For the soil exposure pathway, if the hazardous constituent quantity is adequately determined for all 

areas of observed contamination, assign the value from table 2–6 as the hazardous waste quantity 

factor value. If the hazardous constituent quantity is not adequately determined for one or more areas of 

observed contamination, assign either the value from table 2–6 or a value of 10, whichever is greater, as 

the hazardous waste quantity factor value. 

2.4.3 Waste characteristics factor category value. Determine the waste characteristics factor category 

value as specified in section 2.4.3.1 for all pathways and threats, except the surface water-human food 

chain threat and the surface water-environmental threat. Determine the waste characteristics factor 

category value for these latter two threats as specified in section 2.4.3.2. 

2.4.3.1 Factor category value. For the pathway (or threat) being evaluated, multiply the toxicity or 

combined factor value, as appropriate, from section 2.4.1.2 and the hazardous waste quantity factor 

value from section 2.4.2.2, subject to a maximum product of 1×108 . Based on this waste characteristics 

product, assign a waste characteristics factor category value to the pathway (or threat) from table 2–7. 

Hazardous waste quantity value Assigned value

0 0

1ato 100 1b

Greater than 100 to 10,000 100

Greater than 10,000 to 1,000,000 10,000

Greater than 1,000,000 1,000,000

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Table 2–7—Waste Characteristics Factor Category Values 

2.4.3.2 Factor category value, considering bioaccumulation potential. For the surface water-human 

food chain threat and the surface water-environmental threat, multiply the toxicity or combined factor 

value, as appropriate, from section 2.4.1.2 and the hazardous waste quantity factor value from section 

2.4.2.2, subject to: 

• A maximum product of 1×1012 , and 

• A maximum product exclusive of the bioaccumulation (or ecosystem bioaccumulation) potential factor 

of 1×108 .

Based on the total waste characteristics product, assign a waste characteristics factor category value to 

these threats from table 2–7. 

2.5 Targets . 

The types of targets evaluated include the following: 

• Individual (factor name varies by pathway and threat). 

• Human population. 

• Resources (these vary by pathway and threat). 

• Sensitive environments (included for all pathways except ground water migration). 

The factor values that may be assigned to each type of target have the same range for each pathway for 

which that type of target is evaluated. The factor value for most types of targets depends on whether the 

target is subject to actual or potential contamination for the pathway and whether the actual 

contamination is Level I or Level II: 

• Actual contamination: Target is associated either with a sampling location that meets the criteria for an 

observed release (or observed contamination) for the pathway or with an observed release based on 

direct observation for the pathway (additional criteria apply for establishing actual contamination for the 

human food chain threat in the surface water migration pathway, see sections 4.1.3.3 and 4.2.3.3). 

sections 3 through 6 specify how to determine the targets associated with a sampling location or with an 

observed release based on direct observation. Determine whether the actual contamination is Level I or 

Level II as follows: 

–Level I: 

 –Media-specific concentrations for the target meet the criteria for an observed release (or observed 

contamination) for the pathway and are at or above media-specific benchmark values. These benchmark 

values (see section 2.5.2) include both screening concentrations and concentrations specified in 

regulatory limits (such as Maximum Contaminant Level (MCL) values), or 

 –For the human food chain threat in the surface water migration pathway, concentrations in tissue 

Waste characteristics product Assigned value

0 0

Greater than 0 to less than 10 1

10 to less than 1×102 2

1×102to less than 1×103 3

1×103to less than 1×104 6

1×104to less than 1×105 10

1×105to less than 1×106 18

1×106to less than 1×107 32

1×107to less than 1×108 56

1×108to less than 1×109 100

1×109to less than 1×1010 180

1×1010to less than 1×1011 320

1×1011to less than 1×1012 560

1×1012 1,000

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samples from aquatic human food chain organisms are at or above benchmark values. Such tissue 

samples may be used in addition to media-specific concentrations only as specified in sections 4.1.3.3 

and 4.2.3.3. 

–Level II: 

 –Media-specific concentrations for the target meet the criteria for an observed release (or observed 

contamination) for the pathway, but are less than media-specific benchmarks. If none of the hazardous 

substances eligible to be evaluated for the sampling location has an applicable benchmark, assign Level 

II to the actual contamination at the sampling location, or 

 –For observed releases based on direct observation, assign Level II to targets as specified in sections 

3, 4, and 6, or 

 –For the human food chain threat in the surface water migration pathway, concentrations in tissue 

samples from aquatic human food chain organisms, when applicable, are below benchmark values. 

–If a target is subject to both Level I and Level II concentrations for a pathway (or threat), evaluate the 

target using Level I concentrations for that pathway (or threat). 

• Potential contamination: Target is subject to a potential release (that is, target is not associated with 

actual contamination for that pathway or threat). 

Assign a factor value for individual risk as follows (select the highest value that applies to the pathway or 

threat): 

• 50 points if any individual is exposed to Level I concentrations. 

• 45 points if any individual is exposed to Level II concentrations. 

• Maximum of 20 points if any individual is subject to potential contamination. The value assigned is 20 

multiplied by the distance or dilution weight appropriate to the pathway. 

Assign factor values for population and sensitive environments as follows: 

• Sum Level I targets and multiply by 10. (Level I is not used for sensitive environments in the soil 

exposure and air migration pathways.) 

• Sum Level II targets. 

• Multiply potential targets by distance or dilution weights appropriate to the pathway, sum, and divide by 

10. Distance or dilution weighting accounts for diminishing exposure with increasing distance or dilution 

within the different pathways. 

• Sum the values for the three levels. 

In addition, resource value points are assigned within all pathways for welfare-related impacts (for 

example, impacts to agricultural land), but do not depend on whether there is actual or potential 

contamination. 

2.5.1 Determination of level of actual contamination at a sampling location. Determine whether Level I 

concentrations or Level II concentrations apply at a sampling location (and thus to the associated 

targets) as follows: 

• Select the benchmarks applicable to the pathway (or threat) being evaluated. 

• Compare the concentrations of hazardous substances in the sample (or comparable samples) to their 

benchmark concentrations for the pathway (or threat), as specified in section 2.5.2. 

• Determine which level applies based on this comparison. 

• If none of the hazardous substances eligible to be evaluated for the sampling location has an 

applicable benchmark, assign Level II to the actual contamination at that sampling location for the 

pathway (or threat). 

In making the comparison, consider only those samples, and only those hazardous substances in the 

sample, that meet the criteria for an observed release (or observed contamination) for the pathway, 

except: tissue samples from aquatic human food chain organisms may also be used as specified in 

sections 4.1.3.3 and 4.2.3.3 of the surface water-human food chain threat. If any hazardous substance 

is present in more than one comparable sample for the sampling location, use the highest concentration 

of that hazardous substance from any of the comparable samples in making the comparisons. 

Treat sets of samples that are not comparable separately and make a separate comparison for each 

such set. 

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2.5.2 Comparison to benchmarks. Use the following media-specific benchmarks for making the 

comparisons for the indicated pathway (or threat): 

• Maximum Contaminant Level Goals (MCLGs)—ground water migration pathway and drinking water 

threat in surface water migration pathway. Use only MCLG values greater than 0. 

• Maximum Contaminant Levels (MCLs)—ground water migration pathway and drinking water threat in 

surface water migration pathway. 

• Food and Drug Administration Action Level (FDAAL) for fish or shellfish—human food chain threat in 

surface water migration pathway. 

• EPA Ambient Water Quality Criteria (AWQC) for protection of aquatic life—environmental threat in 

surface water migration pathway. 

• EPA Ambient Aquatic Life Advisory Concentrations (AALAC)—environmental threat in surface water 

migration pathway. 

• National Ambient Air Quality Standards (NAAQS)—air migration pathway. 

• National Emission Standards for Hazardous Air Pollutants (NESHAPs)—air migration pathway. Use 

only those NESHAPs promulgated in ambient concentration units. 

• Screening concentration for cancer corresponding to that concentration that corresponds to the 

10−6individual cancer risk for inhalation exposures (air migration pathway) or for oral exposures (ground 

water migration pathway; drinking water and human food chain threats in surface water migration 

pathway; and soil exposure pathway). 

• Screening concentration for noncancer toxicological responses corresponding to the RfD for inhalation 

exposures (air migration pathway) or for oral exposures (ground water migration pathway; drinking water 

and human food chain threats in surface water migration pathway; and soil exposure pathway). 

Select the benchmark(s) applicable to the pathway (or threat) being evaluated as specified in sections 3 

through 6. Compare the concentration of each hazardous substance from the sampling location to its 

benchmark concentration(s) for that pathway (or threat). Use only those samples and only those 

hazardous substances in the sample that meet the criteria for an observed release (or observed 

contamination) for the pathway, except: tissue samples from aquatic human food chain organisms may 

be used as specified in sections 4.1.3.3 and 4.2.3.3. If the concentration of any applicable hazardous 

substance from any sample equals or exceeds its benchmark concentration, consider the sampling 

location to be subject to Level I concentrations for that pathway (or threat). If more than one benchmark 

applies to the hazardous substance, assign Level I if the concentration of the hazardous substance 

equals or exceeds the lowest applicable benchmark concentration. 

If no hazardous substance individually equals or exceeds its benchmark concentration, but more than 

one hazardous substance either meets the criteria for an observed release (or observed contamination) 

for the sample (or comparable samples) or is eligible to be evaluated for a tissue sample (see sections 

4.1.3.3 and 4.2.3.3), calculate the indices I and J specified below based on these hazardous 

substances. 

For those hazardous substances that are carcinogens (that is, those having a carcinogen weight-ofevidence classification of A, B, or C), calculate an index I for the sample location as follows: 

where: 

Ci

=Concentration of hazardous substance i in sample (or highest concentration of hazardous substance 

i from among comparable samples). 

SCi

=Screening concentration for cancer corresponding to that concentration that corresponds to its 

10−6individual cancer risk for applicable exposure (inhalation or oral) for hazardous substance i.

n=Number of applicable hazardous substances in sample (or comparable samples) that are carcinogens 

and for which an SCi

is available. 

For those hazardous substances for which an RfD is available, calculate an index J for the sample 

location as follows: 

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where: 

Cj

=Concentration of hazardous substance j in sample (or highest concentration of hazardous substance 

j from among comparable samples). 

CRj

=Screening concentration for noncancer toxicological responses corresponding to RfD for applicable 

exposure (inhalation or oral) for hazardous substance j. 

m=Number of applicable hazardous substances in sample (or comparable samples) for which a CRj

is 

available. 

If either I or J equals or exceeds 1, consider the sampling location to be subject to Level I concentrations 

for that pathway (or threat). If both I and J are less than 1, consider the sampling location to be subject 

to Level II concentrations for that pathway (or threat). If, for the sampling location, there are sets of 

samples that are not comparable, calculate I and J separately for each such set, and use the highest 

calculated values of I and J to assign Level I and Level II. 

See sections 7.3.1 and 7.3.2 for criteria for determining the level of contamination for radioactive 

substances. 

3.0 Ground Water Migration Pathway

Evaluate the ground water migration pathway based on three factor categories: likelihood of release, 

waste characteristics, and targets. Figure 3–1 indicates the factors included within each factor category. 

Determine the ground water migration pathway score (Sgw) in terms of the factor category values as 

follows: 

where: 

LR=Likelihood of release factor category value. 

WC=Waste characteristics factor category value. 

T=Targets factor category value. 

SF=Scaling factor. 

Table 3–1 outlines the specific calculation procedure. 

Calculate a separate ground water migration pathway score for each aquifer, using the factor category 

values for that aquifer for likelihood of release, waste characteristics, and targets. In doing so, include 

both the targets using water from that aquifer and the targets using water from all overlying aquifers 

through which the hazardous substances would migrate to reach the aquifer being evaluated. Assign the 

highest ground water migration pathway score that results for any aquifer as the ground water migration 

pathway score for the site. 

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Table 3–1—Ground Water Migration Pathway Scoresheet 

Factor categories and factors

Maximum 

value

Value 

assigned

Likelihood of Release to an Aquifer:

1. Observed Release 550 ___ 

2. Potential to Release:

2a. Containment 10 ___ 

2b. Net Precipitation 10 ___ 

2c. Depth to Aquifer 5 ___ 

2d. Travel Time 35 ___ 

2e. Potential to Release [lines 2a

(2b+2c+2d)]

500 ___ 

3. Likelihood of Release (higher of lines 1 and 

2e)

550 ___ 

Waste Characteristics:

4. Toxicity/Mobility (a) ___ 

5. Hazardous Waste Quantity (a) ___ 

6. Waste Characteristics 100 ___ 

Targets:

7. Nearest Well 50 ___ 

8. Population:

8a. Level I Concentrations (b) ___ 

8b. Level II Concentrations (b) ___ 

8c. Potential Contamination (b) ___ 

8d. Population (lines 8a+8b+8c) (b) ___ 

9. Resources 5 ___ 

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aMaximum value applies to waste characteristics category.

bMaximum value not applicable.

cDo not round to nearest integer.

3.0.1 General considerations 

3.0.1.1 Ground water target distance limit. The target distance limit defines the maximum distance from 

the sources at the site over which targets are evaluated. Use a target distance limit of 4 miles for the 

ground water migration pathway, except when aquifer discontinuities apply (see section 3.0.1.2.2). 

Furthermore, consider any well with an observed release from a source at the site (see section 3.1.1) to 

lie within the target distance limit of the site, regardless of the well's distance from the sources at the 

site. 

For sites that consist solely of a contaminated ground water plume with no identified source, begin 

measuring the 4-mile target distance limit at the center of the area of observed ground water 

contamination. Determine the area of observed ground water contamination based on available samples 

that meet the criteria for an observed release. 

3.0.1.2 Aquifer boundaries. Combine multiple aquifers into a single hydrologic unit for scoring purposes 

if aquifer interconnections can be established for these aquifers. In contrast, restrict aquifer boundaries if 

aquifer discontinuities can be established. 

3.0.1.2.1 Aquifer interconnections. Evaluate whether aquifer interconnections occur within 2 miles of 

the sources at the site. If they occur within this 2-mile distance, combine the aquifers having 

interconnections in scoring the site. In addition, if observed ground water contamination attributable to 

the sources at the site extends beyond 2 miles from the sources, use any locations within the limits of 

this observed ground water contamination in evaluating aquifer interconnections. If data are not 

adequate to establish aquifer interconnections, evaluate the aquifers as separate aquifers. 

3.0.1.2.2 Aquifer discontinuities. Evaluate whether aquifer discontinuities occur within the 4-mile target 

distance limit. An aquifer discontinuity occurs for scoring purposes only when a geologic, topographic, or 

other structure or feature entirely transects an aquifer within the 4-mile target distance limit, thereby 

creating a continuous boundary to ground water flow within this limit. If two or more aquifers can be 

combined into a single hydrologic unit for scoring purposes, an aquifer discontinuity occurs only when 

the structure or feature entirely transects the boundaries of this single hydrologic unit. 

When an aquifer discontinuity is established within the 4-mile target distance limit, exclude that portion of 

the aquifer beyond the discontinuity in evaluating the ground water migration pathway. However, if 

hazardous substances have migrated across an apparent discontinuity within the 4-mile target distance 

limit, do not consider this to be a discontinuity in scoring the site. 

3.0.1.3 Karst aquifer. Give a karst aquifer that underlies any portion of the sources at the site special 

consideration in the evaluation of two potential to release factors (depth to aquifer in section 3.1.2.3 and 

travel time in section 3.1.2.4), one waste characteristics factor (mobility in section 3.2.1.2), and two 

targets factors (nearest well in section 3.3.1 and potential contamination in section 3.3.2.4). 

3.1 Likelihood of release. For an aquifer, evaluate the likelihood of release factor category in terms of 

an observed release factor or a potential to release factor. 

3.1.1 Observed release. Establish an observed release to an aquifer by demonstrating that the site has 

released a hazardous substance to the aquifer. Base this demonstration on either: 

• Direct observation—a material that contains one or more hazardous substances has been deposited 

into or has been observed entering the aquifer. 

• Chemical analysis—an analysis of ground water samples from the aquifer indicates that the 

concentration of hazardous substance(s) has increased significantly above the background 

concentration for the site (see section 2.3). Some portion of the significant increase must be attributable 

to the site to establish the observed release, except: when the source itself consists of a ground water 

plume with no identified source, no separate attribution is required. 

If an observed release can be established for the aquifer, assign the aquifer an observed release factor 

10. Wellhead Protection Area 20 ___ 

11. Targets (lines 7+8d+9+10) (b) ___ 

Ground Water Migration Score for an Aquifer:

12. Aquifer Score [(lines 3x6x11)/82,500]c 100 ___ 

Ground Water Migration Pathway Score:

13. Pathway Score (Sgw), (highest value from 

line 12 for all aquifers evaluated)c

100 ___ 

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value of 550, enter this value in table 3–1, and proceed to section 3.1.3. If an observed release cannot 

be established for the aquifer, assign an observed release factor value of 0, enter this value in table 3–1, 

and proceed to section 3.1.2. 

3.1.2 Potential to release. Evaluate potential to release only if an observed release cannot be 

established for the aquifer. Evaluate potential to release based on four factors: containment, net 

precipitation, depth to aquifer, and travel time. For sources overlying karst terrain, give any karst aquifer 

that underlies any portion of the sources at the site special consideration in evaluating depth to aquifer 

and travel time, as specified in sections 3.1.2.3 and 3.1.2.4. 

3.1.2.1 Containment. Assign a containment factor value from table 3–2 to each source at the site. 

Select the highest containment factor value assigned to those sources with a source hazardous waste 

quantity value of 0.5 or more (see section 2.4.2.1.5). (Do not include this minimum size requirement in 

evaluating any other factor of this pathway.) Assign this highest value as the containment factor value for 

the aquifer being evaluated. Enter this value in Table 3–1. 

If no source at the site meets the minimum size requirement, then select the highest value assigned to 

the sources at the site and assign it as the containment factor value for the aquifer being evaluated. 

Enter this value in table 3–1. 

3.1.2.2 Net precipitation. Assign a net precipitation factor value to the site. Figure 3–2 provides 

computed net precipitation factor values, based on site location. Where necessary, determine the net 

precipitation factor value as follows: 

• Determine monthly precipitation and monthly evapotranspiration: 

–Use local measured monthly averages.–When local data are not available, use monthly averages from 

the nearest National Oceanographic and Atmospheric Administration weather station that is in a 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 

associated containment structures)

10

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 

run-on control system and runoff management 

system, or (3) functioning leachate collection and 

removal system immediately above liner

10

(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 noncontainerized liquids nor materials containing free 

liquids deposited in source area

3

No evidence of hazardous substance migration from 

source area, double liner with functioning leachate 

collection 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 

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

3

(g) None of the deficiencies in (f) present 0

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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

0

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 

maintained

10

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 

water monitoring system

5

(c) Double liner with functioning leachate collection 

and removal system between liners, and functioning 

ground water monitoring system

3

No evidence of hazardous substance migration from 

surface impoundment and all free liquids eliminated at 

closure (either by removal of liquids or solidification of 

remaining wastes and waste residues)

Evaluate usingAll 

sourcescriteria 

(with no bulk or 

free liquid 

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 

established over entire land treatment area

5

(c) Land treatment area maintained in compliance 

with 40 CFR 264.280

0

Containers

All containers buried Evaluate usingAll 

sourcescriteria.

Evidence of hazardous substance migration from 

container area ( i.e. , container area includes containers 

and any associated containment structures)

10

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 9

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container area

(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 

capacity 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 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

5

(d) Free liquids present, containment system has 

sufficient capacity to hold total volume of all 

containers 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

5

(e) Same as (d) except: double liner under container 

area with functioning leachate collection and removal 

system between liners

3

Containers inside or under maintained intact structure 

that provides protection from precipitation so that 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-off control present

0

No evidence of hazardous substance migration from 

container area, containers leaking, and all free liquids 

eliminated at closure (either by removal of liquid or 

solidification of remaining wastes and waste residues)

Evaluate usingAll 

sourcescriteria 

(with no bulk or 

free liquid 

deposited).

Tank

Below-ground tank Evaluate usingAll 

sourcescriteria.

Evidence of hazardous substance migration from tank 

area ( i.e. , tank area includes tank, ancillary equipment 

such as piping, and any associated containment 

structures)

10

Tank and ancillary equipment not provided with 

secondary containment (e.g., liner under tank area, vault 

system, double wall)

10

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, 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 

collection system

7

(c) Tank and ancillary equipment provided with 5

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secondary containment system that detects and 

collects 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 

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

5

(e) Same as (d) except: double liner under tank 

containment area with functioning leachate collection 

and removal system between liners

3

Tank is above ground, and inside or under maintained 

intact structure that provides protection from precipitation 

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 control present

0

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–When measured monthly evapotranspiration is not available, calculate monthly potential 

evapotranspiration (Ei

) as follows: 

 Ei

= 0.6 Fi(10 Ti/I)a

 where: 

 Ei

=Monthly potential evapotranspiration (inches) for month i.

 Fi=Monthly latitude adjusting value for month i.

 Ti

=Mean monthly temperature ( °C) for month i.

 a=6.75×10−7I

3 −7.71×10−5I2 +

 1.79×10−2I+0.49239

Select the latitude adjusting value for each month from table 3–3. For latitudes lower than 50° North or 

20° South, determine the monthly latitude adjusting value by interpolation. 

• Calculate monthly net precipitation by subtracting monthly evapotranspiration (or monthly potential 

evapotranspiration) from monthly precipitation. If evapotranspiration (or potential evapotranspiration) 

exceeds precipitation for a month, assign that month a net precipitation value of 0. 

• Calculate the annual net precipitation by summing the monthly net precipitation values. 

• Based on the annual net precipitation, assign a net precipitation factor value from table 3–4. 

Enter the value assigned from Figure 3–2 or from table 3–4, as appropriate, in table 3–1. 

Table 3–3—Monthly Latitude Adjusting Valuesa

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aDo not round to nearest integer.

bFor unlisted latitudes lower than 50° North or 20° South, determine the latitude adjusting value by 

interpolation. 

Table 3–4—Net Precipitation Factor Values 

3.1.2.3 Depth to aquifer. Evaluate depth to aquifer by determining the depth from the lowest known 

point of hazardous substances at a site to the top of the aquifer being evaluated, considering all layers in 

that interval. Measure the depth to an aquifer as the distance from the surface to the top of the aquifer 

minus the distance from the surface to the lowest known point of hazardous substances eligible to be 

evaluated for that aquifer. In evaluating depth to aquifer in karst terrain, assign a thickness of 0 feet to a 

karst aquifer that underlies any portion of the sources at the site. Based on the calculated depth, assign 

a value from table 3–5 to the depth to aquifer factor. 

Determine the depth to aquifer only at locations within 2 miles of the sources at the site, except: if 

observed ground water contamination attributable to sources at the site extends more than 2 miles 

beyond these sources, use any location within the limits of this observed ground water contamination 

when evaluating the depth to aquifer factor for any aquifer that does not have an observed release. If the 

necessary geologic information is available at multiple locations, calculate the depth to aquifer at each 

location. Use the location having the smallest depth to assign the factor value. Enter this value in table 

3–1. 

Table 3–5—Depth to Aquifer Factor Values 

aUse depth of all layers between the hazardous substances and aquifer. Assign a thickness of 0 feet to 

any karst aquifer that underlies any portion of the sources at the site. 

3.1.2.4 Travel time. Evaluate the travel time factor based on the geologic materials in the interval 

between the lowest known point of hazardous substances at the site and the top of the aquifer being 

evaluated. Assign a value to the travel time factor as follows: 

• If the depth to aquifer (see section 3.1.2.3) is 10 feet or less, assign a value of 35. 

• 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. 

Latitudeb

(degrees)

Month

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

Net precipitation (inches) Assigned value

0 0

Greater than 0 to 5 1

Greater than 5 to 15 3

Greater than 15 to 30 6

Greater than 30 10

Depth to aquifera(feet) Assigned value

Less than or equal to 25 5

Greater than 25 to 250 3

Greater than 250 1

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• Otherwise: 

–Select the lowest hydraulic conductivity layer(s) from within the above interval. Consider only layers at 

least 3 feet thick. However, do not consider layers or portions of layers within the first 10 feet of the 

depth to the aquifer.–Determine hydraulic conductivities for individual layers from table 3–6 or from insitu or laboratory tests. Use representative, measured, hydraulic conductivity values whenever 

available.–If more than one layer has the same lowest hydraulic conductivity, include all such layers and 

sum their thicknesses. Assign a thickness of 0 feet to a karst layer that underlies any portion of the 

sources at the site.–Assign a value from table 3–7 to the travel time factor, based on the thickness and 

hydraulic conductivity of the lowest hydraulic conductivity layer(s). 

Table 3–6—Hydraulic Conductivity of Geologic Materials 

aDo not round to nearest integer.

Table 3–7—Travel Time Factor Valuesa

aIf 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. 

bConsider 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 within 2 miles of the sources at the site, except: if observed 

ground water contamination attributable to sources at the site extends more than 2 miles beyond these 

sources, use any location within the limits of this observed ground water contamination when evaluating 

the travel time factor for any aquifer that does not have an observed release. If the necessary 

subsurface geologic information is available at multiple locations, evaluate the travel time factor at each 

Type of material

Assigned 

hydraulic 

conductivitya

(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, 

unconsolidated 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, 

unconsolidated 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

Hydraulic 

conductivity 

(cm/sec)

Thickness of lowest hydraulic conductivity layer(s)

b(feet)

Greater 

than 3 to 5

Greater than 

5 to 100

Greater than 

100 to 500

Greater 

than 500

Greater than or equal 

to 10−3

35 35 35 25

Less than 10−3to 

10−5

35 25 15 15

Less than 10−5to 

10−7

15 15 5 5

Less than 10−7 5 5 11

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location. Use the location having the highest travel time factor value to assign the factor value for the 

aquifer. Enter this value in table 3–1. 

3.1.2.5 Calculation of potential to release factor value. Sum the factor values for net precipitation, depth 

to aquifer, and travel time, and multiply this sum by the factor value for containment. Assign this product 

as the potential to release factor value for the aquifer. Enter this value in table 3–1. 

3.1.3 Calculation of likelihood of release factor category value. If an observed release is established for 

an aquifer, assign the observed release factor value of 550 as the likelihood of release factor category 

value for that aquifer. Otherwise, assign the potential to release factor value for that aquifer as the 

likelihood of release value. Enter the value assigned in table 3–1. 

3.2 Waste characteristics. Evaluate the waste characteristics factor category for an aquifer based on 

two factors: toxicity/mobility and hazardous waste quantity. Evaluate only those hazardous substances 

available to migrate from the sources at the site to ground water. Such hazardous substances include: 

• Hazardous substances that meet the criteria for an observed release to ground water. 

• All hazardous substances associated with a source that has a ground water containment factor value 

greater than 0 (see sections 2.2.2, 2.2.3, and 3.1.2.1). 

3.2.1 Toxicity/mobility. For each hazardous substance, assign a toxicity factor value, a mobility factor 

value, and a combined toxicity/mobility factor value as specified in the following sections. Select the 

toxicity/mobility factor value for the aquifer being evaluated as specified in section 3.2.1.3. 

3.2.1.1 Toxicity. Assign a toxicity factor value to each hazardous substance as specified in Section 

2.4.1.1. 

3.2.1.2 Mobility. Assign a mobility factor value to each hazardous substance for the aquifer being 

evaluated as follows: 

• For any hazardous substance that meets the criteria for an observed release by chemical analysis to 

one or more aquifers underlying the sources at the site, regardless of the aquifer being evaluated, 

assign a mobility factor value of 1. 

• For any hazardous substance that does not meet the criteria for an observed release by chemical 

analysis to at least one of the aquifers, assign that hazardous substance a mobility factor value from 

table 3–8 for the aquifer being evaluated, based on its water solubility and distribution coefficient (Kd). 

• If the hazardous substance cannot be assigned a mobility factor value because data on its water 

solubility or distribution coefficient are not available, use other hazardous substances for which 

information is available in evaluating the pathway. 

Table 3–8—Ground Water Mobility Factor Valuesa

aDo not round to nearest integer.

bUse if the hazardous substance is present or deposited as a liquid.

cUse if the entire interval from the source to the aquifer being evaluated is karst.

• If none of the hazardous substances eligible to be evaluated can be assigned a mobility factor value, 

use a default value of 0.002 as the mobility factor value for all these hazardous substances. 

Determine the water solubility to be used in table 3–8 for the hazardous substance as follows (use this 

same water solubility for all aquifers): 

• For any hazardous substance that does not meet the criteria for an observed release by chemical 

analysis, if the hazardous substance is present or deposited as a liquid, use the water solubility category 

“Present as Liquid” in table 3–8 to assign the mobility factor value to that hazardous substance. 

Water solubility (mg/l)

Distribution coefficient (Kd) (ml/g)

Karstc ≤10 >10 to 1,000 >1,000

Present as liquidb 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

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• Otherwise: 

–For any hazardous substance that is a metal (or metalloid) and that does not meet the criteria for an 

observed release by chemical analysis, establish a water solubility for the hazardous substance as 

follows: 

 –Determine the overall range of water solubilities for compounds of this hazardous substance (consider 

all compounds for which adequate water solubility information is available, not just compounds identified 

as present at the site). 

 –Calculate the geometric mean of the highest and the lowest water solubility in this range. 

 –Use this geometric mean as the water solubility in assigning the hazardous substance a mobility 

factor value from table 3–8. 

–For any other hazardous substance (either organic or inorganic) that does not meet the criteria for an 

observed release by chemical analysis, use the water solubility of that hazardous substance to assign a 

mobility factor value from table 3–8 to the hazardous substance. 

For the aquifer being evaluated, determine the distribution coefficient to be used in table 3–8 for the 

hazardous substance as follows: 

• For any hazardous substance that does not meet the criteria for an observed release by chemical 

analysis, if the entire interval from a source at the site to the aquifer being evaluated is karst, use the 

distribution coefficient category “Karst” in table 3–8 in assigning the mobility factor value for that 

hazardous substance for that aquifer. 

• Otherwise: 

–For any hazardous substance that is a metal (or metalloid) and that does not meet the criteria for an 

observed release by chemical analysis, use the distribution coefficient for the metal or (metalloid) to 

assign a mobility factor value from table 3–8 for that hazardous substance.–For any other inorganic 

hazardous substance that does not meet the criteria for an observed release by chemical analysis, use 

the distribution coefficient for that inorganic hazardous substance, if available, to assign a mobility factor 

value from table 3–8. If the distribution coefficient is not available, use a default value of “less than 10” 

as the distribution coefficient, except: for asbestos use a default value of “greater than 1,000” as the 

distribution coefficient.–For any hazardous substance that is organic and that does not meet the criteria 

for an observed release by chemical analysis, establish a distribution coefficient for that hazardous 

substance as follows: 

 –Estimate the Kdrange for the hazardous substance using the following equation:

Kd=(Koc)(fs)

where: 

Koc=Soil-water partition coefficient for organic carbon for the hazardous substance.

f

s=Sorbent content (fraction of clays plus organic carbon) in the subsurface.

 –Use fsvalues of 0.03 and 0.77 in the above equation to establish the upper and lower values of the 

Kdrange for the hazardous substance. 

 –Calculate the geometric mean of the upper and lower Kdrange values. Use this geometric mean as 

the distribution coefficient in assigning the hazardous substance a mobility factor value from table 3–8. 

3.2.1.3 Calculation of toxicity/mobility factor value. Assign each hazardous substance a toxicity/mobility 

factor value from table 3–9, based on the values assigned to the hazardous substance for the toxicity 

and mobility factors. Use the hazardous substance with the highest toxicity/mobility factor value for the 

aquifer being evaluated to assign the value to the toxicity/mobility factor for that aquifer. Enter this value 

in table 3–1. 

Table 3–9—Toxicity/Mobility Factor Valuesa

Mobility factor value

Toxicity 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

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aDo not round to nearest integer.

3.2.2 Hazardous waste quantity. Assign a hazardous waste quantity factor value for the ground water 

pathway (or aquifer) as specified in section 2.4.2. Enter this value in table 3–1. 

3.2.3 Calculation of waste characteristics factor category value. Multiply the toxicity/mobility and 

hazardous waste quantity factor values, subject to a maximum product of 1×108 . Based on this product, 

assign a value from table 2–7 (section 2.4.3.1) to the waste characteristics factor category. Enter this 

value in table 3–1. 

3.3 Targets. Evaluate the targets factor category for an aquifer based on four factors: nearest well, 

population, resources, and Wellhead Protection Area. Evaluate these four factors based on targets 

within the target distance limit specified in section 3.0.1.1 and the aquifer boundaries specified in section 

3.0.1.2. Determine the targets to be included in evaluating these factors for an aquifer as specified in 

section 3.0. 

3.3.1 Nearest well. In evaluating the nearest well factor, include both the drinking water wells drawing 

from the aquifer being evaluated and those drawing from overlying aquifers as specified in section 3.0. 

Include standby wells in evaluating this factor only if they are used for drinking water supply at least 

once every year. 

If there is an observed release by direct observation for a drinking water well within the target distance 

limit, assign Level II concentrations to that well. However, if one or more samples meet the criteria for an 

observed release for that well, determine if that well is subject to Level I or Level II concentrations as 

specified in sections 2.5.1 and 2.5.2. Use the health-based benchmarks from table 3–10 in determining 

the level of contamination. 

Assign a value for the nearest well factor as follows: 

• If one or more drinking water wells is subject to Level I concentrations, assign a value of 50. 

• If not, but if one or more drinking water wells is subject to Level II concentrations, assign a value of 45. 

• If none of the drinking water wells is subject to Level I or Level II concentrations, assign a value as 

follows: 

–If one of the target aquifers is a karst aquifer that underlies any portion of the sources at the site and 

any well draws drinking water from this karst aquifer within the target distance limit, assign a value of 

20.–If not, determine the shortest distance to any drinking water well, as measured from any source at 

the site with a ground water containment factor value greater than 0. Select a value from table 3–11 

based on this distance. Assign it as the value for the nearest well factor. 

Enter the value assigned to the nearest well factor in table 3–1. 

Table 3–10—Health-Based Benchmarks for Hazardous Substances in Drinking Water 

Table 3–11—Nearest Well Factor Values 

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

• Concentration corresponding to Maximum Contaminant Level (MCL).

• Concentration corresponding to a nonzero Maximum Contaminant Level 

Goal (MCLG).

• Screening concentration for cancer corresponding to that concentration that 

corresponds to the 10−6individual cancer risk for oral exposures.

• Screening concentration for noncancer toxicological responses 

corresponding to the Reference Dose (RfD) for oral exposures.

Distance from source (miles) Assigned value

Level I concentrationsa 50

Level II concentrationsa 45

0 to 1/4 20

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a Distance does not apply.

3.3.2 Population. In evaluating the population factor, include those persons served by drinking water 

wells within the target distance limit specified in section 3.0.1.1. For the aquifer being evaluated, count 

those persons served by wells in that aquifer and those persons served by wells in overlying aquifers as 

specified in section 3.0. Include residents, students, and workers who regularly use the water. Exclude 

transient populations such as customers and travelers passing through the area. Evaluate the 

population based on the location of the water supply wells, not on the location of residences, work 

places, etc. When a standby well is maintained on a regular basis so that water can be withdrawn, 

include it in evaluating the population factor. 

In estimating residential population, when the estimate is based on the number of residences, multiply 

each residence by the average number of persons per residence for the county in which the residence is 

located. 

In determining the population served by a well, if the water from the well is blended with other water (for 

example, water from other ground water wells or surface water intakes), apportion the total population 

regularly served by the blended system to the well based on the well's relative contribution to the total 

blended system. In estimating the well's relative contribution, assume each well and intake contributes 

equally and apportion the population accordingly, except: if the relative contribution of any one well or 

intake exceeds 40 percent based on average annual pumpage or capacity, estimate the relative 

contribution of the wells and intakes considering the following data, if available: 

• Average annual pumpage from the ground water wells and surface water intakes in the blended 

system. 

• Capacities of the wells and intakes in the blended system. 

For systems with standby ground water wells or standby surface water intakes, apportion the total 

population regularly served by the blended system as described above, except: 

• Exclude standby surface water intakes in apportioning the population. 

• When using pumpage data for a standby ground water well, use average pumpage for the period 

during which the standby well is used rather than average annual pumpage. 

• For that portion of the total population that could be apportioned to a standby ground water well, assign 

that portion of the population either to that standby well or to the other ground water well(s) and surface 

water intake(s) that serve that population; do not assign that portion of the population both to the 

standby well and to the other well(s) and intake(s) in the blended system. Use the apportioning that 

results in the highest population factor value. (Either include all standby well(s) or exclude some or all of 

the standby well(s) as appropriate to obtain this highest value.) Note that the specific standby well(s) 

included or excluded and, thus, the specific apportioning may vary in evaluating different aquifers and in 

evaluating the surface water pathway. 

3.3.2.1 Level of contamination. Evaluate the population served by water from a point of withdrawal 

based on the level of contamination for that point of withdrawal. Use the applicable factor: Level I 

concentrations, Level II concentrations, or potential contamination. 

If no samples meet the criteria for an observed release for a point of withdrawal and there is no 

observed release by direct observation for that point of withdrawal, evaluate that point of withdrawal 

using the potential contamination factor in section 3.3.2.4. If there is an observed release by direct 

observation, use Level II concentrations for that point of withdrawal. However, if one or more samples 

meet the criteria for an observed release for the point of withdrawal, determine which factor (Level I or 

Level II concentrations) applies to that point of withdrawal as specified in sections 2.5.1 and 2.5.2. Use 

the health-based benchmarks from table 3–10 in determining the level of contamination. Evaluate the 

point of withdrawal using the Level I concentrations factor in section 3.3.2.2 or the Level II 

concentrations factor in section 3.3.2.3, as appropriate. 

For the potential contamination factor, use population ranges in evaluating the factor as specified in 

section 3.3.2.4. For the Level I and Level II concentrations factors, use the population estimate, not 

population ranges, in evaluating both factors. 

3.3.2.2 Level I concentrations. Sum the number of people served by drinking water from points of 

withdrawal subject to Level I concentrations. Multiply this sum by 10. Assign this product as the value for 

this factor. Enter this value in table 3–1. 

Greater than 1/4 to 1/2 18

Greater than 1/2 to 1 9

Greater than 1 to 2 5

Greater than 2 to 3 3

Greater than 3 to 4 2

Greater than 4 0

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3.3.2.3 Level II concentrations. Sum the number of people served by drinking water from points of 

withdrawal subject to Level II concentrations. Do not include those people already counted under the 

Level I concentrations factor. Assign this sum as the value for this factor. Enter this value in table 3–1. 

3.3.2.4 Potential contamination. Determine the number of people served by drinking water from points 

of withdrawal subject to potential contamination. Do not include those people already counted under the 

Level I and Level II concentrations factors. 

Assign distance-weighted population values from table 3–12 to this population as follows: 

• Use the “Karst” portion of table 3–12 to assign values only for that portion of the population served by 

points of withdrawal that draw drinking water from a karst aquifer that underlies any portion of the 

sources at the site. 

–For this portion of the population, determine the number of people included within each “Karst” distance 

category in table 3–12. 

Table 3–12—Distance-Weighted Population Values for Potential Contamination Factor for 

Ground Water Migration Pathwaya

aRound the number of people present within a distance category to nearest integer. Do not round the 

Distance 

category 

(miles)

Number of people within the distance category

0

1 

to 

10

11 

to 

30

31 

to 

100

101 

to 

300

301 

to 

1,000

1,001 

to 

3,000

3,001 

to 

10,000

10,001 

to 

30,000

30,001 

to 

100,000

100,001 

to 

300,000

300,001 

to 

1,000,000

1,000,001 

to 

3,000,000

Other 

Than 

Karstb:

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

Karstc:

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

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assigned distance-weighted population value to nearest integer. 

bUse for all aquifers, except karst aquifers underlying any portion of the sources at the site.

cUse only for karst aquifers underlying any portion of the sources at the site.

–Assign a distance-weighted population value for each distance category based on the number of 

people included within the distance category. 

• Use the “Other Than Karst” portion of table 3–12 for the remainder of the population served by points 

of withdrawal subject to potential contamination. 

–For this portion of the population, determine the number of people included within each “Other Than 

Karst” distance category in table 3–12.–Assign a distance-weighted population value for each distance 

category based on the number of people included within the distance category. 

Calculate the value for the potential contamination factor (PC) as follows: 

where: 

Wi

=Distance-weighted population from “Other Than Karst” portion of table 3–12 for distance category i.

Ki

=Distance-weighted population from “Karst” portion of table 3–12 for distance category i.

n=Number of distance categories. 

If PC is less than 1, do not round it to the nearest integer; if PC is 1 or more, round to the nearest 

integer. Enter this value in table 3–1. 

3.3.2.5 Calculation of population factor value. Sum the factor values for Level I concentrations, Level II 

concentrations, and potential contamination. Do not round this sum to the nearest integer. Assign this 

sum as the population factor value for the aquifer. Enter this value in table 3–1. 

3.3.3 Resources. To evaluate the resources factor, select the highest value specified below that applies 

for the aquifer being evaluated. Assign this value as the resources factor value for the aquifer. Enter this 

value in table 3–1. 

Assign a resources value of 5 if water drawn from any target well for the aquifer being evaluated or 

overlying aquifers (as specified in section 3.0) is used for one or more of the following purposes: 

• Irrigation (5-acre minimum) of commercial food crops or commercial forage crops. 

• Watering of commercial livestock. 

• Ingredient in commercial food preparation. 

• Supply for commercial aquaculture. 

• Supply for a major or designated water recreation area, excluding drinking water use. 

Assign a resources value of 5 if no drinking water wells are within the target distance limit, but the water 

in the aquifer being evaluated or any overlying aquifers (as specified in section 3.0) is usable for drinking 

water purposes. 

Assign a resources value of 0 if none of the above applies. 

3.3.4 Wellhead Protection Area. Evaluate the Wellhead Protection Area factor based on Wellhead 

Protection Areas designated according to section 1428 of the Safe Drinking Water Act, as amended. 

Consider only those Wellhead Protection Areas applicable to the aquifer being evaluated or overlying 

aquifers (as specified in section 3.0). Select the highest value below that applies. Assign it as the value 

for the Wellhead Protection Area factor for the aquifer being evaluated. Enter this value in table 3–1. 

Assign a value of 20 if either of the following criteria applies for the aquifer being evaluated or overlying 

aquifers: 

• A source with a ground water containment factor value greater than 0 lies, either partially or fully, within 

or above the designated Wellhead Protection Area. 

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• Observed ground water contamination attributable to the sources at the site lies, either partially or fully, 

within the designated Wellhead Protection Area. 

If neither criterion applies, assign a value of 5, if, within the target distance limit, there is a designated 

Wellhead Protection Area applicable to the aquifer being evaluated or overlying aquifers. 

Assign a value of 0 if none of the above applies. 

3.3.5 Calculation of targets factor category value. Sum the factor values for nearest well, population, 

resources, and Wellhead Protection Area. Do not round this sum to the nearest integer. Use this sum as 

the targets factor category value for the aquifer. Enter this value in table 3–1. 

3.4 Ground water migration score for an aquifer. For the aquifer being evaluated, multiply the factor 

category values for likelihood of release, waste characteristics, and targets, and round the product to the 

nearest integer. Then divide by 82,500. Assign the resulting value, subject to a maximum value of 100, 

as the ground water migration pathway score for the aquifer. Enter this score in table 3–1. 

3.5 Calculation of ground water migration pathway score. Calculate a ground water migration score for 

each aquifer underlying the sources at the site, as appropriate. Assign the highest ground water 

migration score for an aquifer as the ground water migration pathway score (Sgw) for the site. Enter this 

score in table 3–1. 

4.0 Surface Water Migration Pathway

4.0.1 Migration components. Evaluate the surface water migration pathway based on two migration 

components: 

• Overland/flood migration to surface water (see section 4.1). 

• Ground water to surface water migration (see section 4.2). 

Evaluate each component based on the same three threats: drinking water threat, human food chain 

threat, and environmental threat. 

Score one or both components, considering their relative importance. If only one component is scored, 

assign its score as the surface water migration pathway score. If both components are scored, select the 

higher of the two scores and assign it as the surface water migration pathway score. 

4.0.2 Surface water categories. For HRS purposes, classify surface water into four categories: rivers, 

lakes, oceans, and coastal tidal waters. 

Rivers include: 

• Perennially flowing waters from point of origin to the ocean or to coastal tidal waters, whichever comes 

first, and wetlands contiguous to these flowing waters. 

• Aboveground portions of disappearing rivers. 

• Man-made ditches only insofar as they perennially flow into other surface water. 

• Intermittently flowing waters and contiguous intermittently flowing ditches only in arid or semiarid areas 

with less than 20 inches of mean annual precipitation. 

Lakes include: 

• Natural and man-made lakes (including impoundments) that lie along rivers, but excluding the Great 

Lakes. 

• Isolated, but perennial, lakes, ponds, and wetlands. 

• Static water channels or oxbow lakes contiguous to rivers. 

• Small rivers, without diking, that merge into surrounding perennially inundated wetlands. 

• Wetlands contiguous to water bodies defined here as lakes. 

Ocean and ocean-like water bodies include: 

• Ocean areas seaward from the baseline of the Territorial Sea. (This baseline represents the 

generalized coastline of the United States. It is parallel to the seaward limit of the Territorial Sea and 

other maritime limits such as the inner boundary of Federal fisheries jurisdiction and the limit of States 

jurisdiction under the Submerged Lands Act, as amended.) 

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• The Great Lakes. 

• Wetlands contiguous to the Great Lakes. 

Coastal tidal waters include: 

• Embayments, harbors, sounds, estuaries, back bays, lagoons, wetlands, etc. seaward from mouths of 

rivers and landward from the baseline of the Territorial Sea. 

4.1 Overland/flood migration component. Use the overland/flood migration component to evaluate 

surface water threats that result from overland migration of hazardous substances from a source at the 

site to surface water. Evaluate three types of threats for this component: drinking water threat, human 

food chain threat, and environmental threat. 

4.1.1 General considerations. 

4.1.1.1 Definition of hazardous substance migration path for overland/flood migration component. The 

hazardous substance migration path includes both the overland segment and the in-water segment that 

hazardous substances would take as they migrate away from sources at the site: 

• Begin the overland segment at a source and proceed downgradient to the probable point of entry to 

surface water. 

• Begin the in-water segment at this probable point of entry. 

–For rivers, continue the in-water segment in the direction of flow (including any tidal flows) for the 

distance established by the target distance limit (see section 4.1.1.2).–For lakes, oceans, coastal tidal 

waters, or Great Lakes, do not consider flow direction. Instead apply the target distance limit as an arc.–

If the in-water segment includes both rivers and lakes (or oceans, coastal tidal waters, or Great Lakes), 

apply the target distance limit to their combined in-water segments. 

For sites that consist of contaminated sediments with no identified source, the hazardous substance 

migration path consists solely of the in-water segment specified in section 4.1.1.2. 

Consider a site to be in two or more watersheds for this component if two or more hazardous substance 

migration paths from the sources at the site do not reach a common point within the target distance limit. 

If the site is in more than one watershed, define a separate hazardous substance migration path for 

each watershed. Evaluate the overland/flood migration component for each watershed separately as 

specified in section 4.1.1.3. 

4.1.1.2 Target distance limit. The target distance limit defines the maximum distance over which targets 

are considered in evaluating the site. Determine a separate target distance limit for each watershed as 

follows: 

• If there is no observed release to surface water in the watershed or if there is an observed release only 

by direct observation (see section 4.1.2.1.1), begin measuring the target distance limit for the watershed 

at the probable point of entry to surface water and extend it for 15 miles along the surface water from 

that point. 

• If there is an observed release from the site to the surface water in the watershed that is based on 

sampling, begin measuring the target distance limit for the watershed at the probable point of entry; 

extend the target distance limit either for 15 miles along the surface water or to the most distant sample 

point that meets the criteria for an observed release to that watershed, whichever is greater. 

In evaluating the site, include only surface water targets (for example, intakes, fisheries, sensitive 

environments) that are within or contiguous to the hazardous substance migration path and located, 

partially or wholly, at or between the probable point of entry and the target distance limit applicable to the 

watershed: 

• If flow within the hazardous substance migration path is reversed by tides, evaluate upstream targets 

only if there is documentation that the tidal run could carry substances from the site as far as those 

upstream targets. 

• Determine whether targets within or contiguous to the hazardous substance migration path are subject 

to actual or potential contamination as follows: 

–If a target is located, partially or wholly, either at or between the probable point of entry and any 

sampling point that meets the criteria for an observed release to the watershed or at a point that meets 

the criteria for an observed release by direct observation, evaluate that target as subject to actual 

contamination, except as otherwise specified for fisheries in section 4.1.3.3 and for wetlands in section 

4.1.4.3.1.1. If the actual contamination is based on direct observation, assign Level II to the actual 

contamination. However, if the actual contamination is based on samples, determine whether the actual 

contamination is at Level I or Level II concentrations as specified in sections 4.1.2.3, 4.1.3.3, and 

4.1.4.3.1.–If a target is located, partially or wholly, within the target distance limit for the watershed, but 

not at or between the probable point of entry and any sampling point that meets the criteria for an 

observed release to the watershed, nor at a point that meets the criteria for an observed release by 

direct observation, evaluate it as subject to potential contamination. 

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For sites consisting solely of contaminated sediments with no identified source, determine the target 

distance limit as follows: 

• If there is a clearly defined direction of flow for the surface water body (or bodies) containing the 

contaminated sediments, begin measuring the target distance limit at the point of observed sediment 

contamination that is farthest upstream (that is, at the location of the farthest available upstream 

sediment sample that meets the criteria for an observed release); extend the target distance limit either 

for 15 miles along the surface water or to the most distant downstream sample point that meets the 

criteria for an observed release to that watershed, whichever is greater. 

• If there is no clearly defined direction of flow, begin measuring the target distance limit at the center of 

the area of observed sediment contamination. Extend the target distance limit as an arc either for 15 

miles along the surface water or to the most distant sample point that meets the criteria for an observed 

release to that watershed, whichever is greater. Determine the area of observed sediment contamination 

based on available samples that meet the criteria for an observed release. 

Note that the hazardous substance migration path for these contaminated sediment sites consists solely 

of the in-water segment defined by the target distance limit; there is no overland segment. 

For these contaminated sediment sites, include only those targets (for example, intakes, fisheries, 

sensitive environments) that are within or contiguous to the hazardous substance migration path and 

located, wholly or partially, within the target distance limit for the site. Determine whether these targets 

are subject to actual or potential contamination as follows: 

• If a target is located, partially or wholly, within the area of observed sediment contamination, evaluate it 

as subject to actual contamination, except as otherwise specified for fisheries in section 4.1.3.3 and 

wetlands in section 4.1.4.3.1.1. 

–If a drinking water target is subject to actual contamination, evaluate it using Level II concentrations.–If 

a human food chain target or environmental target is subject to actual contamination, evaluate it using 

Level I or Level II concentrations, as appropriate (see sections 4.1.3.3 and 4.1.4.3.1). 

• If a target is located, partially or wholly, within the target distance limit for the watershed, but not within 

the area of observed sediment contamination, evaluate it as subject to potential contamination. 

4.1.1.3 Evaluation of overland/flood migration component. Evaluate the drinking water threat, human 

food chain threat, and environmental threat for each watershed for this component based on three factor 

categories: likelihood of release, waste characteristics, and targets. Figure 4–1 indicates the factors 

included within each factor category for each type of threat. 

Determine the overland/flood migration component score (Sof) for a watershed in terms of the factor 

category values as follows: 

where: 

LRi

=Likelihood of release factor category value for threat i (that is, drinking water, human food chain, or 

environmental threat). 

WCi

=Waste characteristics factor category value for threat i.

Ti

=Targets factor category value for threat i.

SF=Scaling factor. 

Table 4–1 outlines the specific calculation procedure. 

If the site is in only one watershed, assign the overland/flood migration score for that watershed as the 

overland/flood migration component score for the site. 

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View or download PDF 

Table 4–1—Surface Water Overland/Flood Migration Component Scoresheet 

Factor categories and factors

Maximum 

value

Value 

assigned

Drinking Water Threat

Likelihood of Release:

1. Observed Release 550 ___ 

2. Potential to Release by Overland Flow:

2a. Containment 10 ___ 

2b. Runoff 25 ___ 

2c. Distance to Surface Water 25 ___ 

2d. Potential to Release by 

Overland Flow (lines 2a[2b+2c])

500 ___ 

3. Potential to Release by Flood:

3a. Containment (Flood) 10 ___ 

3b. Flood Frequency 50 ___ 

3c. Potential to Release by Flood 

(lines 3a×3b)

500 ___ 

4. Potential to Release (lines 2d+3c, subject 

to a maximum of 500)

500 ___ 

5. Likelihood of Release (higher of lines 1 

and 4)

550 ___ 

Waste Characteristics:

6. Toxicity/Persistence (a) ___ 

7. Hazardous Waste Quantity (a) ___ 

8. Waste Characteristics 100 ___ 

Targets:

9. Nearest Intake 50 ___ 

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10. Population 

10a. Level I Concentrations (b) ___ 

10b. Level II Concentrations (b) ___ 

10c. Potential Contamination (b) ___ 

10d. Population (lines 

10a+10b+10c)

(b) ___ 

11. Resources 5 ___ 

12. Targets (lines 9+10d+11) (b) ___ 

Drinking Water Threat Score:

13. Drinking Water Threat Score ([lines 

5×8×12]/82,500, subject to a maximum of 

100)

100 ___ 

Human Food Chain Threat

Likelihood of Release:

14. Likelihood of Release (same value as line 

5)

550 ___ 

Waste Characteristics:

15. Toxicity/Persistence/Bioaccumulation (a) ___ 

16. Hazardous Waste Quantity (a) ___ 

17. Waste Characteristics 1,000 ___ 

Targets:

18. Food Chain Individual 50 ___ 

19. Population 

19a. Level I Concentrations (b) ___ 

19b. Level II Concentrations (b) ___ 

19c. Potential Human Food Chain 

Contamination

(b) ___ 

19d. Population (lines 

19a+19b+19c)

(b) ___ 

20. Targets (lines 18+19d) (b) ___ 

Human Food Chain Threat Score:

21. Human Food Chain Threat Score ([lines 

14×17×20]/82,500, subject to a maximum of 

100)

100 ___ 

Environmental Threat

Likelihood of Release:

22. Likelihood of Release (same value as line 

5)

550 ___ 

Waste Characteristics:

23. Ecosystem 

Toxicity/Persistence/Bioaccumulation

(a) ___ 

24. Hazardous Waste Quantity (a) ___ 

25. Waste Characteristics 1,000

Targets:

26. Sensitive Environments

26a. Level I Concentrations (b) ___ 

26b. Level II Concentrations (b) ___ 

26c. Potential Contamination (b) ___ 

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 ___ 

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aMaximum value applies to waste characteristics category.

bMaximum value not applicable.

cDo not round to nearest integer.

If the site is in more than one watershed: 

• Calculate a separate overland/flood migration component score for each watershed, using likelihood of 

release, waste characteristics, and targets applicable to each watershed. 

• Select the highest overland/flood migration component score from the watersheds evaluated and 

assign it as the overland/flood migration component score for the site. 

4.1.2 Drinking water threat. Evaluate the drinking water threat for each watershed based on three factor 

categories: likelihood of release, waste characteristics, and targets. 

4.1.2.1 Drinking water threat—likelihood of release. Evaluate the likelihood of release factor category 

for each watershed in terms of an observed release factor or a potential to release factor. 

4.1.2.1.1 Observed release. Establish an observed release to surface water for a watershed by 

demonstrating that the site has released a hazardous substance to the surface water in the watershed. 

Base this demonstration on either: 

• Direct observation: 

–A material that contains one or more hazardous substances has been seen entering surface water 

through migration or is known to have entered surface water through direct deposition, or–A source area 

has been flooded at a time that hazardous substances were present, and one or more hazardous 

substances were in contact with the flood waters, or–When evidence supports the inference of a release 

of a material that contains one or more hazardous substances by the site to surface water, 

demonstrated adverse effects associated with that release may also be used to establish an observed 

release. 

• Chemical analysis: 

–Analysis of surface water, benthic, or sediment samples indicates that the concentration of hazardous 

substance(s) has increased significantly above the background concentration for the site for that type of 

sample (see section 2.3). 

–Limit comparisons to similar types of samples and background concentrations—for example, compare 

surface water samples to surface water background concentrations. 

–For benthic samples, limit comparisons to essentially sessile organisms. 

–Some portion of the significant increase must be attributable to the site to establish the observed 

release, except: when the site itself consists of contaminated sediments with no identified source, no 

separate attribution is required. 

If an observed release can be established for a watershed, assign an observed release factor value of 

550 to that watershed, enter this value in table 4–1, and proceed to section 4.1.2.1.3. If no observed 

release can be established for the watershed, assign an observed release factor value of 0 to that 

watershed, enter this value in table 4–1, and proceed to section 4.1.2.1.2. 

4.1.2.1.2 Potential to release. Evaluate potential to release only if an observed release cannot be 

established for the watershed. Evaluate potential to release based on two components: potential to 

release by overland flow (see section 4.1.2.1.2.1) and potential to release by flood (see section 

4.1.2.1.2.2). Sum the values for these two components to obtain the potential to release factor value for 

the watershed, subject to a maximum value of 500. 

60)

Surface Water Overland/Flood Migration 

Component Score for a Watershed

29. Watershed Scorec(lines 13+21+28, 

subject to a maximum of 100)

100 ___ 

Surface Water Overland/Flood Migration 

Component Score

30. Component Score (Sof)

c(highest score 

from line 29 for all watersheds evaluated, 

subject to a maximum of 100)

100 ___ 

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4.1.2.1.2.1 Potential to release by overland flow. Evaluate potential to release by overland flow for the 

watershed based on three factors: containment, runoff, and distance to surface water. 

Assign potential to release by overland flow a value of 0 for the watershed if: 

• No overland segment of the hazardous substance migration path can be defined for the watershed, or 

• The overland segment of the hazardous substance migration path for the watershed exceeds 2 miles 

before surface water is encountered. 

If either condition applies, enter a value of 0 in table 4–1 and proceed to section 4.1.2.1.2.2 to evaluate 

potential to release by flood. If neither applies, proceed to section 4.1.2.1.2.1.1 to evaluate potential to 

release by overland flow. 

4.1.2.1.2.1.1 Containment. Determine the containment factor value for the watershed as follows: 

• If one or more sources is located in surface water in the watershed (for example, intact sealed drums in 

surface water), assign the containment factor a value of 10 for the watershed. Enter this value in table 

4–1. 

• If none of the sources is located in surface water in the watershed, assign a containment factor value 

from table 4–2 to each source at the site that can potentially release hazardous substances to the 

hazardous substance migration path for this watershed. Assign the containment factor value for the 

watershed as follows: 

–Select the highest containment factor value assigned to those sources that meet the minimum size 

requirement described below. Assign this highest value as the containment factor value for the 

watershed. Enter this value in table 4–1.–If, for this watershed, no source at the site meets the minimum 

size requirement, then select the highest containment factor value assigned to the sources at the site 

eligible to be evaluated for this watershed and assign it as the containment factor value for the 

watershed. Enter this value in table 4–1. 

A source meets the minimum size requirement if its source hazardous waste quantity value (see section 

2.4.2.1.5) is 0.5 or more. Do not include the minimum size requirement in evaluating any other factor of 

this surface water migration component, except potential to release by flood as specified in section 

4.1.2.1.2.2.3. 

4.1.2.1.2.1.2 Runoff. Evaluate runoff based on three components: rainfall, drainage area, and soil 

group. 

Table 4–2—Containment Factor Values for Surface 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 

associated containment structures).

10

No evidence of hazardous substance migration from 

source area and:

(a) Neither of the following present: (1) 

maintained engineered cover, or (2) functioning 

and maintained run-on control system and 

runoff management system

10

(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 maintained run-on control system and 

runoff management system, or (3) liner with 

functioning leachate collection and removal 

system immediately above liner

7

(d) All items in (c) present 5

(e) All items in (c) present, plus no bulk or noncontainerized liquids nor materials containing 

free liquids deposited in source area.

3

No evidence of hazardous substance migration from 

source area, double liner with functioning leachate 

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collection and removal system above and between liners, 

and:

(f) Only one of the following deficiencies present 

in containment: (1) bulk or noncontainerized 

liquids 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

3

(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 

maintained

10

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 eliminated 

at closure (either by removal of liquids or 

solidification of remaining wastes and waste 

residues)

Evaluate usingAll 

Sourcescriteria 

(with no bulk or 

free liquids 

deposited).

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 

cover established over entire land treatment 

area

5

(c) Land treatment area maintained in 

compliance with 40 CFR 264.280

0

Containers

All containers buried Evaluate usingAll 

Sourcescriteria.

Evidence of hazardous substance migration from 

container area ( i.e. , container area includes 

containers and any associated containment 

structures)

10

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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 

sound diking that is regularly inspected and 

maintained

9

No evidence of hazardous substance migration from 

container area, container area surrounded by sound 

diking that is regularly inspected and maintained, 

and:

9

(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 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

5

(c) Free liquids present, containment system 

has sufficient capacity to hold total volume of all 

containers and to provide adequate freeboard, 

and single liner under container area with 

functioning leachate collection and removal 

system below liner

5

(d) Same as (c) except: double liner under 

container area with functioning leachate 

collection and removal system between liners

3

Containers inside or under maintained intact 

structure that provides protection from precipitation 

so that 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

0

No evidence of hazardous substance migration from 

container area, containers leaking, and all free 

liquids eliminated at closure (either by removal of 

liquids or solidification of remaining wastes and 

waste residues)

Evaluate using All 

Sources criteria 

(with no bulk or 

free liquids 

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 

equipment such as piping, and any associated 

containment structures)

10

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 9

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Rainfall. Determine the 2-year, 24-hour rainfall for the site. Use site-specific, 2-year, 24-hour rainfall data 

if records are available for at least 20 years. If such site-specific data are not available, estimate the 2-

year, 24-hour rainfall for the site from a rainfall-frequency map. Do not round the rainfall value to the 

nearest integer. 

Drainage area. Determine the drainage area for the sources at the site. Include in this drainage area 

both the source areas and the area upgradient of the sources, but exclude any portion of this drainage 

area for which runoff is diverted from entering the sources by storm sewers or run-on control and/or 

runoff management systems. Assign a drainage area value for the watershed from table 4–3. 

Soil group. Based on the predominant soil group within the drainage area described above, assign a soil 

group designation for the watershed from table 4–4 as follows: 

• Select the predominant soil group as that type which comprises the largest total area within the 

applicable drainage area. 

• If a predominant soil group cannot be delineated, select that soil group in the drainage area that yields 

the highest value for the runoff factor. 

Calculation of runoff factor value. Assign a combined rainfall/runoff value for the watershed from table 4–

5, based on the 2-year, 24-hour rainfall and the soil group designation. Determine the runoff factor value 

for the watershed from table 4–6, based on the rainfall/runoff and drainage area values. Enter the runoff 

factor value in table 4–1. 

Table 4–3—Drainage Area Values 

tank area and tank and ancillary equipment 

surrounded by sound diking that is regularly 

inspected and maintained

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 (e.g., liner under tank 

area, vault system, double-wall) with leak 

detection and collection system

7

(b) Tank and ancillary equipment provided with 

secondary containment system that detects and 

collects 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 a timely manner, at 

least weekly inspection of tank and secondary 

containment system, and all leaking or unfit-foruse tank systems promptly responded to

5

(c) Containment system has sufficient capacity 

to hold total volume of all tanks within the tank 

containment area and to provide adequate 

freeboard, and single liner under tank 

containment area with functioning leachate 

collection and removal system below liner

5

(d) Same as (c) except: double liner under tank 

containment area with functioning leachate 

collection and removal system between liners

3

Tank is above ground, and inside or under 

maintained intact structure that provides protection 

from precipitation 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 control present

0

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Table 4–4—Soil Group Designations 

Table 4–5—Rainfall/Runoff Values 

Table 4–6—Runoff Factor Values 

4.1.2.1.2.1.3 Distance to surface water. Evaluate the distance to surface water as the shortest 

distance, along the overland segment, from any source with a surface water containment factor value 

greater than 0 to either the mean high water level for tidal waters or the mean water level for other 

surface waters. Based on this distance, assign a value from table 4–7 to the distance to surface water 

factor for the watershed. Enter this value in table 4–1. 

4.1.2.1.2.1.4 Calculation of factor value for potential to release by overland flow. Sum the factor values 

for runoff and distance to surface water for the watershed and multiply this sum by the factor value for 

containment. Assign the resulting product as the factor value for potential to release by overland flow for 

the watershed. Enter this value in table 4–1. 

4.1.2.1.2.2 Potential to release by flood. Evaluate potential to release by flood for each watershed as 

the product of two factors: containment (flood) and flood frequency. Evaluate potential to release by 

flood separately for each source that is within the watershed. Furthermore, for each source, evaluate 

potential to release by flood separately for each category of floodplain in which the source lies. (See 

section 4.1.2.1.2.2.2 for the applicable floodplain categories.) Calculate the value for the potential to 

release by flood factor as specified in 4.1.2.1.2.2.3. 

Drainage area (acres) Assigned value

Less than 50 1

50 to 250 2

Greater than 250 to 1,000 3

Greater than 1,000 4

Surface soil description

Soil group 

designation

Coarse-textured soils with high infiltration rates (for example, 

sands, loamy sands)

A

Medium-textured soils with moderate infiltration rates (for 

example, sandy loams, loams)

B

Moderately fine-textured soils with low infiltration rates (for 

example, silty loams, silts, sandy clay loams)

C

Fine-textured soils with very low infiltration rates (for 

example, clays, sandy clays, silty clay loams, clay loams, 

silty clays); or impermeable surfaces (for example, 

pavement)

D

2-Year, 24-hour rainfall (inches)

Soil group designation

ABCD

Less than 1.0 0 0 2 3

1.0 to less than 1.5 0 1 2 3

1.5 to less than 2.0 0 2 3 4

2.0 to less than 2.5 1 2 3 4

2.5 to less than 3.0 2 3 4 4

3.0 to less than 3.5 2 3 4 5

3.5 or greater 3 4 5 6

Drainage area value

Rainfall/runoff value

0123 4 5 6

1 0001 1 1 1

2 0011 2 3 4

3 0 0 1 3 7 11 15

4 0 1 2 7 17 25 25

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4.1.2.1.2.2.1 Containment (flood). For each source within the watershed, separately evaluate the 

containment (flood) factor for each category of floodplain in which the source is partially or wholly 

located. Assign a containment (flood) factor value from table 4–8 to each floodplain category applicable 

to that source. Assign a containment (flood) factor value of 0 to each floodplain category in which the 

source does not lie. 

4.1.2.1.2.2.2 Flood frequency. For each source within the watershed, separately evaluate the flood 

frequency factor for each category of floodplain in which the source is partially or wholly located. Assign 

a flood frequency factor value from table 4–9 to each floodplain category in which the source is located. 

4.1.2.1.2.2.3 Calculation of factor value for potential to release by flood. For each source within the 

watershed and for each category of floodplain in which the source is partially or wholly located, calculate 

a separate potential to release by flood factor value. Calculate this value as the product of the 

containment (flood) value and the flood frequency value applicable to the source for the floodplain 

category. Select the highest value calculated for those sources that meet the minimum size requirement 

specified in section 4.1.2.1.2.1.1 and assign it as the value for the potential to release by flood factor for 

the watershed. However, if, for this watershed, no source at the site meets the minimum size 

requirement, select the highest value calculated for the sources at the site eligible to be evaluated for 

this watershed and assign it as the value for this factor. 

Table 4–7—Distance to Surface Water Factor Values 

Table 4–8—Containment (Flood) Factor Values 

Table 4–9—Flood Frequency Factor Values 

Enter this highest potential to release by flood factor value for the watershed in table 4–1, as well as the 

values for containment (flood) and flood frequency that yield this highest value. 

4.1.2.1.2.3 Calculation of potential to release factor value. Sum the factor values assigned to the 

watershed for potential to release by overland flow and potential to release by flood. Assign this sum as 

the potential to release factor value for the watershed, subject to a maximum value of 500. Enter this 

value in table 4–1. 

4.1.2.1.3 Calculation of drinking water threat-likelihood of release factor category value. If an observed 

release is established for the watershed, assign the observed release factor value of 550 as the 

likelihood of release factor category value for that watershed. Otherwise, assign the potential to release 

factor value for that watershed as the likelihood of release factor category value for that watershed. 

Enter the value assigned in table 4–1. 

4.1.2.2 Drinking water threat-waste characteristics. Evaluate the waste characteristics factor category 

for each watershed based on two factors: toxicity/persistence and hazardous waste quantity. Evaluate 

only those hazardous substances that are available to migrate from the sources at the site to surface 

water in the watershed via the overland/flood hazardous substance migration path for the watershed 

Distance Assigned value

Less than 100 feet 25

100 feet to 500 feet 20

Greater than 500 feet to 1,000 feet 16

Greater than 1,000 feet to 2,500 feet 9

Greater than 2,500 feet to 1.5 miles 6

Greater than 1.5 miles to 2 miles 3

Containment criteria

Assigned 

value

Documentation that containment at the source is designed, 

constructed, operated, and maintained to prevent a washout of 

hazardous substances by the flood being evaluated

0

Other 10

Floodplain category Assigned value

Source floods annually 50

Source in 10-year floodplain 50

Source in 100-year floodplain 25

Source in 500-year floodplain 7

None of above 0

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(see section 4.1.1.1). Such hazardous substances include: 

• Hazardous substances that meet the criteria for an observed release to surface water in the 

watershed. 

• All hazardous substances associated with a source that has a surface water containment factor value 

greater than 0 for the watershed (see sections 2.2.2, 2.2.3, 4.1.2.1.2.1.1, and 4.1.2.1.2.2.1). 

4.1.2.2.1 Toxicity/persistence. For each hazardous substance, assign a toxicity factor value, a 

persistence factor value, and a combined toxicity/persistence factor value as specified in sections 

4.1.2.2.1.1 through 4.1.2.2.1.3. Select the toxicity/persistence factor value for the watershed as specified 

in section 4.1.2.2.1.3. 

4.1.2.2.1.1 Toxicity. Assign a toxicity factor value to each hazardous substance as specified in section 

2.4.1.1. 

4.1.2.2.1.2 Persistence. Assign a persistence factor value to each hazardous substance. In assigning 

this value, evaluate persistence based primarily on the half-life of the hazardous substance in surface 

water and secondarily on the sorption of the hazardous substance to sediments. The half-life in surface 

water is defined for HRS purposes as the time required to reduce the initial concentration in surface 

water by one-half as a result of the combined decay processes of biodegradation, hydrolysis, photolysis, 

and volatilization. Sorption to sediments is evaluated for the HRS based on the logarithm of the noctanol-water partition coefficient (log Kow) of the hazardous substance. 

Estimate the half-life (t1/2) of a hazardous substance as follows:

where: 

h=Hydrolysis half-life. 

b=Biodegradation half-life. 

p=Photolysis half-life. 

v=Volatilization half-life. 

If one or more of these four component half-lives cannot be estimated for the hazardous substance from 

available data, delete that component half-life from the above equation. If none of these four component 

half-lives can be estimated for the hazardous substance from available data, use the default procedure 

indicated below. Estimate a half-life for the hazardous substance for lakes or for rivers, oceans, coastal 

tidal waters, and Great Lakes, as appropriate. 

If a half-life can be estimated for a hazardous substance: 

• Assign that hazardous substance a persistence factor value from the appropriate portion of table 4–10 

(that is lakes; or rivers, oceans, coastal tidal waters, and Great Lakes). 

• Select the appropriate portion of table 4–10 as follows: 

–If there is one or more drinking water intakes along the hazardous substance migration path for the 

watershed, select the nearest drinking water intake as measured from the probable point of entry. If the 

in-water segment between the probable point of entry and this selected intake includes both lakes and 

other water bodies, use the lakes portion of table 4–10 only if more than half the distance to this 

selected intake lies in lake(s). Otherwise, use the rivers, oceans, coastal tidal waters, and Great Lakes 

portion of table 4–10. For contaminated sediments with no identified source, use the point where 

measurement begins (see section 4.1.1.2) rather than the probable point of entry.–If there are no 

drinking water intakes but there are intakes or points of use for any of the resource types listed in section 

4.1.2.3.3, select the nearest such intake or point of use. Select the portion of table 4–10 based on this 

intake or point of use in the manner specified for drinking water intakes.–If there are no drinking water 

intakes and no specified resource intakes and points of use, but there is another type of resource listed 

in section 4.1.2.3.3 (for example, the water is usable for drinking water purposes even though not used), 

select the portion of table 4–10 based on the nearest point of this resource in the manner specified for 

drinking water intakes. 

Table 4–10—Persistence Factor Values—Half-Life 

Surface water category

Substance half-life 

(days)

Assigned 

valuea

Rivers, oceans, coastal tidal waters, Less than or equal to 0.0007

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aDo not round to nearest integer.

If a half-life cannot be estimated for a hazardous substance from available data, use the following default 

procedure to assign a persistence factor value to that hazardous substance: 

• For those hazardous substances that are metals (or metalloids), assign a persistence factor value of 1 

as a default for all surface water bodies. 

• For other hazardous substances (both organic 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 value in the same manner specified for using table 4–

10. 

Use the persistence factor value assigned based on half-life or the default procedure unless the 

hazardous substance can be assigned a higher factor value from Table 4–11, based on its Log Kow. If a 

higher value can be assigned from table 4–11, assign this higher value as the persistence factor value 

for the hazardous substance. 

Table 4–11—Persistence Factor Values—Log Kow

aUse for lakes, rivers, oceans, coastal tidal waters, and Great Lakes. Do not round to nearest integer.

4.1.2.2.1.3 Calculation of toxicity/persistence factor value. Assign each hazardous substance a 

toxicity/persistence factor value from table 4–12, based on the values assigned to the hazardous 

substance for the toxicity and persistence factors. Use the hazardous substance with the highest 

toxicity/persistence factor value for the watershed to assign the toxicity/persistence factor value for the 

drinking water threat for the watershed. Enter this value in table 4–1. 

4.1.2.2.2 Hazardous waste quantity. Assign a hazardous waste quantity factor value for the watershed 

as specified in section 2.4.2. Enter this value in table 4–1. 

4.1.2.2.3 Calculation of drinking water threat-waste characteristics factor category value. Multiply the 

toxicity/persistence and hazardous waste quantity factor values for the watershed, subject to a maximum 

product of 1×108 . Based on this product, assign a value from table 2–7 (section 2.4.3.1) to the drinking 

water threat-waste characteristics factor category for the watershed. Enter this value in table 4–1. 

Table 4–12—Toxicity/Persistence Factor Valuesa

and Great Lakes 0.2 

Greater than 0.2 to 

0.5 

Greater than 0.5 to 

1.5 

Greater than 1.5

0.07

0.4

1

Lakes Less than or equal to 

0.02 

Greater than 0.02 to 2

Greater than 2 to 20 

Greater than 20

0.0007

0.07

0.4

1

Log Kow Assigned valuea

Less than 3.5 0.0007

3.5 to less than 4.0 0.07

4.0 to 4.5 0.4

Greater than 4.5 1

Persistence factor value

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

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aDo not round to nearest integer.

4.1.2.3 Drinking water threat-targets. Evaluate the targets factor category for each watershed based on 

three factors: nearest intake, population, and resources. 

To evaluate the nearest intake and population factors, determine whether the target surface water 

intakes are subject to actual or potential contamination as specified in section 4.1.1.2. Use either an 

observed release based on direct observation at the intake or the exposure concentrations from samples 

(or comparable samples) taken at or beyond the intake to make this determination (see section 

4.1.2.1.1). The exposure concentrations for a sample (that is, surface water, benthic, or sediment 

sample) consist of the concentrations of those hazardous substances present that are significantly 

above background levels and attributable at least in part to the site (that is, those hazardous substance 

concentrations that meet the criteria for an observed release). 

When an intake is subject to actual contamination, evaluate it using Level I concentrations or Level II 

concentrations. If the actual contamination is based on an observed release by direct observation, use 

Level II concentrations for that intake. However, if the actual contamination is based on an observed 

release from samples, determine which level applies for the intake by comparing the exposure 

concentrations from samples (or comparable samples) to health-based benchmarks as specified in 

sections 2.5.1 and 2.5.2. Use the health-based benchmarks from table 3–10 (section 3.3.1) in 

determining the level of contamination from samples. For contaminated sediments with no identified 

source, evaluate the actual contamination using Level II concentrations (see section 4.1.1.2). 

4.1.2.3.1 Nearest intake. Evaluate the nearest intake factor based on the drinking water intakes along 

the overland/flood hazardous substance migration path for the watershed. Include standby intakes in 

evaluating this factor only if they are used for supply at least once a year. 

Assign the nearest intake factor a value as follows and enter the value in table 4–1: 

• If one or more of these drinking water intakes is subject to Level I concentrations as specified in 

section 4.1.2.3, assign a factor value of 50. 

• If not, but if one or more of these drinking water intakes is subject to Level II concentrations, assign a 

factor value of 45. 

• If none of these drinking water intakes is subject to Level I or Level II concentrations, determine the 

nearest of these drinking water intakes, as measured from the probable point of entry (or from the point 

where measurement begins for contaminated sediments with no identified source). Assign a dilution 

weight from table 4–13 to this intake, based on the type of surface water body in which it is located. 

Multiply this dilution weight by 20, round the product to the nearest integer, and assign it as the factor 

value. 

Assign the dilution weight from table 4–13 as follows: 

Table 4–13—Surface Water Dilution Weights 

Type of surface water bodya Assigned 

dilution weightb Descriptor Flow characteristics

Minimal stream Less than 10 cfsc 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 watersd Flow not applicable, depth not 

applicable

0.0001

Shallow ocean zoneeor 

Great Lake

Flow not applicable, depth less 

than 20 feet

0.0001

Moderate depth ocean 

zoneeor Great Lake

Flow not applicable, depth 20 

to 200 feet

0.00001

Deep ocean zoneeor 

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

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aTreat each lake as a separate type of water body and assign a dilution weight as specified in text.

bDo not round to nearest integer.

ccfs = cubic feet per second.

dEmbayments, harbors, sounds, estuaries, back bays, lagoons, wetlands, etc., seaward from mouths of 

rivers and landward from baseline of Territorial Sea. 

eSeaward 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 types specified in table 4–13 as minimal stream through very 

large river), assign a dilution weight based on the average annual flow in the river at the intake. If 

available, use the average annual discharge as defined in the U.S. Geological Survey Water Resources 

Data Annual Report. Otherwise, estimate the average annual flow. 

• For a lake, assign a dilution weight as follows: 

–For a lake that has surface water flow entering the lake, assign a dilution weight based on the sum of 

the average annual flows for the surface water bodies entering the lake up to the point of the intake.–For 

a lake that has no surface water flow entering, but that does have surface water flow leaving, assign a 

dilution weight based on the sum of the average annual flows for the surface water bodies leaving the 

lake.–For a closed lake (that is, a lake without surface water flow entering or leaving), assign a dilution 

weight based on the average annual ground water flow into the lake, if available, using the dilution 

weight for the corresponding river flow rate in table 4–13. If not available, assign a default dilution weight 

of 1. 

• For the ocean and the Great Lakes, assign a dilution weight based on depth. 

• For coastal tidal waters, assign a dilution weight of 0.0001; do not consider depth or flow. 

• For a quiet-flowing river that has average annual flow of 10 cubic feet per second (cfs) or greater and 

that contains the probable point of entry to surface water, apply a zone of mixing in assigning the dilution 

weight: 

–Start the zone of mixing at the probable point of entry and extend it for 3 miles from the probable point 

of entry, except: if the surface water characteristics change to turbulent within this 3-mile distance, 

extend the zone of mixing only to the point at which the change occurs.–Assign a dilution weight of 0.5 

to any intake that lies within this zone of mixing.–Beyond this zone of mixing, assign a dilution weight the 

same as for any other river (that is, assign the dilution weight based on average annual flow).–Treat a 

quiet-flowing river with an average annual flow of less than 10 cfs the same as any other river (that is, 

assign it a dilution weight of 1). 

In those cases where water flows from a surface water body with a lower assigned dilution weight (from 

table 4–13) to a surface water body with a higher assigned dilution weight (that is, water flows from a 

surface water body with more dilution to one with less dilution), use the lower assigned dilution weight as 

the dilution weight for the latter surface water body. 

4.1.2.3.2 Population. In evaluating the population factor, include only persons served by drinking water 

drawn from intakes that are along the overland/flood hazardous substance migration path for the 

watershed and that are within the target distance limit specified in section 4.1.1.2. Include residents, 

students, and workers who regularly use the water. Exclude transient populations such as customers 

and travelers passing through the area. When a standby intake is maintained on a regular basis so that 

water can be withdrawn, include it in evaluating the population factor. 

In estimating residential population, when the estimate is based on the number of residences, multiply 

each residence by the average number of persons per residence for the county in which the residence is 

located. 

In estimating the population served by an intake, if the water from the intake is blended with other water 

(for example, water from other surface water intakes or ground water wells), apportion the total 

population regularly served by the blended system to the intake based on the intake's relative 

contribution to the total blended system. In estimating the intake's relative contribution, assume each 

well or intake contributes equally and apportion the population accordingly, except: if the relative 

contribution of any one intake or well exceeds 40 percent based on average annual pumpage or 

capacity, estimate the relative contribution of the wells and intakes considering the following data, if 

available: 

• Average annual pumpage from the ground water wells and surface water intakes in the blended 

system. 

• Capacities of the wells and intakes in the blended system. 

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For systems with standby surface water intakes or standby ground water wells, apportion the total 

population regularly served by the blended system as described above, except: 

• Exclude standby ground water wells in apportioning the population. 

• When using pumpage data for a standby surface water intake, use average pumpage for the period 

during which the standby intake is used rather than average annual pumpage. 

• For that portion of the total population that could be apportioned to a standby surface water intake, 

assign that portion of the population either to that standby intake or to the other surface water intake(s) 

and ground water well(s) that serve that population; do not assign that portion of the population both to 

the standby intake and to the other intake(s) and well(s) in the blended system. Use the apportioning 

that results in the highest population factor value. (Either include all standby intake(s) or exclude some 

or all of the standby intake(s) as appropriate to obtain this highest value.) Note that the specific standby 

intake(s) included or excluded and, thus, the specific apportioning may vary in evaluating different 

watersheds and in evaluating the ground water pathway. 

4.1.2.3.2.1 Level of contamination. Evaluate the population factor based on three factors: Level I 

concentrations, Level II concentrations, and potential contamination. Determine which factor applies for 

an intake as specified in section 4.1.2.3. Evaluate intakes subject to Level I concentration as specified in 

section 4.1.2.3.2.2, intakes subject to Level II concentration as specified in section 4.1.2.3.2.3, and 

intakes subject to potential contamination as specified in section 4.1.2.3.2.4. 

For the potential contamination factor, use population ranges in evaluating the factor as specified in 

section 4.1.2.3.2.4. For the Level I and Level II concentrations factors, use the population estimate, not 

population ranges, in evaluating both factors. 

4.1.2.3.2.2 Level I concentrations. Sum the number of people served by drinking water from intakes 

subject to Level I concentrations. Multiply this sum by 10. Assign this product as the value for this factor. 

Enter this value in table 4–1. 

4.1.2.3.2.3 Level II concentrations. Sum the number of people served by drinking water from intakes 

subject to Level II concentrations. Do not include people already counted under the Level I 

concentrations factor. Assign this sum as the value for this factor. Enter this value in table 4–1. 

4.1.2.3.2.4 Potential contamination. For each applicable type of surface water body in table 4–14, first 

determine the number of people served by drinking water from intakes subject to potential contamination 

in that type of surface water body. Do not include those people already counted under the Level I and 

Level II concentrations factors. 

Table 4–14—Dilution-Weighted Population Values for Potential Contamination Factor For Surface 

Water Migration Pathwaya

Type of 

surface 

water 

bodyb

Number of people

0

1 to 

10

11 to 

30

31 to 

100

101 

to 

300

301 

to 

1,000

1,001 

to 

3,000

3,001 

to 

10,000

10,001 

to 

30,000

30,001 

to 

100,000

100,001 

to 

300,000

300,001 

to 

1,000,000

1,000,001 

to 

3,000,000

3,000,001 

to 

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

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 

(>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 

0 0 0.002 0.005 0.02 0.05 0.2 0.5 2 5 16 52 163 521

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aRound the number of people to nearest integer. Do not round the assigned dilution-weighted population 

value to nearest integer. 

bTreat 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. 

For each type of surface water body, assign a dilution-weighted population value from table 4–14, based 

on the number of people included for that type of surface water body. (Note that the dilution-weighted 

population values in table 4–14 incorporate the dilution weights from table 4–13. Do not multiply the 

values from table 4–14 by these dilution weights.) 

Calculate the value for the potential contamination factor (PC) for the watershed as follows: 

where: 

Wi

=Dilution-weighted population from table 4–14 for surface water body type i.

n=Number of different surface water body types in the watershed. 

If PC is less than 1, do not round it to the nearest integer; if PC is 1 or more, round to the nearest 

integer. Enter this value for the potential contamination factor in table 4–1. 

to 

100,000 

cfs)

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

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 200 

feet)

0 0 0 0.001 0.002 0.005 0.02 0.05 0.2 0.5 2 5 16 52

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

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4.1.2.3.2.5 Calculation of population factor value. Sum the factor values for Level I concentrations, 

Level II concentrations, and potential contamination. Do not round this sum to the nearest integer. 

Assign this sum as the population factor value for the watershed. Enter this value in table 4–1. 

4.1.2.3.3 Resources. To evaluate the resources factor for the watershed, select the highest value 

below that applies to the watershed. Assign this value as the resources factor value for the watershed. 

Enter this value in table 4–1. 

Assign a value of 5 if, within the in-water segment of the hazardous substance migration path for the 

watershed, the surface water is used for one or more of the following purposes: 

• Irrigation (5 acre minimum) of commercial food crops or commercial forage crops. 

• Watering of commercial livestock. 

• Ingredient in commercial food preparation. 

• Major or designated water recreation area, excluding drinking water use. 

Assign a value of 5 if, within the in-water segment of the hazardous substance migration path for the 

watershed, the surface water is not used for drinking water, but either of the following applies: 

• Any portion of the surface water is designated by a State for drinking water use under section 305(a) of 

the Clean Water Act, as amended. 

• Any portion of the surface water is usable for drinking water purposes. 

Assign a value of 0 if none of the above applies. 

4.1.2.3.4 Calculation of drinking water threat-targets factor category value. Sum the nearest intake, 

population, and resources factor values for the watershed. Do not round this sum to the nearest integer. 

Assign this sum as the drinking water threat-targets factor category value for the watershed. Enter this 

value in table 4–1. 

4.1.2.4 Calculation of the drinking water threat score for a watershed. Multiply the drinking water threat 

factor category values for likelihood of release, waste characteristics, and targets for the watershed, and round the product to the nearest integer. Then divide by 

82,500. Assign the resulting value, subject to a maximum of 100, as the drinking water threat score for 

the watershed. Enter this value in table 4–1. 

4.1.3 Human food chain threat. Evaluate the human food chain threat for each watershed based on 

three factor categories: likelihood of release, waste characteristics, and targets. 

4.1.3.1 Human food chain threat-likelihood of release. Assign the same likelihood of release factor 

category value for the human food chain threat for the watershed as would be assigned in section 

4.1.2.1.3 for the drinking water threat. Enter this value in table 4–1. 

4.1.3.2 Human food chain threat-waste characteristics. Evaluate the waste characteristics factor 

category for each watershed based on two factors: toxicity/persistence/bioaccumulation and hazardous 

waste quantity. 

4.1.3.2.1 Toxicity/persistence/bioaccumulation. Evaluate all those hazardous substances eligible to be 

evaluated for toxicity/persistence in the drinking water threat for the watershed (see section 4.1.2.2). 

4.1.3.2.1.1 Toxicity. Assign a toxicity factor value to each hazardous substance as specified in section 

2.4.1.1. 

4.1.3.2.1.2 Persistence. Assign a persistence factor value to each hazardous substance as specified 

for the drinking water threat (see section 4.1.2.2.1.2), except: use the predominant water category (that 

is, lakes; or rivers, oceans, coastal tidal waters, or Great Lakes) between the probable point of entry and 

the nearest fishery (not the nearest drinking water or resources intake) along the hazardous substance 

migration path for the watershed to determine which portion of table 4–10 to use. Determine the 

predominant water category based on distance as specified in section 4.1.2.2.1.2. For contaminated 

sediments with no identified source, use the point where measurement begins rather than the probable 

point of entry. 

4.1.3.2.1.3 Bioaccumulation potential. Use the following data hierarchy to assign a bioaccumulation 

potential factor value to each hazardous substance: 

• Bioconcentration factor (BCF) data. 

• Logarithm of the n-octanol-water partition coefficient (log Kow) data.

• Water solubility data. 

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Assign a bioaccumulation potential factor value to each hazardous substance from table 4–15. 

If BCF data are available for any aquatic human food chain organism for the substance being evaluated, 

assign the bioaccumulation potential factor value to the hazardous substance as follows: 

• If BCF data are available for both fresh water and salt water for the hazardous substance, use the BCF 

data that correspond to the type of water body (that is, fresh water or salt water) in which the fisheries 

are located to assign the bioaccumulation potential factor value to the hazardous substance. 

• If, however, some of the fisheries being evaluated are in fresh water and some are in salt water, or if 

any are in brackish water, use the BCF data that yield the higher factor value to assign the 

bioaccumulation potential factor value to the hazardous substance. 

• If BCF data are available for either fresh water or salt water, but not for both, use the available BCF 

data to assign the bioaccumulation potential factor value to the hazardous substance. 

If BCF data are not available for the hazardous substance, use log Kowdata to assign a bioaccumulation 

potential factor value to organic substances, but not to inorganic substances. If BCF data are not 

available, and if either log Kowdata are not available, the log Kowis available but exceeds 6.0, or the 

substance is an inorganic substance, use water solubility data to assign a bioaccumulation potential 

factor value. 

Table 4–15—Bioaccumulation Potential Factor Valuesa

If bioconcentration factor (BCF) data are available for any aquatic human food chain organism, assign a 

value as follows:b

If BCF data are not available, and log Kowdata are available and do not exceed 6.0, assign a value to an 

organic hazardous substance as follows (for inorganic hazardous substances, skip this step and 

proceed to the next): 

If BCF data are not available, and if either Log Kowdata are not available, a log Kowis available but 

exceeds 6.0, or the substance is an inorganic substance, assign a value as follows: 

Table 4–15—Bioaccumulation Potential Factor Valuesa—Concluded

aDo not round to nearest integer.

BCF Assigned value

Greater than or equal to 10,000 50,000

1,000 to less than 10,000 5,000

100 to less than 1,000 500

10 to less than 100 50

1 to less than 10 5

Less than 1 0.5

Log Kow Assigned value

5.5 to 6.0 50,000

4.5 to less than 5.5 5,000

3.2 to less than 4.5 500

2.0 to less than 3.2 50

0.8 to less than 2.0 5

Less than 0.8 0.5

Water solubility (mg/l) Assigned value

Less than 25 50,000

25 to 500 5,000

Greater than 500 to 1,500 500

Greater than 1,500 0.5

If none of these data are available, assign a value of 0.5.

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bSee text for use of freshwater and saltwater BCF data.

 

Do not distinguish between fresh water and salt water in assigning the bioaccumulation potential factor 

value based on log Kowor water solubility data. 

If none of these data are available, assign the hazardous substance a bioaccumulation potential factor 

value of 0.5. 

4.1.3.2.1.4 Calculation of toxicity/persistence/bioaccumulation factor value. Assign each hazardous 

substance a toxicity/persistence factor value from table 4–12, based on the values assigned to the 

hazardous substance for the toxicity and persistence factors. Then assign each hazardous substance a 

toxicity/persistence/bioaccumulation factor value from table 4–16, based on the values assigned for the 

toxicity/persistence and bioaccumulation potential factors. Use the hazardous substance with the highest 

toxicity/persistence/bioaccumulation factor value for the watershed to assign the value to this factor. 

Enter this value in table 4–1. 

Table 4–16—Toxicity/Persistence/Bioaccumulation Factor Valuesa

aDo not round to nearest integer.

4.1.3.2.2 Hazardous waste quantity. Assign the same factor value for hazardous waste quantity for the 

watershed as would be assigned in section 4.1.2.2.2 for the drinking water threat. Enter this value in 

table 4–1. 

4.1.3.2.3 Calculation of human food chain threat-waste characteristics factor category value. For the 

hazardous substance selected for the watershed in section 4.1.3.2.1.4, use its toxicity/persistence factor 

value and bioaccumulation potential factor value as follows to assign a value to the waste characteristics 

factor category. First, multiply the toxicity/persistence factor value and the hazardous waste quantity 

factor value for the watershed, subject to a maximum product of 1×108 . Then multiply this product by 

the bioaccumulation potential factor value for this hazardous substance, subject to a maximum product 

of 1×1012 . Based on this second product, assign a value from Table 2–7 (section 2.4.3.1) to the human 

food chain threat-waste characteristics factor category for the watershed. Enter this value in table 4–1. 

4.1.3.3 Human food chain threat-targets. Evaluate two target factors for each watershed: food chain 

individual and population. For both factors, determine whether the target fisheries are subject to actual 

or potential human food chain contamination. 

Consider a fishery (or portion of a fishery) within the target distance limit of the watershed to be subject 

Toxicity persistence 

factor value

Bioaccumulation potential 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 00 0

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to actual human food chain contamination if any of the following apply: 

• A hazardous substance having a bioaccumulation potential factor value of 500 or greater is present 

either in an observed release by direct observation to the watershed or in a surface water or sediment 

sample from the watershed at a level that meets the criteria for an observed release to the watershed 

from the site, and at least a portion of the fishery is within the boundaries of the observed release (that 

is, it is located either at the point of direct observation or at or between the probable point of entry and 

the most distant sampling point establishing the observed release). 

• The fishery is closed, and a hazardous substance for which the fishery has been closed has been 

documented in an observed release to the watershed from the site, and at least a portion of the fishery is 

within the boundaries of the observed release. 

• A hazardous substance is present in a tissue sample from an essentially sessile, benthic, human food 

chain organism from the watershed at a level that meets the criteria for an observed release to the 

watershed from the site, and at least a portion of the fishery is within the boundaries of the observed 

release. 

For a fishery that meets any of these three criteria, but that is not wholly within the boundaries of the 

observed release, consider only the portion of the fishery that is within the boundaries of the observed 

release to be subject to actual human food chain contamination. Consider the remainder of the fishery 

within the target distance limit to be subject to potential food chain contamination. 

In addition, consider all other fisheries that are partially or wholly within the target distance limit for the 

watershed, including fisheries partially or wholly within the boundaries of an observed release for the 

watershed that do not meet any of the three criteria listed above, to be subject to potential human food 

chain contamination. If only a portion of the fishery is within the target distance limit for the watershed, 

include only that portion in evaluating the targets factor category. 

When a fishery (or portion of a fishery) is subject to actual food chain contamination, determine the part 

of the fishery subject to Level I concentrations and the part subject to Level II concentrations. If the 

actual food chain contamination is based on direct observation, evaluate it using Level II concentrations. 

However, if the actual food chain contamination is based on samples from the watershed, use these 

samples and, if available, additional tissue samples from aquatic human food chain organisms as 

specified below, to determine the part subject to Level I concentrations and the part subject to Level II 

concentrations: 

• Determine the level of actual contamination from samples (including tissue samples from essentially 

sessile, benthic organisms) that meet the criteria for actual food chain contamination by comparing the 

exposure concentrations (see section 4.1.2.3) from these samples (or comparable samples) to the 

health-based benchmarks from table 4–17, as described in section 2.5.1 and 2.5.2. Use only the 

exposure concentrations for those hazardous substances in the sample (or comparable samples) that 

meet the criteria for actual contamination of the fishery. 

• In addition, determine the level of actual contamination from other tissue samples by comparing the 

concentrations of hazardous substances in the tissue samples (or comparable tissue samples) to the 

health-based benchmarks from table 4–17, as described in sections 2.5.1 and 2.5.2. Use only those 

additional tissue samples and only those hazardous substances in the tissue samples that meet all the 

following criteria: 

–The tissue sample is from a location that is within the boundaries of the actual food chain 

contamination for the site (that is, either at the point of direct observation or at or between the probable 

point of entry and the most distant sample point meeting the criteria for actual food chain 

contamination).–The tissue sample is from a species of aquatic human food chain organism that spends 

extended periods of time within the boundaries of the actual food chain contamination for the site and 

that is not an essentially sessile, benthic organism.–The hazardous substance is a substance that is also 

present in a surface water, benthic, or sediment sample from within the target distance limit for the 

watershed and, for such a sample, meets the criteria for actual food chain contamination. 

Table 4–17—Health-Based Benchmarks for Hazardous Substances in Human Food Chain 

• Concentration corresponding to Food and Drug Administration Action Level (FDAAL) for fish or 

shellfish. 

• Screening concentration for cancer corresponding to that concentration that corresponds to the 

10−6individual cancer risk for oral exposures.

• Screening concentration for noncancer toxicological responses corresponding to the Reference Dose 

(RfD) for oral exposures. 

4.1.3.3.1 Food chain individual. Evaluate the food chain individual factor based on the fisheries (or 

portions of fisheries) within the target distance limit for the watershed. Assign this factor a value as 

follows: 

• If any fishery (or portion of a fishery) is subject to Level I concentrations, assign a value of 50. 

• If not, but if any fishery (or portion of a fishery) is subject to Level II concentrations, assign a value of 

45. 

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• If not, but if there is an observed release of a hazardous substance having a bioaccumulation potential 

factor value of 500 or greater to surface water in the watershed and there is a fishery (or portion of a 

fishery) present anywhere within the target distance limit, assign a value of 20. 

• If there is no observed release to surface water in the watershed or there is no observed release of a 

hazardous substance having a bioaccumulation potential factor value of 500 or greater, but there is a 

fishery (or portion of a fishery) present anywhere within the target distance limit, assign a value as 

follows: 

–Using table 4–13, determine the highest dilution weight (that is, lowest amount of dilution) applicable to 

the fisheries (or portions of fisheries) within the target distance limit. Multiply this dilution weight by 20 

and round to the nearest integer.–Assign this calculated value as the factor value. 

• If there are no fisheries (or portions of fisheries) within the target distance limit of the watershed, assign 

a value of 0. 

Enter the value assigned in table 4–1. 

4.1.3.3.2 Population. Evaluate the population factor for the watershed based on three factors: Level I 

concentrations, Level II concentrations, and potential human food chain contamination. Determine which 

factor applies for a fishery (or portion of a fishery) as specified in section 4.1.3.3. 

4.1.3.3.2.1 Level I concentrations. Determine those fisheries (or portions of fisheries) within the 

watershed that are subject to Level I concentrations. 

Estimate the human food chain population value for each fishery (or portion of a fishery) as follows: 

• Estimate human food chain production for the fishery based on the estimated annual production (in 

pounds) of human food chain organisms (for example, fish, shellfish) for that fishery, except: if the 

fishery is closed and a hazardous substance for which the fishery has been closed has been 

documented in an observed release to the fishery from a source at the site, use the estimated annual 

production for the period prior to closure of the fishery or use the estimated annual production from 

comparable fisheries that are not closed. 

• Assign the fishery a value for human food chain population from table 4–18, based on the estimated 

human food production for the fishery. 

• Set boundaries between fisheries at those points where human food chain production changes or 

where the surface water dilution weight changes. 

Sum the human food chain population value for each fishery (and portion of a fishery). Multiply this sum 

by 10. If the product is less than 1, do not round it to the nearest integer; if 1 or more, round to the 

nearest integer. Assign the resulting value as the Level I concentrations factor value. Enter this value in 

table 4–1. 

4.1.3.3.2.2 Level II concentrations. Determine those fisheries (or portions of fisheries) within the 

watershed that are subject to Level II concentrations. Do not include any fisheries (or portions of 

fisheries) already counted under the Level I concentrations factor. 

Assign each fishery (or portion of a fishery) a value for human food chain population from table 4–18, 

based on the estimated human food production for the fishery. Estimate the human food chain 

production for the fishery as specified in section 4.1.3.3.2.1. 

Sum the human food chain population value for each fishery (and portion of a fishery). If this sum is less 

than 1, do not round it to the nearest integer; if 1 or more, round to the nearest integer. Assign the 

resulting value as the Level II concentrations factor value. Enter this value in table 4–1. 

Table 4–18—Human Food Chain Population Valuesa

Human food chain production 

(pounds per year)

Assigned human food chain 

population value

0 0

Greater than 0 to 100 0.03

Greater than 100 to 1,000 0.3

Greater than 1,000 to 10,000 3

Greater than 10,000 to 100,000 31

Greater than 100,000 to 1,000,000 310

Greater than 106to 107 3,100

Greater than 107to 108 31,000

Greater than 108to 109 310,000

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aDo not round to nearest integer.

4.1.3.3.2.3 Potential human food chain contamination. Determine those fisheries (or portions of 

fisheries) within the watershed that are subject to potential human food chain contamination. Do not 

include those fisheries (or portion of fisheries) already counted under the Level I or Level II 

concentrations factors. 

Calculate the value for the potential human food chain contamination factor (PF) for the watershed as 

follows: 

where: 

Pi

=Human food chain population value for fishery i.

Di

=Dilution weight from table 4–13 for fishery i.

n=Number of fisheries subject to potential human food chain contamination. 

In calculating PF: 

• Estimate the human food chain population value (Pi

) for a fishery (or portion of a fishery) as specified in 

section 4.1.3.3.2.1. 

• Assign the fishery (or portion of a fishery) a dilution weight as indicated in table 4–13 (section 

4.1.2.3.1), except: do not assign a dilution weight of 0.5 for a “3-mile mixing zone in quiet flowing river”; 

instead assign a dilution weight based on the average annual flow. 

If PF is less than 1, do not round it to the nearest integer; if PF is 1 or more, round to the nearest integer. 

Enter the value assigned in table 4–1. 

4.1.3.3.2.4 Calculation of population factor value. Sum the values for the Level I concentrations, Level 

II concentrations, and potential human food chain contamination factors for the watershed. Do not round 

this sum to the nearest integer. Assign it as the population factor value for the watershed. Enter this 

value in table 4–1. 

4.1.3.3.3 Calculation of human food chain threat-targets factor category value. Sum the food chain 

individual and population factor values for the watershed. Do not round this sum to the nearest integer. 

Assign it as the human food chain threat-targets factor category value for the watershed. Enter this value 

in table 4–1. 

4.1.3.4 Calculation of human food chain threat score for a watershed. Multiply the human food chain 

threat factor category values for likelihood of release, waste characteristics, and targets for the 

watershed, and round the product to the nearest integer. Then divide by 82,500. Assign the resulting 

value, subject to a maximum of 100, as the human food chain threat score for the watershed. Enter this 

score in table 4–1. 

4.1.4 Environmental threat. Evaluate the environmental threat for the watershed based on three factor 

categories: likelihood of release, waste characteristics, and targets. 

4.1.4.1 Environmental threat-likelihood of release. Assign the same likelihood of release factor category 

value for the environmental threat for the watershed as would be assigned in section 4.1.2.1.3 for the 

drinking water threat. Enter this value in table 4–1. 

4.1.4.2 Environmental threat-waste characteristics. Evaluate the waste characteristics factor category 

for each watershed based on two factors: ecosystem toxicity/persistence/bioaccumulation and 

hazardous waste quantity. 

4.1.4.2.1 Ecosystem toxicity/persistence/bioaccumulation. Evaluate all those hazardous substances 

eligible to be evaluated for toxicity/persistence in the drinking water threat for the watershed (see section 

4.1.2.2). 

4.1.4.2.1.1 Ecosystem toxicity. Assign an ecosystem toxicity factor value from Table 4–19 to each 

hazardous substance on the basis of the following data hierarchy: 

• EPA chronic Ambient Water Quality Criterion (AWQC) for the substance. 

Greater than 109 3,100,000

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• EPA chronic Ambient Aquatic Life Advisory Concentrations (AALAC) for the substance. 

• EPA acute AWQC for the substance. 

• EPA acute AALAC for the substance. 

• Lowest LC50value for the substance.

In assigning the ecosystem toxicity factor value to the hazardous substance: 

• If either an EPA chronic AWQC or AALAC is available for the hazardous substance, use it to assign 

the ecosystem toxicity factor value. Use the chronic AWQC in preference to the chronic AALAC when 

both are available. 

• If neither is available, use the EPA acute AWQC or AALAC to assign the ecosystem toxicity factor 

value. Use the acute AWQC in preference to the acute AALAC. 

• If none of the chronic and acute AWQCs and AALACs is available, use the lowest LC50value to assign 

the ecosystem toxicity factor value. 

• If an LC50value is also not available, assign an ecosystem toxicity factor value of 0 to the hazardous 

substance and use other hazardous substances for which data are available in evaluating the pathway. 

If an ecosystem toxicity factor value of 0 is assigned to all hazardous substances eligible to be evaluated 

for the watershed (that is, insufficient data are available for evaluating all the substances), use a default 

value of 100 as the ecosystem toxicity factor value for all these hazardous substances. 

With regard to the AWQC, AALAC, or LC50selected for assigning the ecosystem toxicity factor value to 

the hazardous substance: 

• If values for the selected AWQC, AALAC, or LC50are available for both fresh water and marine water 

for the hazardous substance, use the value that corresponds to the type of water body (that is, fresh 

water or salt water) in which the sensitive environments are located to assign the ecosystem toxicity 

factor value to the hazardous substance. 

• If, however, some of the sensitive environments being evaluated are in fresh water and some are in 

salt water, or if any are in brackish water, use the value (fresh water or marine) that yields the higher 

factor value to assign the ecosystem toxicity factor value to the hazardous substance. 

• If a value for the selected AWQC, AALAC, or LC50is available for either fresh water or marine water, 

but not for both, use the available one to assign an ecosystem toxicity factor value to the hazardous 

substance. 

Table 4–19—Ecosystem Toxicity Factor Values 

If an EPA chronic AWQCaor AALACbis available, assign a value as follows:c

EPA chronic AWQC or AALAC Assigned value

Less than 1 μg/l 10,000

1 to 10 μg/l 1,000

Greater than 10 to 100 μg/l 100

Greater than 100 to 1,000 μg/l 10

Greater than 1,000 μg/l 1

If neither an EPA chronic AWQC nor EPA chronic AALAC is available, 

assign a value based on the EPA acute AWQC or AALAC as follows:c

EPA acute AWQC or AALAC Assigned value

Less than 100 μg/l 10,000

100 to 1,000 μg/l 1,000

Greater than 1,000 to 10,000 μg/l 100

Greater than 10,000 to 100,000 μg/l 10

Greater than 100,000 μg/l 1

If neither an EPA chronic or acute AWQC nor EPA chronic or acute 

AALAC is available, assign a value from the LC50as follows:

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aAWQC—Ambient Water Quality Criteria.

bAALAC—Ambient Aquatic Life Advisory Concentrations.

cUse the AWQC value in preference to the AALAC when both are available. See text for use of fresh 

water and marine values. 

4.1.4.2.1.2 Persistence. Assign a persistence factor value to each hazardous substance as specified in 

section 4.1.2.2.1.2, except: use the predominant water category (that is lakes; or rivers, oceans, coastal 

tidal waters, or Great Lakes) between the probable point of entry and the nearest sensitive environment 

(not the nearest drinking water or resources intake) along the hazardous substance migration path for 

the watershed to determine which portion of table 4–10 to use. Determine the predominant water 

category based on distance as specified in section 4.1.2.2.1.2. For contaminated sediments with no 

identified source, use the point where measurement begins rather than the probable point of entry. 

4.1.4.2.1.3 Ecosystem bioaccumulation potential. Assign an ecosystem bioaccumulation potential 

factor value to each hazardous substance in the same manner specified for the bioaccumulation 

potential factor in section 4.1.3.2.1.3, except: 

• Use BCF data for all aquatic organisms, not just for aquatic human food chain organisms. 

• Use the BCF data that corresponds to the type of water body (that is, fresh water or salt water) in 

which the sensitive environments (not fisheries) are located. 

4.1.4.2.1.4 Calculation of ecosystem toxicity/persistence/bioaccumulation factor value. Assign each 

hazardous substance an ecosystem toxicity/persistence factor value from table 4–20, based on the 

values assigned to the hazardous substance for the ecosystem toxicity and persistence factors. Then 

assign each hazardous substance an ecosystem toxicity/persistence/bioaccumulation factor value from 

table 4–21, based on the values assigned for the ecosystem toxicity/persistence and ecosystem 

bioaccumulation potential factors. Select the hazardous substance with the highest ecosystem 

toxicity/persistence/bioaccumulation factor value for the watershed and use it to assign the value to this 

factor. Enter this value in table 4–1. 

Table 4–20—Ecosystem Toxicity/Persistence Factor Valuesa

aDo not round to nearest integer.

Table 4–21—Ecosystem Toxicity/Persistence/Bioaccumulation Factor Valuesa

LC50 Assigned value

Less than 100 μg/l 10,000

100 to 1,000 μg/l 1,000

Greater than 1,000 to 10,000 μg/l 100

Greater than 10,000 to 100,000 μg/l 10

Greater than 100,000 μg/l 1

If none of the AWQCs and AALACs nor the LC50is available, assign a 

value of 0.

Persistence factor value

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

Ecosystem toxicity 

persistence factor 

value

Ecosystem bioaccumulation potential 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

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aDo not round to nearest integer.

4.1.4.2.2 Hazardous waste quantity. Assign the same factor value for hazardous waste quantity for the 

watershed as would be assigned in section 4.1.2.2.2 for the drinking water threat. Enter this value in 

table 4–1. 

4.1.4.2.3 Calculation of environmental threat-waste characteristics factor category value. For the 

hazardous substance selected for the watershed in section 4.1.4.2.1.4, use its ecosystem 

toxicity/persistence factor value and ecosystem bioaccumulation potential factor value as follows to 

assign a value to the waste characteristics factor category. First, multiply the ecosystem 

toxicity/persistence factor value and the hazardous waste quantity factor value for the watershed, 

subject to a maximum product of 1×108 . Then multiply this product by the ecosystem bioaccumulation 

potential factor value for this hazardous substance, subject to a maximum product of 1×1012 . Based on 

this second product, assign a value from Table 2–7 (section 2.4.3.1) to the environmental threat-waste 

characteristics factor category for the watershed. Enter this value in table 4–1. 

Table 4–22—Ecological-Based Benchmarks for Hazardous Substances in Surface Water 

• Concentration corresponding to EPA Ambient Water Quality Criteria (AWQC) for protection of aquatic 

life (fresh water or marine). 

• Concentration corresponding to EPA Ambient Aquatic Life Advisory Concentrations (AALAC). 

• Select the appropriate AWQC and AALAC as follows: 

–Use chronic value, if available; otherwise use acute value.–If the sensitive environment being evaluated 

is in fresh water, use fresh water value, except: if no fresh water value is available, use marine value if 

available.–If the sensitive environment being evaluated is in salt water, use marine value, except: if no 

marine value is available, use fresh water value if available.–If the sensitive environment being 

evaluated is in both fresh water and salt water, or is in brackish water, use lower of fresh water or marine 

values. 

Table 4–23—Sensitive Environments Rating Values 

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 00 0

Sensitive environment

Assigned 

value

Critical habitatafor Federal designated endangered or threatened 

species

100

Marine Sanctuary

National Park

Designated Federal Wilderness Area

Areas identified under Coastal Zone Management Actb

Sensitive areas identified under National Estuary Programcor 

Near Coastal Waters Programd

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aCritical habitat as defined in 50 CFR 424.02.

bAreas identified in State Coastal Zone Management plans as requiring protection because of ecological 

value. 

cNational Estuary Program study areas (subareas within estuaries) identified in Comprehensive 

Conservation and Management Plans as requiring protection because they support critical life stages of 

key estuarine species (Section 320 of Clean Water Act, as amended). 

dNear Coastal Waters as defined in Sections 104(b)(3), 304(1), 319, and 320 of Clean Water Act, as 

amended. 

eClean 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.

gLimit to areas described as being used for intense or concentrated spawning by a given species.

hFor the air migration pathway, limit to terrestrial vertebrate species. For the surface water migration 

pathway, limit to terrestrial vertebrate species with aquatic or semiaquatic foraging habits. 

i

Areas designated under Section 305(a) of Clean Water Act, as amended.

Critical areas identified under the Clean Lakes Programe

National Monumentf

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 criticalgfor 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 animalsh

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 

lifei

5

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Table 4–24—Wetlands Rating Values for Surface Water Migration Pathway 

aWetlands as defined in 40 CFR section 230.3.

4.1.4.3 Environmental threat-targets. Evaluate the environmental threat-targets factor category for a 

watershed using one factor: sensitive environments. 

4.1.4.3.1 Sensitive environments. Evaluate sensitive environments along the hazardous substance 

migration path for the watershed based on three factors: Level I concentrations, Level II concentrations, 

and potential contamination. 

Determine which factor applies to each sensitive environment as specified in section 4.1.2.3, except: use 

ecological-based benchmarks (Table 4–22) rather than health-based benchmarks (Table 3–10) in 

determining the level of contamination from samples. In determining the level of actual contamination, 

use a point of direct observation anywhere within the sensitive environment or samples (that is, surface 

water, benthic, or sediment samples) taken anywhere within or beyond the sensitive environment (or 

anywhere adjacent to or beyond the sensitive environment if it is contiguous to the migration path). 

4.1.4.3.1.1 Level I concentrations. Assign value(s) from table 4–23 to each sensitive environment 

subject to Level I concentrations. 

For those sensitive environments that are wetlands, assign an additional value from table 4–24. In 

assigning a value from table 4–24, include only those portions of wetlands located along the hazardous 

substance migration path in the area of Level I concentrations. If a wetland is located partially along the 

area of Level I concentrations and partially along the area of Level II concentrations and/or potential 

contamination, then solely for purposes of table 4–24, count the portion(s) along the areas of Level II 

concentrations or potential contamination under the Level II concentrations factor (section 4.1.4.3.1.2) or 

potential contamination factor (section 4.1.4.3.1.3), as appropriate. 

Estimate the total length of wetlands along the hazardous substance migration path (that is, wetland 

frontage) in the area of Level I concentrations and assign a value from table 4–24 based on this total 

length. Estimate this length as follows: 

• For an isolated wetland or for a wetland where the probable point of entry to surface water is in the 

wetland, use the perimeter of that portion of the wetland subject to Level I concentrations as the length. 

• For rivers, use the length of the wetlands contiguous to the in-water segment of the hazardous 

substance migration path (that is, wetland frontage). 

• For lakes, oceans, coastal tidal waters, and Great Lakes, use the length of the wetlands along the 

shoreline within the target distance limit (that is, wetland frontage along the shoreline). 

Calculate the Level I concentrations factor value (SH) for the watershed as follows: 

where: 

WH=Value assigned from table 4–24 to wetlands along the area of Level I concentrations. 

Si

=Value(s) assigned from table 4–23 to sensitive environment i.

n=Number of sensitive environments from table 4–23 subject to Level I concentrations. 

Total length of wetlandsa(miles) Assigned value

Less than 0.1 0

0.1 to 1 25

Greater than 1 to 2 50

Greater than 2 to 3 75

Greater than 3 to 4 100

Greater than 4 to 8 150

Greater than 8 to 12 250

Greater than 12 to 16 350

Greater than 16 to 20 450

Greater than 20 500

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Enter the value assigned in table 4–1. 

4.1.4.3.1.2 Level II concentrations. Assign value(s) from table 4–23 to each sensitive environment 

subject to Level II concentrations. Do not include sensitive environments already counted for table 4–23 

under the Level I concentrations factor for this watershed. 

For those sensitive environments that are wetlands, assign an additional value from table 4–24. In 

assigning a value from table 4–24, include only those portions of wetlands located along the hazardous 

substance migration path in the area of Level II concentrations, as specified in section 4.1.4.3.1.1. 

Estimate the total length of wetlands along the hazardous substance migration path (that is, wetland 

frontage) in the area of Level II concentrations and assign a value from table 4–24 based on this total 

length. Estimate this length as specified in section 4.1.4.3.1.1, except: for an isolated wetland or for a 

wetland where the probable point of entry to surface water is in the wetland, use the perimeter of that 

portion of the wetland subject to Level II (not Level I) concentrations as the length. 

Calculate the Level II concentrations value (SL) for the watershed as follows: 

where: 

WL=Value assigned from table 4–24 to wetlands along the area of Level II concentrations. 

Si

=Value(s) assigned from table 4–23 to sensitive environment i.

n=Number of sensitive environments from table 4–23 subject to Level II concentrations. 

Enter the value assigned in table 4–1. 

4.1.4.3.1.3 Potential contamination. Assign value(s) from table 4–23 to each sensitive environment 

subject to potential contamination. Do not include sensitive environments already counted for table 4–23 

under the Level I or Level II concentrations factors. 

For each type of surface water body in table 4–13 (section 4.1.2.3.1), sum the value(s) assigned from 

table 4–23 to the sensitive environments along that type of surface water body, except: do not use the 

surface water body type “3-mile mixing zone in quiet flowing river.” If a sensitive environment is along 

two or more types of surface water bodies (for example, Wildlife Refuge contiguous to both a moderate 

stream and a large river), assign the sensitive environment only to that surface water body type having 

the highest dilution weight value from table 4–13. 

For those sensitive environments that are wetlands, assign an additional value from table 4–24. In 

assigning a value from table 4–24, include only those portions of wetlands located along the hazardous 

substance migration path in the area of potential contamination, as specified in section 4.1.4.3.1.1. 

Aggregate these wetlands by type of surface water body, except: do not use the surface water body type 

“3-mile mixing zone in quiet flowing river.” Treat the wetlands aggregated within each type of surface 

water body as separate sensitive environments solely for purposes of applying table 4–24. Estimate the 

total length of the wetlands within each surface water body type as specified in section 4.1.4.3.1.1, 

except: for an isolated wetland or for a wetland where the probable point of entry to surface water is in 

the wetland, use the perimeter of that portion of the wetland subject to potential contamination (or the 

portion of that perimeter that is within the target distance limit) as the length. Assign a separate value 

from table 4–24 for each type of surface water body in the watershed. 

Calculate the potential contamination factor value (SP) for the watershed as follows: 

where: 

Sij=Value(s) assigned from table 4–23 to sensitive environment i in surface water body type j.

n=Number of sensitive environments from table 4–23 subject to potential contamination. 

Wj

=Value assigned from table 4–24 for wetlands along the area of potential contamination in surface 

water body type j. 

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Dj

=Dilution weight from table 4–13 for surface water body type j.

m=Number of different surface water body types from table 4–13 in the watershed. 

If SP is less than 1, do not round it to the nearest integer; if SP is 1 or more, round to the nearest 

integer. Enter this value for the potential contamination factor in table 4–1. 

4.1.4.3.1.4 Calculation of environmental threat-targets factor category value. Sum the values for the 

Level I concentrations, Level II concentrations, and potential contamination factors for the watershed. Do 

not round this sum to the nearest integer. Assign this sum as the environmental threat-targets factor 

category value for the watershed. Enter this value in table 4–1. 

4.1.4.4 Calculation of environmental threat score for a watershed. Multiply the environmental threat 

factor category values for likelihood of release, waste characteristics, and targets for the watershed, and 

round the product to the nearest integer. Then divide by 82,500. Assign the resulting value, subject to a 

maximum of 60, as the environmental threat score for the watershed. Enter this score in table 4–1. 

4.1.5 Calculation of overland/flood migration component score for a watershed. Sum the scores for the 

three threats for the watershed (that is, drinking water, human food chain, and environmental threats). 

Assign the resulting score, subject to a maximum value of 100, as the surface water overland/flood 

migration component score for the watershed. Enter this score in table 4–1. 

4.1.6 Calculation of overland/flood migration component score. Select the highest surface water 

overland/flood migration component score from the watersheds evaluated. Assign this score as the 

surface water overland/flood migration component score for the site, subject to a maximum score of 100. 

Enter this score in table 4–1. 

4.2 Ground water to surface water migration component. Use the ground water to surface water 

migration component to evaluate surface water threats that result from migration of hazardous 

substances from a source at the site to surface water via ground water. Evaluate three types of threats 

for this component: drinking water threat, human food chain threat, and environmental threat. 

4.2.1 General considerations. 

4.2.1.1 Eligible surface waters. Calculate ground water to surface water migration component scores 

only for surface waters (see section 4.0.2) for which all the following conditions are met: 

• A portion of the surface water is within 1 mile of one or more sources at the site having a containment 

factor value greater than 0 (see section 4.2.2.1.2). 

• No aquifer discontinuity is established between the source and the portion of the surface water within 1 

mile of the source (see section 3.0.1.2.2). However, if hazardous substances have migrated across an 

apparent discontinuity within this 1 mile distance, do not consider a discontinuity present in scoring the 

site. 

• The top of the uppermost aquifer is at or above the bottom of the surface water. 

Do not evaluate this component for sites consisting solely of contaminated sediments with no identified 

source. 

4.2.1.2 Definition of hazardous substance migration path for ground water to surface water migration 

component. The hazardous substance migration path includes both the ground water segment and the 

surface water in-water segment that hazardous substances would take as they migrate away from 

sources at the site: 

• Restrict the ground water segment to migration via the uppermost aquifer between a source and the 

surface water. 

• Begin the surface water in-water segment at the probable point of entry from the uppermost aquifer to 

the surface water. Identify the probable point of entry as that point of the surface water that yields the 

shortest straight-line distance, within the aquifer boundary (see section 3.0.1.2), from the sources at the 

site with a containment factor value greater than 0 to the surface water. 

–For rivers, continue the in-water segment in the direction of flow (including any tidal flows) for the 

distance established by the target distance limit (see section 4.2.1.4).–For lakes, oceans, coastal tidal 

waters, or Great Lakes, do not consider flow direction. Instead apply the target distance limit as an arc.–

If the in-water segment includes both rivers and lakes (or oceans, coastal tidal waters, or Great Lakes), 

apply the target distance limit to their combined in-water segments. 

Consider a site to be in two or more watersheds for this component if two or more hazardous substance 

migration paths from the sources at the site do not reach a common point within the target distance limit. 

If the site is in more than one watershed, define a separate hazardous substance migration path for 

each watershed. Evaluate the ground water to surface water migration component for each watershed 

separately as specified in section 4.2.1.5. 

4.2.1.3 Observed release of a specific hazardous substance to surface water in-water segment. 

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Section 4.2.2.1.1 specifies the criteria for assigning values to the observed release factor for the ground 

water to surface water migration component. With regard to an individual hazardous substance, consider 

an observed release of that hazardous substance to be established for the surface water in-water 

segment of the ground water to surface water migration component only when the hazardous substance 

meets the criteria both for an observed release both to ground water (see section 4.2.2.1.1) and for an 

observed release by chemical analysis to surface water (see section 4.1.2.1.1). 

If the hazardous substance meets the section 4.1.2.1.1 criteria for an observed release by chemical 

analysis to surface water but does not also meet the criteria for an observed release to ground water, do 

not use any samples of that hazardous substance from the surface water in-water segment in evaluating 

the factors of this component (for example, do not use the hazardous substance in establishing targets 

subject to actual contamination or in determining the level of actual contamination for a target). 

4.2.1.4 Target distance limit. Determine the target distance limit for each watershed as specified in 

section 4.1.1.2, except: do not extend the target distance limit to a sample location beyond 15 miles 

unless at least one hazardous substance in a sample from that location meets the criteria in section 

4.2.1.3 for an observed release to the surface water in-water segment. 

Determine the targets eligible to be evaluated for each watershed and establish whether these targets 

are subject to actual or potential contamination as specified in section 4.1.1.2, except: do not establish 

actual contamination based on a sample location unless at least one hazardous substance in a sample 

from that location meets the criteria in section 4.2.1.3 for an observed release to the surface water inwater segment. 

4.2.1.5 Evaluation of ground water to surface water migration component. Evaluate the drinking water 

threat, human food chain threat, and environmental threat for each watershed for this component based 

on three factor categories: likelihood of release, waste characteristics, and targets. Figure 4–2 indicates 

the factors included within each factor category for each type of threat. 

View or download PDF 

Determine the ground water to surface water migration component score (Sgs) for a watershed in terms 

of the factor category values as follows: 

where: 

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LRi

=Likelihood of release factor category value for threat i (that is, drinking water, human food chain, or 

environmental threat). 

WCi

=Waste characteristics factor category value for threat i.

Ti

=Targets factor category value for threat i.

SF=Scaling factor. 

Table 4–25 outlines the specific calculation procedure. 

If the site is in only one watershed, assign the ground water to surface water migration component score 

for that watershed as the ground water to surface water migration component score for the site. 

If the site is in more than one watershed: 

• Calculate a separate ground water to surface water migration component score for each watershed, 

using likelihood of release, waste characteristics, and targets applicable to each watershed. 

• Select the highest ground water to surface water migration component score from the watersheds 

evaluated and assign it as the ground water to surface water migration component score for the site. 

Table 4–25—Ground Water to Surface Water Migration Component Scoresheet 

Factor categories and factors

Maximum 

value

Value 

assigned

Drinking Water Threat

Likelihood of Release to Aquifer:

1. Observed Release 550 ___ 

2. Potential to Release:

2a. Containment 10 ___ 

2b. Net Precipitation 10 ___ 

2c. Depth to Aquifer 5 ___ 

2d. Travel Time 35 ___ 

2e. Potential to Release (lines 2a

[2b+2c+2d])

500 ___ 

3. Likelihood of Release (higher of lines 1 and 

2e)

550 ___ 

Waste Characteristics:

4. Toxicity/Mobility/Persistence (a) ___ 

5. Hazardous Waste Quantity (a) ___ 

6. Waste Characteristics 100 ___ 

Targets:

7. Nearest Intake 50 ___ 

8. Population

8a. Level I Concentrations (b) ___ 

8b. Level II Concentrations (b) ___ 

8c. Potential Contamination (b) ___ 

8d. Population (lines 8a + 8b + 8c) ___ 

9. Resources 5 ___ 

10. Targets (lines 7 + 8d + 9) (b) ___ 

Drinking Water Threat Score:

11. Drinking Water Threat Score ([lines 

3×6×10]/82,500, subject to a maximum of 100)

100 ___ 

Human Food Chain Threat

Likelihood of Release:

12. Likelihood of Release (same value as line 

3)

550 ___ 

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aMaximum value applies to waste characteristics category.

bMaximum value not applicable.

cDo not round to nearest integer.

4.2.2 Drinking water threat. Evaluate the drinking water threat for each watershed based on three factor 

Waste Characteristics:

13. 

Toxicity/Mobility/Persistence/Bioaccumulation

(a) ___ 

14. Hazardous Waste Quantity (a) ___ 

15. Waste Characteristics 1,000 ___ 

Targets:

16. Food Chain Individual 50 ___ 

17. Population:

17a. Level I Concentrations (b) ___ 

17b. Level II Concentrations (b) ___ 

17c. Potential Human Food Chain 

Contamination

(b) ___ 

17d. Population (lines 17a + 17b + 

17c)

(b) ___ 

18. Targets (Lines 16 + 17d) (b) ___ 

Human Food Chain Threat Score:

19. Human Food Chain Threat Score ([lines 

12×15×18]/82,500, subject to a maximum of 

100)

100 ___ 

Environmental Threat

Likelihood of Release:

20. Likelihood of Release (same value as line 

3)

550 ___ 

Waste Characteristics:

21. Ecosystem 

Toxicity/Mobility/Persistence/Bioaccumulation

(a) ___ 

22. Hazardous Waste Quantity (a) ___ 

23. Waste Characteristics 1,000 ___ 

Targets:

24. Sensitive Environments:

24a. Level I Concentrations (b) ___ 

24b. Level II Concentrations (b) ___ 

24c. Potential Contamination (b) ___ 

24d. Sensitive Environments (lines 

24a + 24b + 24c)

(b) ___ 

25. Targets (value from line 24d) (b) ___ 

Environmental Threat Score:

26. Environmental Threat Score ([lines 

20×23×25]/82,500, subject to a maximum of 

60)

60 ___ 

Ground Water to Surface Water Migration 

Component Score for a Watershed

27. Watershed Scorec(lines 11 + 19 + 26, 

subject to a maximum of 100)

100 ___ 

28. Component Score (Sgs)

c(highest score 

from Line 27 for all watersheds evaluated, 

subject to a maximum of 100)

100 ___ 

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categories: likelihood of release, waste characteristics, and targets. 

4.2.2.1 Drinking water threat-likelihood of release. Evaluate the likelihood of release factor category for 

each watershed in terms of an observed release factor or a potential to release factor. 

4.2.2.1.1 Observed release. Establish an observed release to the uppermost aquifer as specified in 

section 3.1.1. If an observed release can be established for the uppermost aquifer, assign an observed 

release factor value of 550 to that watershed, enter this value in table 4–25, and proceed to section 

4.2.2.1.3. If no observed release can be established, assign an observed release factor value of 0, enter 

this value in table 4–25, and proceed to section 4.2.2.1.2. 

4.2.2.1.2 Potential to release. Evaluate potential to release only if an observed release cannot be 

established for the uppermost aquifer. Calculate a potential to release value for the uppermost aquifer as 

specified in section 3.1.2 and sections 3.1.2.1 through 3.1.2.5. Assign the potential to release value for 

the uppermost aquifer as the potential to release factor value for the watershed. Enter this value in table 

4–25. 

4.2.2.1.3 Calculation of drinking water threat-likelihood of release factor category value. If an observed 

release is established for the uppermost aquifer, assign the observed release factor value of 550 as the 

likelihood of release factor category value for the watershed. Otherwise, assign the potential to release 

factor value as the likelihood of release factor category value for the watershed. Enter the value 

assigned in table 4–25. 

4.2.2.2 Drinking water threat-waste characteristics. Evaluate the waste characteristics factor category 

for each watershed based on two factors: toxicity/mobility/persistence and hazardous waste quantity. 

Evaluate only those hazardous substances available to migrate from the sources at the site to the 

uppermost aquifer (see section 3.2). Such hazardous substances include: 

• Hazardous substances that meet the criteria for an observed release to ground water. 

• All hazardous substances associated with a source that has a ground water containment factor value 

greater than 0 (see sections 2.2.2, 2.2.3, and 3.1.2.1). 

4.2.2.2.1 Toxicity/mobility/persistence. For each hazardous substance, assign a toxicity factor value, a 

mobility factor value, a persistence factor value, and a combined toxicity/mobility/persistence factor 

value as specified in sections 4.2.2.2.1.1 through 4.2.2.2.1.4. 

4.2.2.2.1.1 Toxicity. Assign a toxicity factor value to each hazardous substance as specified in section 

2.4.1.1. 

4.2.2.2.1.2 Mobility. Assign a ground water mobility factor value to each hazardous substance as 

specified in section 3.2.1.2. 

4.2.2.2.1.3 Persistence. Assign a surface water persistence factor value to each hazardous substance 

as specified in section 4.1.2.2.1.2. 

4.2.2.2.1.4 Calculation of toxicity/mobility/persistence factor value. First, assign each hazardous 

substance a toxicity/mobility factor value from table 3–9 (section 3.2.1.3), based on the values assigned 

to the hazardous substance for the toxicity and mobility factors. Then assign each hazardous substance 

a toxicity/mobility/persistence factor value from table 4–26, based on the values assigned for the 

toxicity/mobility and persistence factors. Use the substance with the highest toxicity/mobility/ persistence 

factor value for the watershed to assign the value to this factor. Enter this value in table 4–25. 

4.2.2.2.2 Hazardous waste quantity. Assign the same factor value for hazardous waste quantity for the 

watershed as would be assigned for the uppermost aquifer in section 3.2.2. Enter this value in table 4–

25. 

4.2.2.2.3 Calculation of drinking water threat-waste characteristics factor category value. Multiply the 

toxicity/mobility/persistence and hazardous waste quantity factor values for the watershed, subject to a 

maximum product of 1×108 . Based on this product, assign a value from table 2–7 (section 2.4.3.1) to 

the drinking water threat-waste characteristics factor category for the watershed. Enter this value in table 

4–25. 

4.2.2.3 Drinking water threat-targets. Evaluate the targets factor category for each watershed based on 

three factors: nearest intake, population, and resources. 

Table 4–26—Toxicity/Mobility/Persistence Factor Valuesa

Toxicity/mobility factor value

Persistence 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

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aDo not round to nearest integer.

For the nearest intake and population factors, determine whether the target surface water intakes are 

subject to actual or potential contamination as specified in section 4.1.1.2, subject to the restrictions 

specified in sections 4.2.1.3 and 4.2.1.4. 

When the intake is subject to actual contamination, evaluate it using Level I concentrations or Level II 

concentrations. Determine which level applies for the intake by comparing the exposure concentrations 

from a sample (or comparable samples) to health-based benchmarks as specified in section 4.1.2.3, 

except use only those samples from the surface water in-water segment and only those hazardous 

substances in such samples that meet the conditions in sections 4.2.1.3 and 4.2.1.4. 

4.2.2.3.1 Nearest intake. Assign a value to the nearest intake factor as specified in section 4.1.2.3.1 

with the following modification. 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. Use the resulting product, not the value from 

table 4–13, as the dilution weight for the intake for the ground water to surface water component. Do not 

round this product to the nearest integer. 

Select the value from table 4–27 based on the angle Θ, the angle defined by the sources at the site and 

either the two points at the intersection of the surface water body and the 1-mile distance ring of any two 

other points of the surface water body within the 1-mile distance ring, whichever results in the largest 

angle. (See Figure 4–3 for an example of how to determine Θ.) If the surface water body does not 

extend to the 1-mile ring at one or both ends, define Θ using the surface water endpoint(s) within the 1-

mile ring or any two other points of the surface water body within the 1-mile distance ring, whichever 

results in the largest angle. 

Table 4–27—Dilution Weight Adjustments 

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 00 0 0

Angle Θ (degrees) Assigned valuea

0 0

Greater than 0 to 18 0.05

Greater than 18 to 54 0.1

Greater than 54 to 90 0.2

Greater than 90 to 126 0.3

Greater than 126 to 162 0.4

Greater than 162 to 198 0.5

Greater than 198 to 234 0.6

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aDo not round to nearest integer.

View or download PDF 

Table 4–28—Toxicity/Mobility/Persistence/Bioaccumulation Factor Valuesa

Greater than 234 to 270 0.7

Greater than 270 to 306 0.8

Greater than 306 to 342 0.9

Greater than 342 to 360 1.0

Toxicity/mobility/persistence 

factor value

Bioaccumlation potential 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

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

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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

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aDo not round to nearest integer.

4.2.2.3.2 Population. Evaluate the population factor for the watershed based on three factors: Level I 

concentrations, Level II concentrations, and potential contamination. Determine which factor applies to 

an intake as specified in section 4.2.2.3. Determine the population to be counted for that intake as 

specified in section 4.1.2.3.2, using the target distance limits in section 4.2.1.4 and the hazardous 

substance migration path in section 4.2.1.2. 

4.2.2.3.2.1 Level I concentrations. Assign a value to this factor as specified in section 4.1.2.3.2.2. 

4.2.2.3.2.2 Level II concentrations. Assign a value to this factor as specified in section 4.1.2.3.2.3. 

4.2.2.3.2.3 Potential contamination. For each applicable type of surface water body in table 4–14, 

determine the dilution-weighted population value as specified in section 4.1.2.3.2.4. Select the 

appropriate dilution weight adjustment value from table 4–27 as specified in section 4.2.2.3.1. 

Calculate the value for the potential contamination factor (PC) for the watershed as follows: 

where: 

A=Dilution weight adjustment value from table 4–27. 

Wi

=Dilution-weighted population from table 4–14 for surface water body type i.

n=Number of different surface water body types in the watershed. 

If PC is less than 1, do not round it to the nearest integer; if PC is 1 or more, round to the nearest 

integer. Enter the value in table 4–25. 

4.2.2.3.2.4 Calculation of population factor value. Sum the factor values for Level I concentrations, 

Level II concentrations, and potential contamination. Do not round this sum to the nearest integer. 

Assign this sum as the population factor value for the watershed. Enter this value in table 4–25. 

4.2.2.3.3 Resources. Assign a value to the resources factor as specified in section 4.1.2.3.3. 

4.2.2.3.4 Calculation of drinking water threat-targets factor category value. Sum the nearest intake, 

population, and resources factor values for the watershed. Do not round this sum to the nearest integer. 

Assign this sum as the drinking water threat-targets factor category value for the watershed. Enter this 

value in table 4–25. 

4.2.2.4 Calculation of drinking water threat score for a watershed. Multiply the drinking water threat 

factor category values for likelihood of release, waste characteristics, and targets for the watershed, and 

round the product to the nearest integer. Then divide by 82,500. Assign the resulting value, subject to a 

maximum of 100, as the drinking water threat score for the watershed. Enter this score in table 4–25. 

4.2.3 Human food chain threat. Evaluate the human food chain threat for a watershed based on three 

factor categories: likelihood of release, waste characteristics, and targets. 

4.2.3.1 Human food chain threat-likelihood of release. Assign the same likelihood of release factor 

category value for the human food chain threat for the watershed as would be assigned in section 

4.2.2.1.3 for the drinking water threat. Enter this value in table 4–25. 

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 000000

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4.2.3.2 Human food chain threat-waste characteristics. Evaluate the waste characteristics factor 

category for each watershed based on two factors: toxicity/mobility/persistence/bioaccumulation and 

hazardous waste quantity. 

4.2.3.2.1 Toxicity/mobility/persistence/bioaccumulation. Evaluate all those hazardous substances 

eligible to be evaluated for toxicity/mobility/persistence in the drinking water threat for the watershed 

(see section 4.2.2.2.1). 

4.2.3.2.1.1 Toxicity. Assign a toxicity factor value to each hazardous substance as specified in section 

2.4.1.1. 

4.2.3.2.1.2 Mobility. Assign a ground water mobility factor value to each hazardous substance as 

specified for the drinking water threat (see section 4.2.2.2.1.2). 

4.2.3.2.1.3 Persistence. Assign a surface water persistence factor value to each hazardous substance 

as specified for the drinking water threat (see section 4.2.2.2.1.3), except: use the predominant water 

category (that is, lakes; or rivers, oceans, coastal tidal waters, or Great Lakes) between the probable 

point of entry and the nearest fishery (not the nearest drinking water or resources intake) along the 

hazardous substance migration path for the watershed to determine which portion of table 4–10 to use. 

Determine the predominant water category based on distance as specified in section 4.1.2.2.1.2. 

4.2.3.2.1.4 Bioaccumulation potential. Assign a bioaccumulation potential factor value to each 

hazardous substance as specified in section 4.1.3.2.1.3. 

4.2.3.2.1.5 Calculation of toxicity/mobility/persistence/ bioaccumulation factor value. Assign each 

hazardous substance a toxicity/mobility factor value from table 3–9 (section 3.2.1.3), based on the 

values assigned to the hazardous substance for the toxicity and mobility factors. Then assign each 

hazardous substance a toxicity/mobility/persistence factor value from table 4–26, based on the values 

assigned for the toxicity/mobility and persistence factors. Then assign each hazardous substance a 

toxicity/mobility/persistence/bioaccumulation factor value from table 4–28. Use the substance with the 

highest toxicity/mobility/persistence/bioaccumulation factor value for the watershed to assign the value 

to this factor for the watershed. Enter this value in table 4–25. 

4.2.3.2.2 Hazardous waste quantity. Assign the same factor value for hazardous waste quantity for the 

watershed as would be assigned in section 4.2.2.2.2 for the drinking water threat. Enter this value in 

table 4–25. 

4.2.3.2.3 Calculation of human food chain threat-waste characteristics factor category value. For the 

hazardous substance selected for the watershed in section 4.2.3.2.1.5, use its toxicity/mobility/ 

persistence factor value and bioaccumulation potential factor value as follows to assign a value to the 

waste characteristics factor category. First, multiply the toxicity/mobility/persistence factor value and the 

hazardous waste quantity factor value for the watershed, subject to a maximum product of 1×108 . Then 

multiply this product by the bioaccumulation potential factor value for this hazardous substance, subject 

to a maximum product of 1×1012 . Based on this second product, assign a value from table 2–7 (section 

2.4.3.1) to the human food chain threat-waste characteristics factor category for the watershed. Enter 

this value in table 4–25. 

4.2.3.3 Human food chain threat-targets. Evaluate two target factors for the watershed: food chain 

individual and population. 

For both factors, determine whether the target fisheries are subject to Level I concentrations, Level II 

concentrations, or potential human food chain contamination. Determine which applies to each fishery 

(or portion of a fishery) as specified in section 4.1.3.3, subject to the restrictions specified in sections 

4.2.1.3 and 4.2.1.4. 

4.2.3.3.1 Food chain individual. Assign a value to the food chain individual factor as specified in section 

4.1.3.3.1 with the following modification. When a dilution weight is used, multiply the appropriate dilution 

weight from table 4–13 by the adjustment value selected from table 4–27, as specified in section 

4.2.2.3.1. Use the resulting product, not the value from table 4–13, as the dilution weight in assigning the 

factor value. Do not round this product to the nearest integer. Enter the value assigned in table 4–25. 

4.2.3.3.2 Population. Evaluate the population factor for the watershed based on three factors: Level I 

concentrations, Level II concentrations, and potential human food chain contamination. Determine which 

of these factors is to be applied to each fishery as specified in section 4.2.3.3. 

4.2.3.3.2.1 Level I concentrations. Assign a value to this factor as specified in section 4.1.3.3.2.1. Enter 

this value in table 4–25. 

4.2.3.3.2.2 Level II concentrations. Assign a value to this factor as specified in section 4.1.3.3.2.2. 

Enter this value in table 4–25. 

4.2.3.3.2.3 Potential human food chain contamination. Assign a value to this factor as specified in 

section 4.1.3.3.2.3 with the following modification. For each fishery being evaluated, multiply the 

appropriate dilution weight for that fishery from table 4–13 by the adjustment value selected from table 

4–27, as specified in section 4.2.2.3.1. Use the resulting product, not the value from table 4–13, as the 

dilution weight for the fishery. Do not round this product to the nearest integer. Enter the value assigned 

in table 4–25. 

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4.2.3.3.2.4 Calculation of population factor value. Sum the factor values for Level I concentrations, 

Level II concentrations, and potential human food chain contamination for the watershed. Do not round 

this sum to the nearest integer. Assign this sum as the population factor value for the watershed. Enter 

this value in table 4–25. 

4.2.3.3.3 Calculation of human food chain threat-targets factor category value. Sum the food chain 

individual and population factor values for the watershed. Do not round this sum to the nearest integer. 

Assign this sum as the human food chain threat-targets factor category value for the watershed. Enter 

this value in table 4–25. 

4.2.3.4 Calculation of human food chain threat score for a watershed. Multiply the human food chain 

threat factor category values for likelihood of release, waste characteristics, and targets for the 

watershed, and round the product to the nearest integer. Then divide by 82,500. Assign the resulting 

value, subject to a maximum of 100, as the human food chain threat score for the watershed. Enter this 

score in table 4–25. 

4.2.4 Environmental threat. Evaluate the environmental threat for the watershed based on three factor 

categories: likelihood of release, waste characteristics, and targets. 

4.2.4.1 Environmental threat-likelihood of release. Assign the same likelihood of release factor category 

value for the environmental threat for the watershed as would be assigned in section 4.2.2.1.3 for the 

drinking water threat. Enter this value in table 4–25. 

4.2.4.2 Environmental threat-waste characteristics. Evaluate the waste characteristics factor category 

for each watershed based on two factors: ecosystem toxicity/mobility/persistence/bioaccumulation and 

hazardous waste quantity. 

4.2.4.2.1 Ecosystem toxicity/mobility/persistence/bioaccumulation. Evaluate all those hazardous 

substances eligible to be evaluated for toxicity/mobility/persistence in the drinking water threat for the 

watershed (see section 4.2.2.2.1). 

4.2.4.2.1.1 Ecosystem toxicity. Assign an ecosystem toxicity factor value to each hazardous substance 

as specified in section 4.1.4.2.1.1. 

4.2.4.2.1.2 Mobility. Assign a ground water mobility factor value to each hazardous substance as 

specified in section 4.2.2.2.1.2 for the drinking water threat. 

4.2.4.2.1.3 Persistence. Assign a surface water persistence factor value to each hazardous substance 

as specified in section 4.2.2.2.1.3 for the drinking water threat, except: use the predominant water 

category (that is, lakes; or rivers, oceans, coastal tidal waters, or Great Lakes) between the probable 

point of entry and the nearest sensitive environment (not the nearest drinking water or resources intake) 

along the hazardous substance migration path for the watershed to determine which portion of table 4–

10 to use. Determine the predominant water category based on distance as specified in section 

4.1.2.2.1.2. 

4.2.4.2.1.4 Ecosystem bioaccumulation potential. Assign an ecosystem bioaccumulation potential 

factor value to each hazardous substance as specified in section 4.1.4.2.1.3. 

4.2.4.2.1.5 Calculation of ecosystem toxicity/mobility/persistence/ bioaccumulation factor value. Assign 

each hazardous substance an ecosystem toxicity/mobility factor value from table 3–9 (section 3.2.1.3), 

based on the values assigned to the hazardous substance for the ecosystem toxicity and mobility 

factors. Then assign each hazardous substance an ecosystem toxicity/mobility/persistence factor value 

from table 4–29, based on the values assigned for the ecosystem toxicity/mobility and persistence 

factors. Then assign each hazardous substance an ecosystem 

toxicity/mobility/persistence/bioaccumulation factor value from table 4–30, based on the values assigned 

for the ecosystem toxicity/mobility/persistence and ecosystem bioaccumulation potential factors. Select 

the substance with the highest ecosystem toxicity/mobility/persistence/bioaccumulation factor value for 

the watershed and use it to assign the value to this factor for the watershed. Enter this value in table 4–

25. 

Table 4–29—Ecosystem Toxicity/Mobility/Persistence Factor Valuesa

Ecosystem toxicity/mobility factor 

value

Persistence 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

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aDo not round to nearest integer.

Table 4–30—Ecosystem Toxicity/Mobility/Persistence/Bioaccumulation Factor Valuesa

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 00 0 0

Ecosystem 

toxicity/mobility/persistence 

factor value

Ecosystem bioaccumulation potential 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

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

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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

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aDo not round to nearest integer.

4.2.4.2.2 Hazardous waste quantity. Assign the same factor value for hazardous waste quantity for the 

watershed as would be assigned in section 4.2.2.2.2 for the drinking water threat. Enter this value in 

table 4–25. 

4.2.4.2.3 Calculation of environmental threat-waste characteristics factor category value. For the 

hazardous substance selected for the watershed in section 4.2.4.2.1.5, use its ecosystem 

toxicity/mobility/persistence factor value and ecosystem bioaccumulation potential factor value as follows 

to assign a value to the waste characteristics factor category. First, multiply the ecosystem 

toxicity/mobility/persistence factor value and the hazardous waste quantity factor value for the 

watershed, subject to a maximum product of 1×108 . Then multiply this product by the ecosystem 

bioaccumulation potential factor value for this hazardous substance, subject to a maximum product of 

1×1012 . Based on this product, assign a value from table 2–7 (section 2.4.3.1) to the environmental 

threat-waste characteristics category for the watershed. Enter the value in table 4–25. 

4.2.4.3 Environmental threat-targets. Evaluate the environmental threat-targets factor category for a 

watershed using one factor: sensitive environments. 

4.2.4.3.1 Sensitive environments. Evaluate sensitive environments for the watershed based on three 

factors: Level I concentrations, Level II concentrations, and potential contamination. Determine which 

applies to each sensitive environment as specified in section 4.1.4.3.1, except: use only those samples 

from the surface water in-water segment and only those hazardous substances in such samples that 

meet the conditions in sections 4.2.1.3 and 4.2.1.4. 

4.2.4.3.1.1 Level I concentrations. Assign a value to this factor as specified in section 4.1.4.3.1.1. Enter 

this value in table 4–25. 

4.2.4.3.1.2 Level II concentrations. Assign a value to this factor as specified in section 4.1.4.3.1.2. 

Enter this value in table 4–25. 

4.2.4.3.1.3 Potential contamination. Assign a value to this factor as specified in section 4.1.4.3.1.3 with 

the following modification. Multiply the appropriate dilution weight from table 4–13 for the sensitive 

environments in each type of surface water body by the adjustment value selected from table 4–27, as 

specified in section 4.2.2.3.1. Use the resulting product, not the value from table 4–13, as the dilution 

weight for the sensitive environments in that type of surface water body. Do not round this product to the 

nearest integer. Enter the value assigned in table 4–25. 

4.2.4.3.1.4 Calculation of environmental threat-targets factor category value. Sum the values for Level I 

concentrations, Level II concentrations, and potential contamination for the watershed. Do not round this 

sum to the nearest integer. Assign this sum as the environmental threat targets factor category value for 

the watershed. Enter this value in table 4–25. 

4.2.4.4 Calculation of environmental threat score for a watershed. Multiply the environmental threat 

factor category values for likelihood of release, waste characteristics, and targets for the watershed, and 

round the product to the nearest integer. Then divide by 82,500. Assign the resulting value, subject to a 

maximum of 60, as the environmental threat score for the watershed. Enter this score in table 4–25. 

4.2.5 Calculation of ground water to surface water migration component score for a watershed. Sum 

the scores for the three threats for the watershed (that is, drinking water, human food chain, and 

environmental threats). Assign the resulting score, subject to a maximum value of 100, as the ground 

water to surface water migration component score for the watershed. Enter this score in table 4–25. 

4.2.6 Calculation of ground water to surface water migration component score. Select the highest 

ground water to surface water migration component score from the watersheds evaluated. Assign this 

score as the ground water to surface water migration component score for the site, subject to a 

maximum score of 100. Enter this score in table 4–25. 

4.3 Calculation of surface water migration pathway score. Determine the surface water migration 

pathway score as follows: 

• If only one of the two surface water migration components (overland/flood or ground water to surface 

water) is scored, assign the score of that component as the surface water migration pathway score. 

• If both components are scored, select the higher of the two component scores from sections 4.1.6 and 

4.2.6. Assign that score as the surface water migration pathway score. 

5.0 Soil Exposure Pathway

Evaluate the soil exposure pathway based on two threats: Resident population threat and nearby 

population threat. Evaluate both threats based on three factor categories: Likelihood of exposure, waste 

characteristics, and targets. Figure 5–1 indicates the factors included within each factor category for 

1.4×10−12 7×10−8 7×10−9 7×10−10 7×10−11 7×10−12 7×10−13

0 000000

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each type of threat. 

Determine the soil exposure pathway score (Ss)in terms of the factor category values as follows:

where: 

LEi

=Likelihood of exposure factor category value for threat i (that is, resident population threat or nearby 

population threat). 

WCi

=Waste characteristics factor category value for threat i.

Ti

=Targets factor category value for threat i.

SF=Scaling factor. 

Table 5–1 outlines the specific calculation procedure. 

View or download PDF 

Table 5–1—Soil Exposure Pathway Scoresheet 

Factor categories and factors

Maximum 

value

Value 

assigned

Resident Population Threat

Likelihood of Exposure

1. Likelihood of Exposure 550 __ 

Waste Characteristics

2. Toxicity (a) __ 

3. Hazardous Waste Quantity (a) __ 

4. Waste Characteristics 100 __ 

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aMaximum value applies to waste characteristics category.

bMaximum value not applicable.

cNo specific maximum value applies to factor. However, pathway score based solely on terrestrial 

sensitive environments is limited to maximum of 60. 

dDo not round to nearest integer.

5.0.1 General considerations. Evaluate the soil exposure pathway based on areas of observed 

contamination: 

• Consider observed contamination to be present at sampling locations where analytic evidence 

indicates that: 

–A hazardous substance attributable to the site is present at a concentration significantly above 

background levels for the site (see table 2–3 in section 2.3 for the criteria for determining analytical 

significance), and –This hazardous substance, if not present at the surface, is covered by 2 feet or less 

of cover material (for example, soil). 

• Establish areas of observed contamination based on sampling locations at which there is observed 

Targets

5. Resident Individual 50 __ 

6. Resident Population:

6a. Level I Concentrations (b) __ 

6b. Level II Concentrations (b) __ 

6c. Resident Population 

(lines 6a + 6b)

(b) __ 

7. Workers 15 __ 

8. Resources 5 __ 

9. Terrestrial Sensitive 

Environments

(c) __ 

10. Targets (lines 5 + 6c + 7 + 8 + 

9)

(b) __ 

Resident Population Threat Score

11. Resident Population Threat 

(lines 1×4× 10)

(b) __ 

Nearby Population Threat

Likelihood of Exposure

12. Attractiveness/Accessibility 100 __ 

13. Area of Contamination 100 __ 

14. Likelihood of Exposure 500 __ 

Waste Characteristics

15. Toxicity (a) __ 

16. Hazardous Waste Quantity (a) __ 

17. Waste Characteristics 100 __ 

Targets

18. Nearby Individual 1 __ 

19. Population Within 1 Mile (b) __ 

20. Targets (lines 18 + 19) (b) __ 

Nearby Population Threat Score

21. Nearby Population Threat (lines 

14×17× 20)

(b) __ 

Soil Exposure Pathway Score

22. Soil Exposure Pathway Scored

(Ss), (lines [11+21] / 82,500, subject 

to a maximum of 100)

100 __ 

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contamination as follows: 

–For all sources except contaminated soil, if observed contamination from the site is present at any 

sampling location within the source, consider that entire source to be an area of observed 

contamination.–For contaminated soil, consider both the sampling location(s) with observed 

contamination from the site and the area lying between such locations to be an area of observed 

contamination, unless available information indicates otherwise. 

• If an area of observed contamination (or portion of such an area) is covered by a permanent, or 

otherwise maintained, essentially impenetrable material (for example, asphalt) that is not more than 2 

feet thick, exclude that area (or portion of the area) in evaluating the soil exposure pathway. 

• For an area of observed contamination, consider only those hazardous substances that meet the 

criteria for observed contamination for that area to be associated with that area in evaluating the soil 

exposure pathway (see section 2.2.2). 

If there is observed contamination, assign scores for the resident population threat and the nearby 

population threat, as specified in sections 5.1 and 5.2. If there is no observed contamination, assign the 

soil exposure pathway a score of 0. 

5.1 Resident Population Threat. Evaluate the resident population threat only if there is an area of 

observed contamination in one or more of the following locations: 

• Within the property boundary of a residence, school, or day care center and within 200 feet of the 

respective residence, school, or day care center, or 

• Within a workplace property boundary and within 200 feet of a workplace area, or 

• Within the boundaries of a resource specified in section 5.1.3.4, or 

• Within the boundaries of a terrestrial sensitive environment specified in section 5.1.3.5. 

If not, assign the resident population threat a value of 0, enter this value in table 5–1, and proceed to the 

nearby population threat (section 5.2). 

5.1.1 Likelihood of exposure. Assign a value of 550 to the likelihood of exposure factor category for the 

resident population threat if there is an area of observed contamination in one or more locations listed in 

section 5.1. Enter this value in table 5–1. 

5.1.2 Waste characteristics. Evaluate waste characteristics based on two factors: toxicity and 

hazardous waste quantity. Evaluate only those hazardous substances that meet the criteria for observed 

contamination at the site (see section 5.0.1). 

5.1.2.1 Toxicity. Assign a toxicity factor value to each hazardous substance as specified in section 

2.4.1.1. Use the hazardous substance with the highest toxicity factor value to assign the value to the 

toxicity factor for the resident population threat. Enter this value in table 5–1. 

5.1.2.2 Hazardous waste quantity. Assign a hazardous waste quantity factor value as specified in 

section 2.4.2. In estimating the hazardous waste quantity, use table 5–2 and: 

• Consider only the first 2 feet of depth of an area of observed contamination, except as specified for the 

volume measure. 

• Use the volume measure (see section 2.4.2.1.3) only for those types of areas of observed 

contamination listed in Tier C of table 5–2. In evaluating the volume measure for these listed areas of 

observed contamination, use the full volume, not just the volume within the top 2 feet. 

• Use the area measure (see section 2.4.2.1.4), not the volume measure, for all other types of areas of 

observed contamination, even if their volume is known. 

Enter the value assigned in table 5–1. 

Table 5–2—Hazardous Waste Quantity Evaluation Equations For Soil Exposure Pathway 

Tier Measure Units

Equation for assigning 

valuea

A Hazardous Constituent Quantity 

(C)

lb C

Bb Hazardous Wastestream Quantity 

(W)

lb W/5,000

Cb Volume (V)

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aDo not round nearest integer.

bConvert volume to mass when necessary: 1 ton=2,000 pounds=1 cubic yard=4 drums=200 gallons.

c Use volume measure only for surface impoundments containing hazardous substances present as 

liquids. Use area measures in Tier D for dry surface impoundments and for buried/backfilled surface 

impoundments. 

dIf actual volume of drums is unavailable, assume 1 drum=50 gallons.

eUse land surface area under pile, not surface area of pile.

5.1.2.3 Calculation of waste characteristics factor category value. Multiply the toxicity and hazardous 

waste quantity factor values, subject to a maximum product of 1×108 . Based on this product, assign a 

value from table 2–7 (section 2.4.3.1) to the waste characteristics factor category. Enter this value in 

table 5–1. 

5.1.3 Targets. Evaluate the targets factor category for the resident population threat based on five 

factors: resident individual, resident population, workers, resources, and terrestrial sensitive 

environments. 

In evaluating the targets factor category for the resident population threat, count only the following as 

targets: 

• Resident individual—a person living or attending school or day care on a property with an area of 

observed contamination and whose residence, school, or day care center, respectively, is on or within 

200 feet of the area of observed contamination. 

• Worker—a person working on a property with an area of observed contamination and whose 

workplace area is on or within 200 feet of the area of observed contamination. 

• Resources located on an area of observed contamination, as specified in section 5.1. 

• Terrestrial sensitive environments located on an area of observed contamination, as specified in 

section 5.1. 

5.1.3.1 Resident individual. Evaluate this factor based on whether there is a resident individual, as 

specified in section 5.1.3, who is subject to Level I or Level II concentrations. 

First, determine those areas of observed contamination subject to Level I concentrations and those 

subject to Level II concentrations as specified in sections 2.5.1 and 2.5.2. Use the health-based 

benchmarks from table 5–3 in determining the level of contamination. Then assign a value to the 

resident individual factor as follows: 

• Assign a value of 50 if there is at least one resident individual for one or more areas subject to Level I 

concentrations. 

• Assign a value of 45 if there is no such resident individuals, but there is at least one resident individual 

for one or more areas subject to Level II concentrations. 

• Assign a value of 0 if there is no resident individual. 

Enter the value assigned in table 5–1. 

 Surface Impoundmentc yd3 V/2.5

 Drumsd gallon V/500

 Tanks and Containers Other Than 

Drums yd3 V/2.5

Db Area (A)

 Landfill ft2 A/34,000

 Surface Impoundment ft2 A/13

 Surface Impoundment 

(Buried/backfilled)

ft2 A/13

 Land treatment ft2 A/270

 Pilee ft2 A/34

 Contaminated Soil ft2 A/34,000

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5.1.3.2 Resident population. Evaluate resident population based on two factors: Level I concentrations 

and Level II concentrations. Determine which factor applies as specified in sections 2.5.1 and 2.5.2, 

using the health-based benchmarks from table 5–3. Evaluate populations subject to Level I 

concentrations as specified in section 5.1.3.2.1 and populations subject to Level II concentrations as 

specified in section 5.1.3.2.2. 

Table 5–3—Health-Based Benchmarks for Hazardous Substances in Soils 

• Screening concentration for cancer corresponding to that concentration that corresponds to the 

10−6individual cancer risk for oral exposures.

• Screening concentration for noncancer toxicological responses corresponding to the Reference Dose 

(RfD) for oral exposures. 

Count only those persons meeting the criteria for resident individual as specified in section 5.1.3. In 

estimating the number of people living on property with an area of observed contamination, when the 

estimate in based on the number of residences, multiply each residence by the average number of 

persons per residence for the county in which the residence is located. 

5.1.3.2.1 Level I concentrations. Sum the number of resident individuals subject to Level I 

concentrations and multiply this sum by 10. Assign the resulting product as the value for this factor. 

Enter this value in table 5–1. 

5.1.3.2.2 Level II concentrations. Sum the number of resident individuals subject to Level II 

concentrations. Do not include those people already counted under the Level I concentrations factor. 

Assign this sum as the value for this factor. Enter this value in table 5–1. 

5.1.3.2.3 Calculation of resident population factor value. Sum the factor values for Level I 

concentrations and Level II concentrations. Assign this sum as the resident population factor value. 

Enter this value in table 5–1. 

5.1.3.3 Workers. Evaluate this factor based on the number of workers that meet the section 5.1.3 

criteria. Assign a value for these workers using table 5–4. Enter this value in table 5–1. 

Table 5–4—Factor Values for Workers 

5.1.3.4 Resources. Evaluate the resources factor as follows: 

• Assign a value of 5 to the resources factor if one or more of the following is present on an area of 

observed contamination at the site: 

–Commercial agriculture.–Commercial silviculture.–Commercial livestock production or commercial 

livestock grazing. 

• Assign a value of 0 if none of the above are present. 

Enter the value assigned in table 5–1. 

5.1.3.5 Terrestrial sensitive environments. Assign value(s) from table 5–5 to each terrestrial sensitive 

environment that meets the eligibility criteria of section 5.1.3. 

Calculate a value (ES) for terrestrial sensitive environments as follows: 

where: 

Si

=Value(s) assigned from table 5–5 to terrestrial sensitive environment i.

n=Number of terrestrial sensitive environments meeting section 5.1.3 criteria. 

Because the pathway score based solely on terrestrial sensitive environments is limited to a maximum of 

Number of workers Assigned value

0 0

1 to 100 5

101 to 1,000 10

Greater than 1,000 15

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60, determine the value for the terrestrial sensitive environments factor as follows: 

Table 5–5—Terrestrial Sensitive Environments Rating Values 

aCritical habitat as defined in 50 CFR 424.02.

bLimit to vertebrate species.

• Multiply the values assigned to the resident population threat for likelihood of exposure (LE), waste 

characteristics (WC), and ES. Divide the product by 82,500. 

–If the result is 60 or less, assign the value ES as the terrestrial sensitive environments factor value.–If 

the result exceeds 60, calculate a value EC as follows: 

Assign the value EC as the terrestrial sensitive environments factor value. Do not round this value to the 

nearest interger. 

Enter the value assigned for the terrestrial sensitive environments factor in table 5–1. 

5.1.3.6 Calculation of resident population targets factor category value. Sum the values for the resident 

individual, resident population, workers, resources, and terrestrial sensitive environments factors. Do not 

round to the nearest integer. Assign this sum as the targets factor category value for the resident 

population threat. Enter this value in table 5–1. 

5.1.4 Calculation of resident population threat score. Multiply the values for likelihood of exposure, 

waste characteristics, and targets for the resident population threat, and round the product to the nearest 

integer. Assign this product as the resident population threat score. Enter this score in table 5–1. 

5.2 Nearby population threat. Include in the nearby population only those individuals who live or attend 

school within a 1-mile travel distance of an area of observed contamination at the site and who do not 

meet the criteria for resident individual as specified in section 5.1.3. 

Do not consider areas of observed contamination that have an attractiveness/accessibility factor value of 

0 (see section 5.2.1.1) in evaluating the nearby population threat. 

5.2.1 Likelihood of exposure. Evaluate two factors for the likelihood of exposure factor category for the 

Terrestrial sensitive environments

Assigned 

value

Terrestrial critical habitatafor Federal designated endangered or 

threatened species

100

National Park

Designated Federal Wilderness Area

National Monument

Terrestrial habitat known to be used by Federal designated or 

proposed threatened or endangered species

75

National Preserve (terrestrial)

National or State Terrestrial Wildlife Refuge

Federal land designated for protection of natural 

ecosystems

Administratively proposed Federal Wilderness Area

Terrestrial areas utilized for breeding by large or dense 

aggregations of animalsb

Terrestrial habitat known to be used by State designated 

endangered or threatened species

50

Terrestrial habitat known to be used by species under 

review as to its Federal designated endangered or 

threatened status

State lands designated for wildlife or game management 25

State designated Natural Areas

Particular areas, relatively small in size, important to 

maintenance of unique biotic communities

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nearby population threat: attractiveness/accessibility and area of contamination. 

5.2.1.1. Attractiveness/accessibility. Assign a value for attractiveness/accessibility from table 5–6 to 

each area of observed contamination, excluding any land used for residences. Select the highest value 

assigned to the areas evaluated and use it as the value for the attractiveness/accessibility factor. Enter 

this value in table 5–1. 

5.2.1.2 Area of contamination. Evaluate area of contamination based on the total area of the areas of 

observed contamination at the site. Count only the area(s) that meet the criteria in section 5.0.1 and that 

receive an attractiveness/accessibility value greater than 0. Assign a value to this factor from table 5–7. 

Enter this value in table 5–1. 

Table 5–6—Attractiveness/Accessibility Values 

Table 5–7—Area of Contamination Factor Values 

5.2.1.3 Likelihood of exposure factor category value. Assign a value from Table 5–8 to the likelihood of 

exposure factor category, based on the values assigned to the attractiveness/accessibility and area of 

contamination factors. Enter this value in table 5–1. 

Table 5–8—Nearby Population Likelihood of Exposure Factor Values 

Area of observed contamination

Assigned 

value

Designated recreational area 100

Regularly used for public recreation (for example, fishing, 

hiking, softball)

75

Accessible and unique recreational area (for example, vacant 

lots in urban area)

75

Moderately accessible (may have some access 

improvements—for example, gravel road), with some public 

recreation use

50

Slightly accessible (for example, extremely rural area with no 

road improvement), with some public recreation use

25

Accessible, with no public recreation use 10

Surrounded by maintained fence or combination of maintained 

fence and natural barriers

5

Physically inaccessible to public, with no evidence of public 

recreation use

0

Total area of the areas of observed contamination 

(square feet)

Assigned 

value

Less than or equal to 5,000 5

Greater than 5,000 to 125,000 20

Greater than 125,000 to 250,000 40

Greater than 250,000 to 375,000 60

Greater than 375,000 to 500,000 80

Greater than 500,000 100

Area of contamination factor 

value

Attractiveness/accessibility factor 

value

100 75 50 25 10 5 0

100 500 500 375 250 125 50 0

80 500 375 250 125 50 25 0

60 375 250 125 50 25 5 0

40 250 125 50 25 5 5 0

20 125 50 25 5 5 5 0

 5 50 25 5 5 5 5 0

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5.2.2 Waste characteristics. Evaluate waste characteristics based on two factors: toxicity and 

hazardous waste quantity. Evaluate only those hazardous substances that meet the criteria for observed 

contamination (see section 5.0.1) at areas that can be assigned an attractiveness/accessibility factor 

value greater than 0. 

5.2.2.1 Toxicity. Assign a toxicity factor value as specified in section 2.4.1.1 to each hazardous 

substance meeting the criteria in section 5.2.2. Use the hazardous substance with the highest toxicity 

factor value to assign the value to the toxicity factor for the nearby population threat. Enter this value in 

table 5–1. 

5.2.2.2 Hazardous waste quantity. Assign a value to the hazardous waste quantity factor as specified in 

section 5.1.2.2, except: consider only those areas of observed contamination that can be assigned an 

attractiveness/accessibility factor value greater than 0. Enter the value assigned in table 5–1. 

5.2.2.3 Calculation of waste characteristics factor category value. Multiply the toxicity and hazardous 

waste quantity factor values, subject to a maximum product of 1×108 . Based on this product, assign a 

value from table 2–7 (section 2.4.3.1) to the waste characteristics factor category. Enter this value in 

table 5–1. 

5.2.3 Targets. Evaluate the targets factory category for the nearby population threat based on two 

factors: nearby individual and population within a 1-mile travel distance from the site. 

5.2.3.1 Nearby individual. If one or more persons meet the section 5.1.3 criteria for a resident 

individual, assign this factor a value of 0. Enter this value in table 5–1. 

If no person meets the criteria for a resident individual, determine the shortest travel distance from the 

site to any residence or school. In determining the travel distance, measure the shortest overland 

distance an individual would travel from a residence or school to the nearest area of observed 

contamination for the site with an attractiveness/accessibility factor value greater than 0. If there are no 

natural barriers to travel, measure the travel distance as the shortest straight-line distance from the 

residence or school to the area of observed contamination. If natural barriers exist (for example, a river), 

measure the travel distance as the shortest straight-line distance from the residence or school to the 

nearest crossing point and from there as the shortest straight-line distance to the area of observed 

contamination. Based on the shortest travel distance, assign a value from table 5–9 to the nearest 

individual factor. Enter this value in table 5–1. 

Table 5–9—Nearby Individual Factor Values 

aAssign a value of 0 if one or more persons meet the section 5.1.3 criteria for resident individual.

5.2.3.2 Population within 1 mile. Determine the population within each travel distance category of table 

5–10. Count residents and students who attend school within this travel distance. Do not include those 

people already counted in the resident population threat. Determine travel distances as specified in 

section 5.2.3.1. 

In estimating residential population, when the estimate is based on the number of residences, multiply 

each residence by the average number of persons per residence for the county in which the residence is 

located. 

Based on the number of people included within a travel distance category, assign a distance-weighted 

population value for that travel distance from table 5–10. 

Calculate the value for the population within 1 mile factor (PN) as follows: 

where: 

Wi

=Distance-weighted population value from table 5–10 for travel distance category i.

If PN is less than 1, do not round it to the nearest integer; if PN is 1 or more, round to the nearest 

integer. Enter this value in table 5–1. 

5.2.3.3 Calculation of nearby population targets factor category value. Sum the values for the nearby 

individual factor and the population within 1 mile factor. Do not round this sum to the nearest integer. 

Assign this sum as the targets factor category value for the nearby population threat. Enter this value in 

table 5–1. 

Travel distance for nearby individual (miles) Assigned value

Greater than 0 to 1/4 1a

Greater than 1/4 to 1 0

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Table 5–10—Distance-Weighted Population Values for Nearby Population Threata

aRound the number of people present within a travel distance category to nearest integer. Do not round 

the assigned distance-weighted population value to nearest integer. 

5.2.4 Calculation of nearby population threat score. Multiply the values for likelihood of exposure, waste 

characteristics, and targets for the nearby population threat, and round the product to the nearest 

integer. Assign this product as the nearby population threat score. Enter this score in table 5–1. 

5.3 Calculation of soil exposure pathway score. Sum the resident population threat score and the 

nearby population threat score, and divide the sum by 82,500. Assign the resulting value, subject to a 

maximum of 100, as the soil exposure pathway score (Ss). Enter this score in table 5–1. 

6.0 Air Migration Pathway

Evaluate the air migration pathway based on three factor categories: likelihood of release, waste 

characteristics, and targets. Figure 6–1 indicates the factors included within each factor category. 

Determine the air migration pathway score (Sa) in terms of the factor category values as follows:

where: 

LR=Likelihood of release factor category value. 

WC=Waste characteristics factor category value. 

T=Targets factor category value. 

SF=Scaling factor. 

Table 6–1 outlines the specific calculation procedure. 

Travel 

distance 

category 

(miles)

Number of people within the travel distance category

0

1 to 

10

11 

to 

30

31 

to 

100

101 

to 

300

301 

to 

1,000

1,001 

to 

3,000

3,001 

to 

10,000

10,001 

to 

30,000

30,001 

to 

100,000

100,001 

to 

300,000

300,001 

to 

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

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View or download PDF 

Table 6–1—Air Migration Pathway Scoresheet 

Factor categories and factors

Maximum 

value

Value 

assigned

Likelihood of Release

1. Observed Release 550 __ 

2. Potential to Release:

2a. Gas Potential to Release 500 __ 

2b. Particulate Potential to 

Release

500 __ 

2c. Potential to Release (higher 

of lines 2a and 2b)

500 __ 

3. Likelihood of Release (higher of lines 

1 and 2c)

550 __ 

Waste Characteristics

4. Toxicity/Mobility (a) __ 

5. Hazardous Waste Quantity (a) __ 

6. Waste Characteristics 100 __ 

Targets

7. Nearest Individual 50 __ 

8. Population:

8a. Level I Concentrations (b) __ 

8b. Level II Concentrations (b) __ 

8c. Potential Contamination (b) __ 

8d. Population (lines 8a+8b+8c) (b) __ 

9. Resources 5 __ 

10. Sensitive Environments

10a. Actual Contamination (c) __ 

10b. Potential Contamination (c) __ 

10c. Sensitive Environments (c) __ 

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aMaximum value applies to waste characteristics category.

bMaximum value not applicable.

cNo specific maximum value applies to factor. However, pathway score based solely on sensitive 

environments is limited to maximum of 60. 

dDo not round to nearest integer.

6.1 Likelihood of Release. Evaluate the likelihood of release factor category in terms of an observed 

release factor or a potential to release factor. 

6.1.1 Observed release. Establish an observed release to the atmosphere by demonstrating that the 

site has released a hazardous substance to the atmosphere. Base this demonstration on either: 

• Direct observation—a material (for example, particulate matter) that contains one or more hazardous 

substances has been seen entering the atmosphere directly. When evidence supports the inference of a 

release of a material that contains one or more hazardous substances by the site to the atmosphere, 

demonstrated adverse effects accumulated with that release may be used to establish an observed 

release. 

• Chemical analysis—an analysis of air samples indicates that the concentration of ambient hazardous 

substance(s) has increased significantly above the background concentration for the site (see section 

2.3). Some portion of the significant increase must be attributable to the site to establish the observed 

release. 

If an observed release can be established, assign an observed release factor value of 550, enter this 

value in table 6–1, and proceed to section 6.1.3. If an observed release cannot be established, assign 

an observed release factor value of 0, enter this value in table 6–1, and proceed to section 6.1.2. 

6.1.2 Potential to release. Evaluate potential to release only if an observed release cannot be 

established. Determine the potential to release factor value for the site by separately evaluating the gas 

potential to release and the particulate potential to release for each source at the site. Select the highest 

potential to release value (either gas or particulate) calculated for the sources evaluated and assign that 

value as the site potential to release factor value as specified below. 

6.1.2.1 Gas potential to release. Evaluate gas potential to release for those sources that contain 

gaseous hazardous substances—that is, those hazardous substances with a vapor pressure greater 

than or equal to 10−9torr.

Evaluate gas potential to release for each source based on three factors: gas containment, gas source 

type, and gas migration potential. Calculate the gas potential to release value as illustrated in table 6–2. 

Combine sources with similar characteristics into a single source in evaluating the gas potential to 

release factors. 

Table 6–2—Gas Potential to Release Evaluation 

(lines 10a+10b)

11. Targets (lines 7+8d+9+10c) (b) __ 

Air Migration Pathway Score

12. Pathway Score (Sa) [(lines 

3×6×11)/82,500]d

100 __ 

Source

Source 

typea

Gas 

containment 

factor valueb

Gas 

source 

type 

factor 

valuec

Gas 

migration 

potential 

factor valued Sum

Gas 

source 

value

 A B C (B+C) A(B+C)

1.

2.

3.

4.

5.

6.

7.

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aEnter a Source Type listed in table 6–4.

bEnter Gas Containment Factor Value from section 6.1.2.1.1.

cEnter Gas Source Type Factor Value from section 6.1.2.1.2.

dEnter Gas Migration Potential Factor Value from section 6.1.2.1.3.

6.1.2.1.1 Gas containment. Assign each source a value from table 6–3 for gas containment. Use the 

lowest value from table 6–3 that applies to the source, except: assign a value of 10 if there is evidence 

of biogas release or if there is an active fire within the source. 

Table 6–3—Gas Containment Factor Values 

aThis value must be used if applicable.

bConsider 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 gas source type to each source as follows: 

8.

Gas Potential to Release Factor (Select the Highest Gas Source Value)

Gas containment description

Assigned 

value

All situations except those specifically listed below 10 

Evidence of biogas release 10a

Active fire within source 10a

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 migrationb 3

—Cover soil type not resistant to gas migrationbor 

unknown

7

• Source substantially vegetated with little exposed soil and 

cover soil type resistant to gas migrationb

7

• Other 10

Uncontaminated soil cover <1 foot:

• Source heavily vegetated with essentially no exposed soil 

and cover soil type resistant to gas migrationb

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

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• Determine if the source meets the minimum size requirement based on the source hazardous waste 

quantity value (see section 2.4.2.1.5). If the source receives a source hazardous waste quantity value of 

0.5 or more, consider the source to meet the minimum size requirement. 

• If the source meets the minimum size requirement, assign it a value from table 6–4 for gas source 

type. 

• If the source does not meet the minimum size requirement, assign it a value of 0 for gas source type. 

If no source at the site meets the minimum size requirement, assign each source at the site a value from 

table 6–4 for gas source type. 

Table 6–4—Source Type Factor Values 

6.1.2.1.3 Gas migration potential. Evaluate this factor for each source as follows: 

• Assign a value for gas migration potential to each of the gaseous hazardous substances associated 

with the source (see section 2.2.2) as follows: 

–Assign values from table 6–5 for vapor pressure and Henry's constant to each hazardous substance. If 

Henry's constant cannot be determined for a hazardous substance, assign that hazardous substance a 

value of 2 for the Henry's constant component.–Sum the two values assigned to the hazardous 

substance.–Based on this sum, assign the hazardous substance a value from table 6–6 for gas 

migration potential. 

• Assign a value for gas migration potential to each source as follows: 

–Select three hazardous substances associated with the source: 

 –If more than three gaseous hazardous substances can be associated with the source, select three 

that have the highest gas migration potential values. 

 –If fewer than three gaseous hazardous substances can be associated with a source, select all of 

them. 

Source type

Assigned value

Gas Particulate

Active fire area 14 30

Burn pit 19 22

Containers or tanks (buried/below-ground):

• Evidence of biogas release 33 22

• No evidence of biogas release 11 22

Containers or tanks, not elsewhere specified 28 14

Contaminated soil (excluding land treatment) 19 22

Landfarm/land treatment 28 22

Landfill:

• Evidence of biogas release 33 22

• No evidence of biogas release 11 22

Pile:

• Tailings pile 6 28

• Scrap metal or junk pile 6 17

• Trash pile 6 6

• Chemical waste pile 11 28

• Other waste piles 17 28

Surface impoundments (buried/backfilled):

• Evidence of biogas release 33 22

• No evidence of biogas release 11 22

Surface impoundment (not buried/backfilled):

• Dry 19 22

• Other 28 0

Other types of sources, not elsewhere specified 0 0

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–Average the gas migration potential values assigned to the selected hazardous substances.–Based on 

this average value, assign the source a gas migration potential value from table 6–7. 

Table 6–5—Values for Vapor Pressure and Henry's Constant 

Table 6–6—Gas Migration Potential Values for a Hazardous Substance 

Table 6–7—Gas Migration Potential Values for the Source 

aIf fewer than three hazardous substances can be associated with the source, compute the average 

based only on those hazardous substances that can be associated. 

6.1.2.1.4 Calculation of gas potential to release value. Determine the gas potential to release value for 

each source as illustrated in table 6–2. For each source, sum the gas source type factor value and gas 

migration potential factor value and multiply this sum by the gas containment factor value. Select the 

highest product calculated for the sources evaluated and assign it as the gas potential to release value 

for the site. Enter this value in table 6–1. 

6.1.2.2 Particulate potential to release. Evaluate particulate potential to release for those sources that 

contain particulate hazardous substances—that is, those hazardous substances with a vapor pressure 

less than or equal to 10−1torr.

Evaluate particulate potential to release for each source based on three factors: particulate containment, 

particulate source type, and particulate migration potential. Calculate the particulate potential to release 

value as illustrated in table 6–8. Combine sources with similar characteristics into a single source in 

evaluating the particulate potential to release factors. 

6.1.2.2.1 Particulate containment. Assign each source a value from table 6–9 for particulate 

containment. Use the lowest value from table 6–9 that applies to the source. 

6.1.2.2.2 Particulate source type. Assign a value for particulate source type to each source in the same 

manner as specified for gas sources in section 6.1.2.1.2. 

6.1.2.2.3 Particulate migration potential. Based on the site location, assign a value from Figure 6–2 for 

particulate migration potential. Assign this same value to each source at the site. 

Vapor pressure (Torr) Assigned value

Greater than 10 3

Greater than 10−3to 10 2

10−5to 10−3 1

Less than 10−5 0

Henry's constant (atm-m3/mol) Assigned value

Greater than 10−3 3

Greater than 10−5to 10−3 2

10−7to 10−5 1

Less than 10−7 0

Sum of values for vapor pressure and Henry's constant Assigned value

0 0

1 or 2 6

3 or 4 11

5 or 6 17

Average of gas migration potential values for three 

hazardous substancesa Assigned 

value

0 to < 3 0

3 to < 8 6

8 to < 14 11

14 to 17 17

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Table 6–8—Particulate Potential to Release Evaluation 

aEnter a Source Type listed in table 6–4.

bEnter Particulate Containment Factor Value from section 6.1.2.2.1.

cEnter Particulate Source Type Factor Value from section 6.1.2.2.2.

dEnter Particulate Migration Potential Factor Value from section 6.1.2.2.3.

Table 6–9—Particulate Containment Factor Values 

Source

Source 

typea

Particulate 

containment 

factor valueb

Particulate 

type factor 

valuec

Particulate 

migration 

potential 

factor 

valued Sum

Particulate 

source 

value

 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)

Particulate containment description

Assigned 

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 migrationa 3

—Cover soil type not resistant to gas migrationaor 

unknown

7

• Source substantially vegetated with little exposed soil and 

cover soil type resistant to gas migrationa

7

• Other 10

Uncontaminated soil cover < 1 foot:

• Source heavily vegetated with essentially no exposed soil 

and cover soil type resistant to gas migrationa

7

• Other 10

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aConsider moist fine-grained and saturated coarse-grained soils resistant to gas migration. Consider all 

other soils nonresistant. 

View or download PDF 

Figure 6–2—Particulate Migration Potential Factor Values—Concluded 

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

Location

Particulate migration potential assigned 

value

Hawaiian Islands

Hilo, Hawaii 0

Honolulu, Oahu 17

Kahului, Maui 17

Lanai 17

Lihue, Kauai 11

Molokai 17

Pacific Islands

Guam 6

Johnston Island 17

Koror Island 0

Kwajalein Island 6

Mujuro, Marshall Islands 0

Pago Pago, American 0

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For site locations not on Figure 6–2, and for site locations near the boundary points on Figure 6–2, 

assign a value as follows. First, calculate a Thornthwaite P-E index using the following equation: 

where: 

PE=Thornthwaite P-E index. 

Pi

=Mean monthly precipitation for month i, in inches.

Ti

=Mean monthly temperature for month i, in degrees Fahrenheit; for any month having a mean monthly 

Samoa

Ponape Island 0

Truk, Caroline Islands 0

Wake Island 17

Yap Island 0

Alaska

Anchorage 17

Annette 0

Barrow 17

Barter Island 17

Bethel 17

Bettles 17

Big Delta 17

Cold Bay 6

Fairbanks 17

Gulkana 17

Homer 11

Juneau 0

King Salmon 11

Kodiak 0

Kutzebue 17

McGrath 17

Nome 11

St. Paul Island 11

Talkeetna 6

Unalakleet 17

Valdez 0

Yakutat 0

American Virgin Islands

St. Croix 17

St. John 11

St. Thomas 11

Puerto Rico

Arecibo 6

Coloso 6

Fajardo 11

Humacao 6

Isabela Station 11

Ponce 17

San Juan 11

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temperature less than 28.4 °F, use 28.4 °F. 

Based on the calculated Thornthwaite P-E index, assign a source particulate migration potential value to 

the site from table 6–10. Assign this same value to each source at the site. 

Table 6–10—Particulate Migration Potential Values 

6.1.2.2.4 Calculation of particulate potential to release value. Determine the particulate potential to 

release value for each source as illustrated in table 6–8. For each source, sum its particulate source 

type factor value and particulate migration potential factor value and multiply this sum by its particulate 

containment factor value. Select the highest product calculated for the sources evaluated and assign it 

as the particulate potential to release value for the site. Enter the value in table 6–1. 

6.1.2.3 Calculation of potential to release factor value for the site. Select the higher of the gas potential 

to release value assigned in section 6.1.2.1.4 and the particulate potential to release value assigned in 

section 6.1.2.2.4. Assign the value selected as the site potential to release factor value. Enter this value 

in table 6–1. 

6.1.3 Calculation of likelihood of release factor category value. If an observed release is established, 

assign the observed release factor value of 550 as the likelihood of release factor category value. 

Otherwise, assign the site potential to release factor value as the likelihood of release factor category 

value. Enter the value in table 6–1. 

6.2 Waste characteristics. Evaluate the waste characteristics factor category based on two factors: 

toxicity/mobility and hazardous waste quantity. Evaluate only those hazardous substances available to 

migrate from the sources at the site to the atmosphere. Such hazardous substances include: 

• Hazardous substances that meet the criteria for an observed release to the atmosphere. 

• All gaseous hazardous substances associated with a source that has a gas containment factor value 

greater than 0 (see section 2.2.2, 2.2.3, and 6.1.2.1.1). 

• All particulate hazardous substances associated with a source that has a particulate containment factor 

value greater than 0 (see section 2.2.2, 2.2.3, and 6.1.2.2.1). 

6.2.1 Toxicity/mobility. For each hazardous substance, assign a toxicity factor value, a mobility factor 

value, and a combined toxicity/mobility factor value as specified below. Select the toxicity/mobility factor 

value for the air migration pathway as specified in section 6.2.1.3. 

6.2.1.1 Toxicity. Assign a toxicity factor value to each hazardous substance as specified in section 

2.4.1.1. 

6.2.1.2 Mobility. Assign a mobility factor value to each hazardous substance as follows: 

• Gaseous hazardous substance. 

–Assign a mobility factor value of 1 to each gaseous hazardous substance that meets the criteria for an 

observed release to the atmosphere.–Assign a mobility factor value from table 6–11, based on vapor 

pressure, to each gaseous hazardous substance that does not meet the criteria for an observed release. 

• Particulate hazardous substance. 

–Assign a mobility factor value of 0.02 to each particulate hazardous substance that meets the criteria 

for an observed release to the atmosphere.–Assign a mobility factor value from Figure 6–3, based on 

the site's location, to each particulate hazardous substance that does not meet the criteria for an 

observed release. (Assign all such particulate hazardous substances this same value.)–For site 

locations not on Figure 6–3 and for site locations near the boundary points on Figure 6–3, assign a 

mobility factor value to each particulate hazardous substance that does not meet the criteria for an 

observed release as follows: 

 –Calculate a value M: 

M=0.0182 (U3 /[PE]2 )

where: 

Thornthwaite P-E Index Assigned value

Greater than 150 0

85 to 150 6

50 to less than 85 11

Less than 50 17

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U=Mean average annual wind speed (meters per second). 

PE=Thornthwaite P-E index from section 6.1.2.2.3. 

 –Based on the value M, assign a mobility factor value from table 6–12 to each particulate hazardous 

substance. 

• Gaseous and particulate hazardous substances. 

–For a hazardous substance potentially present in both gaseous and particulate forms, select the higher 

of the factor values for gas mobility and particulate mobility for that substance and assign that value as 

the mobility factor value for the hazardous substance. 

6.2.1.3 Calculation of toxicity/mobility factor value. Assign each hazardous substance a toxicity/mobility 

factor value from table 6–13, based on the values assigned to the hazardous substance for the toxicity 

and mobility factors. Use the hazardous substance with the highest toxicity/mobility factor value to 

assign the value to the toxicity/mobility factor for the air migration pathway. Enter this value in table 6–1. 

Table 6–11—Gas Mobility Factor Values 

aDo not round to nearest integer.

View or download PDF 

Vapor pressure (Torr) Assigned valuea

Greater than 10−1 1.0

Greater than 10−3to 10−1 0.2

Greater than 10−5to 10−3 0.02

Greater than 10−7to 10−5 0.002

Less than or equal to 10−7 0.0002

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View or download PDF 

 

View or download PDF 

Figure 6–3—Particulate Mobility Factor Values—Concluded 

Location Particulated mobility assigned value

Pacific Islands

Guam 0.0002

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Table 6–12—Particulate Mobility Factor Values 

aDo not round to nearest integer.

Table 6–13—Toxicity/Mobility Factor Valuesa

aDo not round to nearest integer.

6.2.2 Hazardous waste quantity. Assign a hazardous waste quantity factor value for the air migration 

pathway as specified in section 2.4.2. Enter this value in table 6–1. 

6.2.3 Calculation of waste characteristics factor category value. Multiply the toxicity/mobility factor 

value and the hazardous waste quantity factor value, subject to a maximum product of 1×108 . Based on 

this product, assign a value from table 2–7 (section 2.4.3.1) to the waste characteristics factor category. 

Enter this value in table 6–1. 

6.3 Targets. 

Evaluate the targets factor category based on four factors: nearest individual, population, resources, and 

sensitive environments. Include only those targets (for example, individuals, sensitive environments) 

Johnston Island 0.002

Koror Island 0.00008

Kwajalein Island 0.0002

Mujuro, Marshall Islands 0.00008

Pago Pago, American Samoa 0.00008

Ponape Island 0.00002

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

M Assigned valuea

Greater than 1.4×10−2 0.02

Greater than 4.4×10−3to 1.4×10−2 0.008

Greater than 1.4×10−3to 4.4×10−3 0.002

Greater than 4.4×10−4to 1.4×10−3 0.0008

Greater than 1.4×10−4to 4.4×10−4 0.0002

Greater than 4.4×10−5to 1.4×10−4 0.00008

Less than or equal to 4.4×10−5 0.00002

Mobility factor value

Toxicity 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

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located within the 4-mile target distance limit, except: if an observed release is established beyond the 4-

mile target distance limit, include those additional targets that are specified below in this section and in 

section 6.3.4. 

Evaluate the nearest individual and population factors based on whether the target populations are 

subject to Level I concentrations, Level II concentrations, or potential contamination. Determine which 

applies to a target population as follows. 

If no samples meet the criteria for an observed release to air and if there is no observed release by 

direct observation, consider the entire population within the 4-mile target distance limit to be subject to 

potential contamination. 

If one or more samples meet the criteria for an observed release to air or if there is an observed release 

by direct observation, evaluate the population as follows: 

• Determine the most distant sample location that meets the criteria for Level I concentrations as 

specified in sections 2.5.1 and 2.5.2 and the most distant location (that is, sample location or direct 

observation location) that meets the criteria for Level II concentrations. Use the health-based 

benchmarks from table 6–14 in determining the level of contamination for sample locations. If the most 

distant Level II location is closer to a source than the most distant Level I sample location, do not 

consider the Level II location. 

• Determine the single most distant location (sample location or direct observation location) that meets 

the criteria for Level I or Level II concentrations. 

• If this single most distant location is within the 4-mile target distance limit, identify the distance 

categories from table 6–15 in which the selected Level I concentrations sample and Level II 

concentrations sample (or direct observation location) are located: 

–Consider the target population anywhere within this furthest Level I distance category, or anywhere 

within a distance category closer to a source at the site, as subject to Level I concentrations.–Consider 

the target population located beyond any Level I distance categories, up to and including the population 

anywhere within the furthest Level II distance category, as subject to Level II concentrations.–Consider 

the remainder of the target population within the 4-mile target distance limit as subject to potential 

contamination. 

• If the single most distant location is beyond the 4-mile target distance limit, identify the distance at 

which the selected Level I concentrations sample and Level II concentrations sample (or direct 

observation location) are located: 

–If the Level I sample location is within the 4-mile target distance limit, identify the target population 

subject to Level I concentrations as specified above.–If the Level I sample location is beyond the 4-mile 

target distance limit, consider the target population located anywhere within a distance from the sources 

at the site equal to the distance to this sample location to be subject to Level I concentrations and 

include them in the evaluation.–Consider the target population located beyond the Level I target 

population, but located anywhere within a distance from the sources at the site equal to the distance to 

the selected Level II location, to be subject to Level II concentrations and include them in the 

evaluation.–Do not include any target population as subject to potential contamination. 

Table 6–14—Health-Based Benchmarks for Hazardous Substances in Air 

Table 6–15—Air Migration Pathway Distance Weights 

• Concentration corresponding to National Ambient Air Quality Standard 

(NAAQS).

• Concentration corresponding to National Emission Standards for Hazardous 

Air Pollutants (NESHAPs).

• Screening concentration for cancer corresponding to that concentration that 

corresponds to the 10−6individual cancer risk for inhalation exposures.

• Screening concentration for noncancer toxicological responses 

corresponding to the Reference Dose (RfD) for inhalation exposures.

Distance category (miles) Assigned distance weighta

0 1.0

Greater than 0 to 1/4 0.25

Greater than 1/4 to 1/2 0.054

Greater than 1/2 to 1 0.016

Greater than 1 to 2 0.0051

Greater than 2 to 3 0.0023

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aDo not round to nearest integer.

6.3.1 Nearest individual. Assign the nearest individual factor a value as follows: 

• If one or more residences or regularly occupied buildings or areas is subject to Level I concentrations 

as specified in section 6.3, assign a value of 50. 

• If not, but if one or more a residences or regularly occupied buildings or areas is subject to Level II 

concentrations, assign a value of 45. 

• If none of the residences and regularly occupied buildings and areas is subject to Level I or Level II 

concentrations, assign a value to this factor based on the shortest distance to any residence or regularly 

occupied building or area, as measured from any source at the site with an air migration containment 

factor value greater than 0. Based on this shortest distance, assign a value from table 6–16 to the 

nearest individual factor. 

Enter the value assigned in table 6–1. 

Table 6–16—Nearest Individual Factor Values 

aDistance does not apply.

6.3.2 Population. In evaluating the population factor, count residents, students, and workers regularly 

present within the target distance limit. Do not count transient populations such as customers and 

travelers passing through the area. 

In estimating residential population, when the estimate is based on the number of residences, multiply 

each residence by the average number of persons per residence for the county in which the residence is 

located. 

6.3.2.1 Level of contamination. Evaluate the population factor based on three factors: Level I 

concentrations, Level II concentrations, and potential contamination. 

Evaluate the population subject to Level I concentrations (see section 6.3) as specified in section 

6.3.2.2, the population subject to Level II concentrations as specified in section 6.3.2.3, and the 

population subject to potential contamination as specified in section 6.3.2.4. 

For the potential contamination factor, use population ranges in evaluating the factor as specified in 

section 6.3.2.4. For the Level I and Level II concentrations factors, use the population estimate, not 

population ranges, in evaluating both factors. 

6.3.2.2 Level I concentrations. Sum the number of people subject to Level I concentrations. Multiply 

this sum by 10. Assign the product as the value for this factor. Enter this value in table 6–1. 

6.3.2.3 Level II concentrations. Sum the number of people subject to Level II concentrations. Do not 

include those people already counted under the Level I concentrations factor. Assign this sum as the 

value for this factor. Enter this value in table 6–1. 

6.3.2.4 Potential contamination. Determine the number of people within each distance category of the 

target distance limit (see table 6–15) who are subject to potential contamination. Do not include those 

people already counted under the Level I and Level II concentrations factors. 

Based on the number of people present within a distance category, assign a distance-weighted 

population value for that distance category from table 6–17. (Note that the distance-weighted population 

values in table 6–17 incorporate the distance weights from table 6–15. Do not multiply the values from 

table 6–17 by these distance weights.) 

Greater than 3 to 4 0.0014

Greater than 4 0

Distance to nearest individual (miles) Assigned value

Level I concentrationsa 50

Level II concentrationsa 45

0 to 1/8 20

Greater than 1/8 to 1/4 7

Greater than 1/4 to 1/2 2

Greater than 1/2 to 1 1

Greater than 1 0

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Calculate the potential contamination factor value (PI) as follows: 

where: 

Wi

=Distance-weighted population from table 6–17 for distance category i.

n=Number of distance categories. 

If PI is less than 1, do not round it to the nearest integer; if PI is 1 or more, round to the nearest integer. 

Enter this value in table 6–1. 

6.3.2.5 Calculation of population factor value. Sum the factor values for Level I concentrations, Level II 

concentrations, and potential contamination. Do not round this sum to the nearest integer. Assign this 

sum as the population factor value. Enter this value in table 6–1. 

Table 6–17—Distance-Weighted Population Values For Potential Contamination Factor for Air 

Pathwaya

aRound the number of people present within a distance category to nearest integer. Do not round the 

assigned distance-weighted population value to nearest integer. 

6.3.3 Resources. Evaluate the resources factor as follows: 

• Assign a value of 5 if one or more of the following resources are present within one-half mile of a 

source at the site having an air migration containment factor value greater than 0: 

–Commercial agriculture.–Commercial silviculture.–Major or designated recreation area. 

• Assign a value of 0 if none of these resources is present. 

Enter the value assigned in table 6–1. 

6.3.4 Sensitive environments. Evaluate sensitive environments based on two factors: actual 

contamination and potential contamination. Determine which factor applies as follows. 

If no samples meet the criteria for an observed release to air and if there is no observed release by 

Distance 

category 

(miles)

Number of people within the distance category

0

1 to 

10

11 

to 

30

31 

to 

100

101 

to 

300

301 

to 

1,000

1,001 

to 

3,000

3,001 

to 

10,000

10,001 

to 

30,000

30,001 

to 

100,000

100,001 

to 

300,000

300,001 

to 

1,000,000

1,000,001 

to 

3,000,000

On a 

source

0 4 17 53 164 522 1,633 5,214 16,325 52,137 163,246 521,360 1,632,455

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

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

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direct observation, consider all sensitive environments located, partially or wholly, within the target 

distance limit to be subject to potential contamination. 

If one or more samples meet the criteria for an observed release to air or if there is an observed release 

by direct observation, determine the most distant location (that is, sample location or direct observation 

location) that meets the criteria for an observed release: 

• If the most distant location meeting the criteria for an observed release is within the 4-mile target 

distance limit, identify the distance category from table 6–15 in which it is located: 

–Consider sensitive environments located, partially or wholly, anywhere within this distance category or 

anywhere within a distance category closer to a source at the site as subject to actual contamination.–

Consider all other sensitive environments located, partially or wholly, within the target distance limit as 

subject to potential contamination. 

• If the most distant location meeting the criteria for an observed release is beyond the 4-mile target 

distance limit, identify the distance at which it is located: 

–Consider sensitive environments located, partially or wholly, anywhere within a distance from the 

sources at the site equal to the distance to this location to be subject to actual contamination and include 

all such sensitive environments in the evaluation.–Do not include any sensitive environments as subject 

to potential contamination. 

6.3.4.1 Actual contamination. Determine those sensitive environments subject to actual contamination 

( i.e. , those located partially or wholly within a distance category subject to actual contamination). 

Assign value(s) from table 4–23 (section 4.1.4.3.1.1) to each sensitive environment subject to actual 

contamination. 

For those sensitive environments that are wetlands, assign an additional value from table 6–18. In 

assigning a value from table 6–18, include only those portions of wetlands located within distance 

categories subject to actual contamination. If a wetland is located partially in a distance category subject 

to actual contamination and partially in one subject to potential contamination, then solely for purposes 

of table 6–18, count the portion in the distance category subject to potential contamination under the 

potential contamination factor in section 6.3.4.2. Determine the total acreage of wetlands within those 

distance categories subject to actual contamination and assign a value from table 6–18 based on this 

total acreage. 

Calculate the actual contamination factor value (EA) as follows: 

where: 

WA=Value assigned from table 6–18 for wetlands in distance categories subject to actual contamination. 

Si

=Value(s) assigned from table 4–23 to sensitive environment i.

n=Number of sensitive environments subject to actual contamination. 

Enter the value assigned in table 6–1. 

Table 6–18—Wetlands Rating Values for Air Migration Pathwaya

aWetlands as defined in 40 CFR section 230.3.

6.3.4.2 Potential contamination. Determine those sensitive environments located, partially or wholly, 

Wetland area (acres) Assigned value

Less than 1 0

1 to 50 25

Greater than 50 to 100 75

Greater than 100 to 150 125

Greater than 150 to 200 175

Greater than 200 to 300 250

Greater than 300 to 400 350

Greater than 400 to 500 450

Greater than 500 500

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within the target distance limit that are subject to potential contamination. Assign value(s) from table 4–

23 to each sensitive environment subject to potential contamination. Do not include those sensitive 

environments already counted for table 4–23 under the actual contamination factor. 

For each distance category subject to potential contamination, sum the value(s) assigned from table 4–

23 to the sensitive environments in that distance category. If a sensitive environment is located in more 

than one distance category, assign the sensitive environment only to that distance category having the 

highest distance weighting value from table 6–15. 

For those sensitive environments that are wetlands, assign an additional value from table 6–18. In 

assigning a value from table 6–18, include only those portions of wetlands located within distance 

categories subject to potential contamination, as specified in section 6.3.4.1. Treat the wetlands in each 

separate distance category as separate sensitive environments solely for purposes of applying table 6–

18. Determine the total acreage of wetlands within each of these distance categories and assign a 

separate value from table 6–18 for each distance category. 

Calculate the potential contamination factor value (EP) as follows: 

Sij=Value(s) assigned from table 4–23 to sensitive environment in distance category j.

n=Number of sensitive environments subject to potential contamination. 

Wj

=Value assigned from table 6–18 for wetland area in distance category j.

Dj

=Distance weight from table 6–15 for distance category j.

m=Number of distance categories subject to potential contamination. 

If EP is less than 1, do not round it to the nearest integer; if EP is 1 or more, round to the nearest 

integer. Enter the value assigned in table 6–1. 

6.3.4.3 Calculation of sensitive environments factor value. Sum the factor values for actual 

contamination and potential contamination. Do not round this sum, designated as EB, to the nearest 

integer. 

Because the pathway score based solely on sensitive environments is limited to a maximum of 60, use 

the value EB to determine the value for the sensitive environments factor as follows: 

• Multiply the values assigned to likelihood of release (LR), waste characteristics (WC), and EB. Divide 

the product by 82,500. 

–If the result is 60 or less, assign the value EB as the sensitive environments factor value.–If the result 

exceeds 60, calculate a value EC as follows: 

Assign the value EC as the sensitive environments factor value. Do not round this value to the nearest 

integer. 

Enter the value assigned for the sensitive environments factor in table 6–1. 

6.3.5 Calculation of targets factor category value. Sum the nearest individual, population, resources, 

and sensitive environments factor values. Do not round this sum to the nearest integer. Assign this sum 

as the targets factor category value. Enter this value in table 6–1. 

6.4 Calculation of air migration pathway score. Multiply the values for likelihood of release, waste 

characteristics, and targets, and round the product to the nearest integer. Then divide by 82,500. Assign 

the resulting value, subject to a maximum value of 100, as the air migration pathway score (Sa). Enter 

this score in table 6–1. 

7.0 Sites Containing Radioactive Substances.

In general, radioactive substances are hazardous substances under CERCLA and should be considered 

in HRS scoring. Releases of certain radioactive substances are, however, excluded from the definition of 

“release” in section 101(22) of CERCLA, as amended, and should not be considered in HRS scoring. 

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Evaluate sites containing radioactive substances using the instructions specified in sections 2 through 6, 

supplemented by the instructions in this section. Those factors denoted with a “yes” in table 7–1 are 

evaluated differently for sites containing radioactive substances than for sites containing only 

nonradioactive hazardous substances, while those denoted with a “no” are not evaluated differently and 

are not addressed in this section. 

Table 7–1—HRS Factors Evaluated Differently for Radionuclides 

aFactors evaluated differently are denoted by “yes”; factors not evaluated differently are denoted by “no.”

Ground water 

pathway Statusa Surface water pathway Statusa Soil exposure pathway Statusa Air pathway Statusa

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

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

 Particulate 

Containment

No

 Particulate 

Source Type

No

 Particulate 

Migration 

Potential

No

Waste 

Characteristics

Waste 

Characteristics

Waste Characteristics Waste 

Characteristics

Toxicity Yes Toxicity/Ecotoxicity Yes/Yes Toxicity Yes Toxicity 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

Targets Targets Targets Targets

Nearest Well Yesb Nearest Intake Yesb Resident Individual Yesb Nearest 

Individual

Yesb

Population Yesb Drinking Water 

Population

Yesb Resident Population Yesb Population Yesb

Resources No Resources No Workers No Resources No

Wellhead 

Protection Area

No Sensitive 

Environments

Yesb Resources No Sensitive 

Environments

No

 Human Food Chain 

Individual

Yesb Terrestrial Sensitive 

Environments

No 

 Human Food Chain 

Population

Yesb 

 Nearby Individual No

 Population Within 1 Mile No

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bDifference is in the determination of Level I and Level II concentrations.

In general, sites containing mixed radioactive and other hazardous substances involve more evaluation 

than sites containing only radionuclides. For sites containing mixed radioactive and other hazardous 

substances, HRS factors are evaluated based on considerations of both the radioactive substances and 

the other hazardous substances in order to derive a single set of factor values for each factor category in 

each of the four pathways. Thus, the HRS score for these sites reflects the combined potential hazards 

posed by both the radioactive and other hazardous substances. 

Section 7 is organized by factor category, similar to sections 3 through 6. Pathway-specific differences in 

evaluation criteria are specified under each factor category, as appropriate. These differences apply 

largely to the soil exposure pathway and to sites containing mixed radioactive and other hazardous 

substances. All evaluation criteria specified in sections 2 through 6 must be met, except where modified 

in section 7. 

7.1 Likelihood of release/likelihood of exposure. Evaluate likelihood of release for the three migration 

pathways and likelihood of exposure for the soil exposure pathway as specified in sections 2 through 6, 

except: establish an observed release and observed contamination as specified in section 7.1.1. When 

an observed release cannot be established for a migration pathway, evaluate potential to release as 

specified in section 7.1.2. When observed contamination cannot be established, do not evaluate the soil 

exposure pathway. 

7.1.1 Observed release/observed contamination. For radioactive substances, establish an observed 

release for each migration pathway by demonstrating that the site has released a radioactive substance 

to the pathway (or watershed or aquifer, as appropriate); establish observed contamination for the soil 

exposure pathway as indicated below. Base these demonstrations on one or more of the following, as 

appropriate to the pathway being evaluated: 

• Direct observation: 

–For each migration pathway, a material that contains one or more radionuclides has been seen 

entering the atmosphere, surface water, or ground water, as appropriate, or is known to have entered 

ground water or surface water through direct deposition, or–For the surface water migration pathway, a 

source area containing radioactive substances has been flooded at a time that radioactive substances 

were present and one or more radioactive substances were in contact with the flood waters. 

• Analysis of radionuclide concentrations in samples appropriate to the pathway (that is, ground water, 

soil, air, surface water, benthic, or sediment samples): 

–For radionuclides that occur naturally and for radionuclides that are ubiquitous in the environment: 

 –Measured concentration (in units of activity, for example, pCi per kilogram [pCi/kg], pCi per liter 

[pCi/1], pCi per cubic meter [pCi/m3 ]) of a given radionuclide in the sample are at a level that:

 –Equals or exceeds a value 2 standard deviations above the mean site-specific background 

concentration for that radionuclide in that type of sample, or 

 –Exceeds the upper-limit value of the range of regional background concentration values for that 

specific radionuclide in that type of sample. 

 –Some portion of the increase must be attributable to the site to establish the observed release (or 

observed contamination), and 

 –For the soil exposure pathway only, the radionuclide must also be present at the surface or covered 

by 2 feet or less of cover material (for example, soil) to establish observed contamination. 

–For man-made radionuclides without ubiquitous background concentrations in the environment: 

 –Measured concentration (in units of activity) of a given radionuclide in a sample equals or exceeds the 

sample quantitation limit for that specific radionuclide in that type of media and is attributable to the site. 

 –However, if the radionuclide concentration equals or exceeds its sample quantitation limit, but its 

release can also be attributed to one or more neighboring sites, then the measured concentration of that 

radionuclide must also equal or exceed a value either 2 standard deviations above the mean 

concentration of that radionuclide contributed by those neighboring sites or 3 times its background 

concentration, whichever is lower. 

 –If the sample quantitation limit cannot be established: 

 –If the sample analysis was performed under the EPA Contract Laboratory Program, use the EPA 

contract-required quantitation limit (CRQL) in place of the sample quantitation limit in establishing an 

observed release (or observed contamination). 

 –If the sample analysis is not performed under the EPA Contract Labatory Program, use the detection 

limit in place of the sample quantitation limit. 

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 –For the soil exposure pathway only, the radionuclide must also be present at the surface or covered 

by 2 feet or less of cover material (for example, soil) to establish observed contamination. 

• Gamma radiation measurements (applies only to observed contamination for the soil exposure 

pathway): 

–The gamma radiation exposure rate, as measured in microroentgens per hour (μR/hr) using a survey 

instrument held 1 meter above the ground surface (or 1 meter away from an aboveground source), 

equals or exceeds 2 times the site-specific background gamma radiation exposure rate.–Some portion 

of the increase must be attributable to the site to establish observed contamination. The gamma-emitting 

radionuclides do not have to be within 2 feet of the surface of the source. 

For the three migration pathways, if an observed release can be established for the pathway (or aquifer 

or watershed, as appropriate), assign the pathway (or aquifer or watershed) an observed release factor 

value of 550 and proceed to section 7.2. If an observed release cannot be established, assign an 

observed release factor value of 0 and proceed to section 7.1.2. 

For the soil exposure pathway, if observed contamination can be established, assign the likelihood of 

exposure factor for resident population a value of 550 if there is an area of observed contamination in 

one or more locations listed in section 5.1; evaluate the likelihood of exposure factor for nearby 

population as specified in section 5.2.1; and proceed to section 7.2. If observed contamination cannot be 

established, do not evaluate the soil exposure pathway. 

At sites containing mixed radioactive and other hazardous substances, evaluate observed release (or 

observed contamination) separately for radionuclides as described in this section and for other 

hazardous substances as described in sections 2 through 6. 

For the three migration pathways, if an observed release can be established based on either 

radionuclides or other hazardous substances, or both, assign the pathway (or aquifer or watershed) an 

observed release factor value of 550 and proceed to section 7.2. If an observed release cannot be 

established based on either radionuclides or other hazardous substances, assign an observed release 

factor value of 0 and proceed to section 7.1.2. 

For the soil exposure pathway, if observed contamination can be established based on either 

radionuclides or other hazardous substances, or both, assign the likelihood of exposure factor for 

resident population a value of 550 if there is an area of observed contamination in one or more locations 

listed in section 5.1; evaluate the likelihood of exposure factor for nearby population as specified in 

section 5.2.1; and proceed to section 7.2. If observed contamination cannot be established based on 

either radionuclides or other hazardous substances, do not evaluate the soil exposure pathway. 

7.1.2 Potential to release. For the three migration pathways, evaluate potential to release for sites 

containing radionuclides in the same manner as specified for sites containing other hazardous 

substances. Base the evaluation on the physical and chemical properties of the radionuclides, not on 

their level of radioactivity. 

For sites containing mixed radioactive and other hazardous substances, evaluate potential to release 

considering radionuclides and other hazardous substances together. Evaluate potential to release for 

each migration pathway as specified in sections 3, 4, or 6, as appropriate. 

7.2 Waste characteristics. For radioactive substances, evaluate the human toxicity factor, the 

ecosystem toxicity factor, the surface water persistence factor, and the hazardous waste quantity factor 

as specified in the following sections. Evaluate all other waste characteristic factors as specified in 

sections 2 through 6. 

7.2.1 Human toxicity. For radioactive substances, evaluate the human toxicity factor as specified 

below, not as specified in section 2.4.1.1. 

Assign human toxicity factor values to those radionuclides available to the pathway based on 

quantitative dose-response parameters for cancer risks as follows: 

• Evaluate radionuclides only on the basis of carcinogenicity and assign all radionuclides to weight-ofevidence category A. 

• Assign a human toxicity factor value from table 7–2 to each radionuclide based on its slope factor (also 

referred to as cancer potency factor). 

–For each radionuclide, use the higher of the slope factors for inhalation and ingestion to assign the 

factor value.–If only one slope factor is available for the radionuclide, use it to assign the toxicity factor 

value.–If no slope factor is available for the radionuclide, assign that radionuclide a toxicity factor value 

of 0 and use other radionuclides for which a slope factor is available to evaluate the pathway. 

• If all radionuclides available to a particular pathway are assigned a human toxicity factor value of 0 

(that is, no slope factor is available for all the radionuclides), use a default human toxicity factor value of 

1,000 as the human toxicity factor value for all radionuclides available to the pathway. 

At sites containing mixed radioactive and other hazardous substances, evaluate the toxicity factor 

separately for the radioactive and other hazardous substances and assign each a separate toxicity 

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factor value. This applies regardless of whether the radioactive and other hazardous substances are 

physically separated, combined chemically, or simply mixed together. Assign toxicity factor values to the 

radionuclides as specified above and to the other hazardous substances as specified in section 2.4.1.1. 

At sites containing mixed radioactive and other hazardous substances, if all radionuclides available to a 

particular pathway are assigned a human toxicity factor value of 0, use a default human toxicity factor 

value of 1,000 for all those radionuclides even if nonradioactive hazardous substances available to the 

pathway are assigned human toxicity factor values greater than 0. Similarly, if all nonradioactive 

hazardous substances available to the pathway are assigned a human toxicity factor value of 0, use a 

default human toxicity factor value of 100 for all these nonradioactive hazardous substances even if 

radionuclides available to the pathway are assigned human toxicity factor values greater than 0. 

7.2.2 Ecosystem toxicity. For the surface water environmental threat (see sections 4.1.4 and 4.2.4). 

assign an ecosystem toxicity factor value to radionuclides (alone or combined chemically or mixed with 

other hazardous substances) using the same slope factors and procedures specified for the human 

toxicity factor in section 7.2.1, except: use a default of 100, not 1,000, if all radionuclides eligible to be 

evaluated for ecosystem toxicity receive an ecosystem toxicity factor value of 0. 

Table 7–2—Toxicity Factor Values for Radionuclides 

aRadionuclide slope factors are estimates of age-averaged, individual lifetime total excess cancer risk 

per picocurie of radionuclide inhaled or ingested. 

At sites containing mixed radioactive and other hazardous substances, evaluate the ecosystem toxicity 

factor separately for the radioactive and other hazardous substances and assign each a separate 

ecosystem toxicity factor value. This applies regardless of whether the radioactive and other hazardous 

substances are physically separated, combined chemically, or simply mixed together. Assign ecosystem 

toxicity factor values to the radionuclides as specified above and to the other hazardous substances as 

specified in sections 4.1.4.2.1.1 and 4.2.4.2.1.1. If all radionuclides available to a particular pathway are 

assigned an ecosystem toxicity factor value of 0, use a default ecosystem toxicity factor value of 100 for 

all these radionuclides even if nonradioactive hazardous substances available to the pathway are 

assigned ecosystem toxicity factor values greater than 0. Similarly, if all nonradioactive hazardous 

substances available to the pathway are assigned an ecosystem toxicity factor value of 0, use a default 

ecosystem toxicity factor value of 100 for all these nonradioactive hazardous substances even if 

radionuclides available to the pathway are assigned ecosystem toxicity factor values greater than 0. 

7.2.3 Persistence. For radionuclides, evaluate the surface water persistence factor based solely on 

half-life; do not include sorption to sediments in the evaluation as is done for nonradioactive hazardous 

substances. Assign a persistence factor value from table 4–10 (section 4.1.2.2.1.2) to each radionuclide 

based on half-life (t1/2) calculated as follows: 

where: 

r=Radioactive half-life. 

v=Volatilization half-life. 

If the volatilization half-life cannot be estimated for a radionuclide from available data, delete it from the 

equation. Select the portion of table 4–10 to use in assigning the persistence factor value as specified in 

section 4.1.2.2.1.2. 

At sites containing mixed radioactive and other hazardous substances, evaluate the persistence factor 

separately for each radionuclide and for each nonradioactive hazardous substance, even if the available 

data indicate that they are combined chemically. Assign a persistence factor value to each radionuclide 

as specified in this section and to each nonradioactive hazardous substance as specified in section 

4.1.2.2.1.2. When combined chemically, assign a single persistence factor value based on the higher of 

the two values assigned (individually) to the radioactive and nonradioactive components. 

7.2.4 Selection of substance potentially posing greatest hazard. For each migration pathway (threat, 

aquifer, or watershed, as appropriate), select the radioactive substance or nonradioactive hazardous 

substance that potentially poses the greatest hazard based on its toxicity factor value, combined with the 

applicable mobility, persistence, and/or bioaccumulation (or ecosystem bioaccumulation) potential factor 

values. Combine these factor values as specified in sections 2, 3, 4, and 6. For the soil exposure 

Cancer slope factora(SF) (pCi)−1 Assigned value

3×10−11≤ SF 10,000

3×10−12≤ SF<3×10−11 1,000

SF<3×10−12 100

SF not available for the radionuclide 0

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pathway, base the selection on the toxicity factor alone (see sections 2 and 5). 

7.2.5 Hazardous waste quantity. To calculate the hazardous waste quantity factor value for sites 

containing radioactive substances, evaluate source hazardous waste quantity (see section 2.4.2.1) using 

only the following two measures in the following hierarchy (these measures are consistent with Tiers A 

and B for nonradioactive hazardous substances in sections 2.4.2.1.1 and 2.4.2.1.2): 

•Radionuclide constituent quantity (Tier A). 

•Radionuclide wastestream quantity (Tier B). 

7.2.5.1 Source hazardous waste quantity for radionuclides. For each migration pathway, assign a 

source hazardous waste quantity value to each source having a containment factor value greater than 0 

for the pathway being evaluated. For the soil exposure pathway, assign a source hazardous waste 

quantity value to each area of observed contamination, as applicable to the threat being evaluated. 

Allocate hazardous substances and hazardous wastestreams to specific sources (or areas of observed 

contamination) as specified in section 2.4.2. 

7.2.5.1.1 Radionuclide constituent quantity (Tier A). Evaluate radionuclide constituent quantity for each 

source (or area of observed contamination) based on the activity content of the radionuclides allocated 

to the source (or area of observed contamination) as follows: 

• Estimate the net activity content (in curies) for the source (or area of observed contamination) based 

on: 

–Manifests, or–Either of the following equations, as applicable: 

where: 

N=Estimated net activity content (in curies) for the source (or area of observed contamination). 

V=Total volume of material (in cubic yards) in a source (or area of observed contamination) containing 

radionuclides. 

ACi=Activity concentration above the respective background concentration (in pCi/g) for each 

radionuclide i allocated to the source (or area of observed contamination). 

n=Number of radionuclides allocated to the source (or area of observed contamination) above the 

respective background concentrations. 

 or, 

 where: 

N=Estimated net activity content (in curies) for the source (or area of observed contamination). 

V=Total volume of material (in gallons) in a source (or area of observed contamination) containing 

radionuclides. 

ACi=Activity concentration above the respective background concentration (in pCi/1) for each 

radionuclide i allocated to the source (or area of observed contamination). 

n=Number of radionuclides allocated to the source (or area of observed contamination) above the 

respective background concentrations. 

–Estimate volume for the source (or volume for the area of observed contamination) based on records or 

measurements. 

–For the soil exposure pathway, in estimating the volume for areas of observed contamination, do not 

include more than the first 2 feet of depth, except: for those types of areas of observed contamination 

listed in Tier C of table 5–2 (section 5.1.2.2). 

Include the entire depth, not just that within 2 feet of the surface. 

• Convert from curies of radionuclides to equivalent pounds of nonradioactive hazardous substances by 

multiplying the activity estimate for the source (or area of observed contamination) by 1,000. 

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• Assign this resulting product as the radionuclide constituent quantity value for the source (or area of 

observed contamination). 

If the radionuclide constituent quantity for the source (or area of observed contamination) is adequately 

determined (that is, the total activity of all radionuclides in the source and releases from the source [or in 

the area of observed contamination] is known or is estimated with reasonable confidence), do not 

evaluate the radionuclide wastestream quantity measure in section 7.2.5.1.2. Instead, assign 

radionuclide wastestream quantity a value of 0 and proceed to section 7.2.5.1.3. If the radionuclide 

constituent quantity is not adequately determined, assign the source (or area of observed contamination) 

a value for radionuclide constituent quantity based on the available data and proceed to section 

7.2.5.1.2. 

7.2.5.1.2 Radionuclide wastestream quantity (Tier B). Evaluate radionuclide wastestream quantity for 

the source (or area of observed contamination) based on the activity content of radionuclide 

wastestreams allocated to the source (or area of observed contamination) as follows: 

• Estimate the total volume (in cubic yards or in gallons) of wastestreams containing radionuclides 

allocated to the source (or area of observed contamination). 

• Divide the volume in cubic yards by 0.55 (or the volume in gallons by 110) to convert to the activity 

content expressed in terms of equivalent pounds of nonradioactive hazardous substances. 

• Assign the resulting value as the radionuclide wastestream quantity value for the source (or area of 

observed contamination). 

7.2.5.1.3 Calculation of source hazardous waste quantity value for radionuclides. Select the higher of 

the values assigned to the source (or area of observed contamination) for radionuclide constituent 

quantity and radionuclide wastestream quantity. Assign this value as the source hazardous waste 

quantity value for the source (or area of observed contamination). Do not round to the nearest integer. 

7.2.5.2 Calculation of hazardous waste quantity factor value for radionuclides. Sum the source 

hazardous waste quantity values assigned to all sources (or areas of observed contamination) for the 

pathway being evaluated and round this sum to the nearest integer, except: if the sum is greater than 0, 

but less than 1, round it to 1. Based on this value, select a hazardous waste quantity factor value for this 

pathway from table 2–6 (section 2.4.2.2). 

For a migration pathway, if the radionuclide constituent quantity is adequately determined (see section 

7.2.5.1.1) for all sources (or all portions of sources and releases remaining after a removal action), 

assign the value from table 2–6 as the hazardous waste quantity factor value for the pathway. If the 

radionuclide constituent quantity is not adequately determined for one or more sources (or one or more 

portions of sources or releases remaining after a removal action), assign a factor value as follows: 

• If any target for that migration pathway is subject to Level I or Level II concentrations (see section 7.3), 

assign either the value from table 2–6 or a value of 100, whichever is greater, as the hazardous waste 

quantity factor value for that pathway. 

• If none of the targets for that pathway is subject to Level I or Level II concentrations, assign a factor 

value as follows: 

–If there has been no removal action, assign either the value from table 2–6 or a value of 10, whichever 

is greater, as the hazardous waste quantity factor value for that pathway.–If there has been a removal 

action: 

 –Determine values from table 2–6 with and without consideration of the removal action. 

 –If the value that would be assigned from table 2–6 without consideration of the removal action would 

be 100 or greater, assign either the value from table 2–6 with consideration of the removal action or a 

value of 100, whichever is greater, as the hazardous waste quantity factor value for the pathway. 

 –If the value that would be assigned from table 2–6 without consideration of the removal action would 

be less than 100, assign a value of 10 as the hazardous waste quantity factor value for the pathway. 

For the soil exposure pathway, if the radionuclide constituent quantity is adequately determined for all 

areas of observed contamination, assign the value from table 2–6 as the hazardous waste quantity 

factor value. If the radionuclide constituent quantity is not adequately determined for one or more areas 

of observed contamination, assign either the value from table 2–6 or a value of 10, whichever is greater, 

as the hazardous waste quantity factor value. 

7.2.5.3 Calculation of hazardous waste quantity factor value for sites containing mixed radioactive and 

other hazardous substances. For each source (or area of observed contamination) containing mixed 

radioactive and other hazardous substances, calculate two source hazardous waste quantity values—

one based on radionuclides as specified in sections 7.2.5.1 through 7.2.5.1.3 and the other based on the 

nonradioactive hazardous substances as specified in sections 2.4.2.1 through 2.4.2.1.5 (that is, 

determine each value as if the other type of substance was not present). Sum the two values to 

determine a combined source hazardous waste quantity value for the source (or area of observed 

contamination). Do not round this value to the nearest integer. 

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Use this combined source hazardous waste quantity value to calculate the hazardous waste quantity 

factor value for the pathway as specified in section 2.4.2.2, except: if either the hazardous constituent 

quantity or the radionuclide constituent quantity, or both, are not adequately determined for one or more 

sources (or one or more portions of sources or releases remaining after a removal action) or for one or 

more areas of observed contamination, as applicable, assign the value from table 2–6 or the default 

value applicable for the pathway, whichever is greater, as the hazardous waste quantity factor value for 

the pathway. 

7.3 Targets. For radioactive substances, evaluate the targets factor category as specified in section 2.5 

and sections 3 through 6, except: establish Level I and Level II concentrations at sampling locations as 

specified in sections 7.3.1 and 7.3.2. 

For all pathways (and threats), use the same target distance limits for sites containing radioactive 

substances as is specified in sections 3 through 6 for sites containing nonradioactive hazardous 

substances. At sites containing mixed radioactive and other hazardous substances, include all sources 

(or areas of observed contamination) at the site in identifying the applicable targets for the pathway. 

7.3.1 Level of contamination at a sampling location. Determine whether Level I or Level II 

concentrations apply at a sampling location (and thus to the associated targets) as follows: 

• Select the benchmarks from section 7.3.2 applicable to the pathway (or threat) being evaluated. 

• Compare the concentrations of radionuclides in the sample (or comparable samples) to their 

benchmark concentrations for the pathway (or threat) as specified in section 7.3.2. Treat comparable 

samples as specified in section 2.5.1. 

• Determine which level applies based on this comparison. 

• If none of the radionuclides eligible to be evaluated for the sampling location have an applicable 

benchmark, assign Level II to the actual contamination at that sampling location for the pathway (or 

threat). 

• In making the comparison, consider only those samples, and only those radionuclides in the sample, 

that meet the criteria for an observed release (or observed contamination) for the pathway, except: 

tissue samples from aquatic human food chain organisms may also be used for the human food chain 

threat of the surface water pathway as specified in sections 4.1.3.3 and 4.2.3.3. 

7.3.2 Comparison to benchmarks. Use the following media specific benchmarks (expressed in activity 

units, for example, pCi/l for water, pCi/kg for soil and for aquatic human food chain organisms, and 

pCi/m3 for air) for making the comparisons for the indicated pathway (or threat):

• Maximum Contaminant Levels (MCLs)—ground water migration pathway and drinking water threat in 

surface water migration pathway. 

• Uranium Mill Tailings Radiation Control Act (UMTRCA) standards—soil exposure pathway only. 

• Screening concentration for cancer corresponding to that concentration that corresponds to the 

10−6individual cancer risk for inhalation exposures (air migration pathway) or for oral exposures (ground 

water migration pathway; drinking water or human food chain threats in surface water migration 

pathway; and soil exposure pathway). 

–For the soil exposure pathway, include two screening concentrations for cancer—one for ingestion of 

surface materials and one for external radiation exposures from gamma-emitting radionuclides in 

surface materials. 

Select the benchmark(s) applicable to the pathway (or threat) being evaluated. Compare the 

concentration of each radionuclide from the sampling location to its benchmark concentration(s) for that 

pathway (or threat). Use only those samples and only those radionuclides in the sample that meet the 

criteria for an observed release (or observed contamination) for the pathway, except: tissue samples 

from aquatic human food chain organisms may be used as specified in sections 4.1.3.3 and 4.2.3.3. If 

the concentration of any applicable radionuclide from any sample equals or exceeds its benchmark 

concentration, consider the sampling location to be subject to Level I concentrations for that pathway (or 

threat). If more than one benchmark applies to the radionuclide, assign Level I if the radionuclide 

concentration equals or exceeds the lowest applicable benchmark concentration. In addition, for the soil 

exposure pathway, assign Level I concentrations at the sampling location if measured gamma radiation 

exposure rates equal or exceed 2 times the background level (see section 7.1.1). 

If no radionuclide individually equals or exceeds its benchmark concentration, but more than one 

radionuclide either meets the criteria for an observed release (or observed contamination) for the sample 

or is eligible to be evaluated for a tissue sample (see sections 4.1.3.3 and 4.2.3.3), calculate a value for 

index I for these radionuclides as specified in section 2.5.2. If I equals or exceeds 1, assign Level I to the 

sampling location. If I is less than 1, assign Level II. 

At sites containing mixed radioactive and other hazardous substances, establish the level of 

contamination for each sampling location considering radioactive substances and nonradioactive 

hazardous substances separately. Compare the concentration of each radionuclide and each 

nonradioactive hazardous substance from the sampling location to its respective benchmark 

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concentration(s). Use only those samples and only those substances in the sample that meet the criteria 

for an observed release (or observed contamination) for the pathway except: tissue samples from 

aquatic human food chain organisms may be used as specified in sections 4.1.3.3 and 4.2.3.3. If the 

concentration of one or more applicable radionuclides or other hazardous substances from any sample 

equals or exceeds its benchmark concentration, consider the sampling location to be subject to Level I 

concentrations. If more than one benchmark applies to a radionuclide or other hazardous substance, 

assign Level I if the concentration of the radionuclide or other hazardous substance equals or exceeds 

its lowest applicable benchmark concentration. 

If no radionuclide or other hazardous substance individually exceed a benchmark concentration, but 

more than one radionuclide or other hazardous substance either meets the criteria for an observed 

release (or observed contamination) for the sample or is eligible to be evaluated for a tissue sample, 

calculate an index I for both types of substances as specified in section 2.5.2. Sum the index I values for 

the two types of substances. If the value, individually or combined, equals or exceeds 1, assign Level I 

to the sample location. If it is less than 1, calculate an index J for the nonradioactive hazardous 

substances as specified in section 2.5.2. If J equals or exceeds 1, assign Level I to the sampling 

location. If J is less than 1, assign Level II. 

[55 FR 51583, Dec. 14, 1990] 

Appendix B to Part 300—National Priorities List 

 top

Link to an amendment published at 76 FR 70061, November 10, 2011.

Table 1—General Superfund Section 

State Site name City/County

Notes

(a)

AK Salt Chuck Mine Outer Ketchikan County

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 Vertac, Inc. Jacksonville

AZ Apache Powder Co. St. David

AZ Hassayampa Landfill Hassayampa

AZ Indian Bend Wash Area Scottsdale/Tempe/Phoenix P

AZ Iron King Mine—Humboldt 

Smelter

Dewey-Humboldt

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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 B.F. Goodrich Rialto.

CA Beckman Instruments (Porterville 

Plant)

Porterville C

CA Blue Ledge Mine Rogue River—Siskiyou 

National Forest

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

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CA Monolithic Memories Sunnyvale C

CA Montrose Chemical Corp Torrance

CA National Semiconductor Corp Santa Clara

CA New Idria Mercury Mine Idria

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

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 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 P

CO Eagle Mine Minturn/Redcliff

CO Lincoln Park Canon City

CO Lowry Landfill Arapahoe County

CO Marshall Landfill Boulder County C,S

CO Nelson Tunnel/Commodore 

Waste Rock

Creede

CO Standard Mine Gunnison National Forest

CO Summitville Mine Rio Grande County

CO Uravan Uranium Project (Union 

Carbide)

(former town of) Uravan P*

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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 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 Arkla Terra Property Thonotosassa.

FL B&B Chemical Co., Inc Hialeah C

FL Cabot/Koppers Gainesville

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 Flash Cleaners Pompano Beach

FL Florida Petroleum Reprocessors Fort Lauderdale

FL Florida Steel Corp Indiantown

FL General Dynamics Longwood Longwood.

FL Harris Corp. (Palm Bay Plant) Palm Bay

FL Helena Chemical Co. (Tampa 

Plant)

Tampa

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FL Hipps Road Landfill Duval County C

FL Hollingsworth Solderless 

Terminal

Fort Lauderdale C

FL JJ Seifert Machine Ruskin

FL Kerr-McGee Chemical CorpJacksonvilleJacksonville

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 Raleigh Street Dump Tampa.

FL Reeves Southeast Galvanizing 

Corp

Tampa

FL Sanford Dry Cleaners Sanford.

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 Armstrong World Industries Macon

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 T.H. Agriculture & Nutrition Albany

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(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

IL Byron Salvage Yard Byron

IL Central Illinois Public Service Co Taylorville C

IL Chemetco Madison County

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

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IL Kerr-McGee (Residential Areas) West Chicago/DuPage 

County

IL Kerr-McGee (Sewage Treatment 

Plant)

West Chicago

IL Lake Calumet Cluster 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 Sandoval Zinc Company Sandoval

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 Gary Development Company Gary

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 Lane Street Ground Water 

Contamination

Elkhart.

IN Lemon Lane Landfill Bloomington

IN Lusher Street Ground Water 

Contamination

Elkhart

IN MIDCO I Gary

IN MIDCO II Gary

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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 U.S. Smelter and Lead Refinery, 

Inc

East Chicago.

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

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 Combustion, Inc Denham Springs

LA Madisonville Creosote Works Madisonville

LA Marion Pressure Treating Marion

LA Petro-Processors of Louisiana 

Inc

Scotlandville

MA Atlas Tack Corp Fairhaven

MA Baird & McGuire Holbrook

MA Blackburn & Union Privileges Walpole

MA Cannon Engineering Corp. (CEC) Bridgewater C

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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 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 Dwyer Property Ground Water 

Plume

Elkton

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

MI Auto Ion Chemicals, Inc Kalamazoo C

MI Barrels, Inc Lansing

MI Bendix Corp./Allied Automotive St. Joseph

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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 Golf Course St. Louis

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 Springfield Township Dump Davisburg

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MI State Disposal Landfill, Inc Grand Rapids

MI Sturgis Municipal Wells Sturgis

MI Tar Lake Antrim P

MI Ten-Mile Drain St. Clair Shores.

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

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

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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 Southwest Jefferson County 

Mining

Jefferson County.

MO St. Louis Airport/HIS/Futura 

Coatings Co

St. Louis County

MO Syntex Facility Verona

MO Valley Park TCE Valley Park

MO Vienna Wells Vienna.

MO Washington County Lead 

District—Furnace Creek

Caledonia

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 Kerr-McGee Chemical Corp—

Columbus

Columbus

MS Picayune Wood Treating Picayune

MS Red Panther Chemical Company Clarksdale

MS Sonford Products Flowood

MT ACM Smelter and Refinery Cascade County

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 Flat Creek IMM Superior.

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 ***P

MT Silver Bow Creek/Butte Area Sil Bow/Deer Lodge

MT Upper Tenmile Creek Mining 

Area

Lewis and Clark

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NC ABC One Hour Cleaners Jacksonville

NC Aberdeen Contaminated Ground 

Water

Aberdeen

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 GMH Electronics Roxboro.

NC Geigy Chemical Corp. (Aberdeen 

Plant)

Aberdeen

NC General Electric Co/Shepherd 

Farm

East Flat Rock P

NC Horton Iron and Metal Wilmington

NC JFD Electronics/Channel Master Oxford

NC Jadco-Hughes Facility Belmont C

NC Kerr-McGee Chemical CorpNavassaNavassa

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 Ore Knob Mine Ashe County.

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.

NC Wright Chemical Corporation Riegelwood

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 Mead

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(Former)

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

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NJ Curtis Specialty Papers, Inc Milford.

NJ D'Imperio Property Hamilton Township

NJ Dayco Corp./L.E Carpenter Co Wharton Borough

NJ De Rewal Chemical Co Kingwood Township

NJ Diamond Alkali Co Newark

NJ Diamond Head Oil Refinery Div Kearny

NJ Dover Municipal Well 4 Dover Township

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 Garfield Ground Water 

Contamination

Garfield

NJ GEMS Landfill Gloucester Township

NJ Garden State Cleaners Co Minotola

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 Mansfield Trail Dump Byram Township

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 Montgomery Township Housing 

Development

Montgomery Township

NJ Myers Property Franklin Township

NJ NL Industries Pedricktown

NJ Nascolite Corp Millville

NJ PJP Landfill Jersey City

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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 Raritan Bay Slag Old Bridge 

Township/Sayreville.

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 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 

Contamination

Wall Township

NJ Williams Property Swainton 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 P

NM Chevron Questa Mine Questa

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

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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 Black River PCBs Jefferson County.

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 Dewey Loeffel Landfill Nassau

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 Gowanus Canal Brooklyn

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

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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 New Cassel/Hicksville Ground 

Water Contamination

New Cassel/Hicksville

NY Newtown Creek Brooklyn/Queens

NY Niagara Mohawk Power Co 

(Saratoga Spings)

Saratoga Springs

NY Old Bethpage Landfill Oyster Bay C

NY Old Roosevelt Field 

Contaminated Ground Water 

Area

Garden City.

NY Olean Well Field Olean

NY Onondaga Lake Syracuse

NY Peninsula Boulevard Ground 

Water Plume

Hewlett

NY Peter Cooper Gowanda.

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 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

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OH Allied Chemical & Ironton Coke Ironton

OH Behr Dayton Thermal System 

VOC Plume

Dayton.

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 East Troy Contaminated Aquifer Troy

OH Fields Brook Ashtabula

OH Fultz Landfill Jackson Township

OH Industrial Excess Landfill Uniontown

OH Lammers Barrel Beavercreek

OH Little Scioto River Marion County.

OH Miami County Incinerator Troy C

OH Milford Contaminated Aquifer Milford

OH Nease Chemical Salem

OH New Carlisle Landfill New Carlisle.

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

Okalahoma City

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 Black Butte Mine Cottage Grove

OR Formosa Mine Douglas County

OR Harbor Oil Portland

OR McCormick & Baxter Creos. Co 

(Portland)

Portland

OR North Ridge Estates Klamath Falls

OR Northwest Pipe & Casing/Hall 

Process Company

Clackamas

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OR Portland Harbor Portland

OR Reynolds Metals Company Troutdale

OR Taylor Lumber and Treating Sheridan.

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 Sand Pit Longswamp Township C

PA Blosenski Landfill West Caln Township

PA Boarhead Farms Bridgeton Township

PA BoRit Asbetos Ambler.

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 Maitland

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Refinery

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 

Counties.

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

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 Salford Quarry Lower Salford Township.

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

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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 Cabo Rojo Ground Water 

Contamination

Cabo Rojo

PR Cidra Ground Water 

Contamination

Cidra

PR Fibers Public Supply Wells Jobos

PR Hormigas Ground Water Plume Caguas

PR Juncos Landfill Juncos

PR Maunabo Area Ground Water 

Contamination

Maunabo

PR Papelera Puertorriquena, Inc Utuado.

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 Barite Hill/Nevada Goldfields McCormick.

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

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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 US Finishing/Cone Mills Greenville

SC Wamchem, Inc Burton

SD Gilt Edge Mine Lead

TN Alamo Contaminated Ground 

Water

Alamo

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

TN Murray-Ohio Dump Lawrenceburg

TN Ross Metals Inc Rossville

TN Smalley-Piper Collierville

TN Smokey Mountain Smelters Knox County.

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 Attebury Grain Storage Facility Happy.

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 Falcon Refinery Ingleside

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

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TX Malone Service Company, Inc Texas City.

TX Many Diversified Interests, Inc Houston P

TX Midessa Ground Water Plume Odessa

TX Motco, Inc La Marque S

TX North Cavalcade Street Houston

TX Odessa Chromium #1 Odessa C

TX Old Esco Manufacturing Greenville

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

TX Van der Horst USA Corporation Terrell

TX West County Road 112 Ground 

Water

Midland

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 Jacobs Smelters Tooele County P

UT Midvale Slag Midvale

UT Portland Cement (Kiln Dust 2 & 

3)

Salt Lake City

UT U.S. Magnesium Tooele County.

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

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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

VA Peck Iron and Metal Portsmouth.

VA Rentokil, Inc. (Virginia Wood 

Preserving Division)

Richmond P

VA Saltville Waste Disposal Ponds Saltville

VA Saunders Supply Co Chuckatuck

VA U.S. Titanium Piney River

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

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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 Amcast Industrial Corporation Cedarburg

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

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

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(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 deletion(s). 

P = Sites with partial deletion(s). 

Table 2—Federal Facilities Section 

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

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

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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 

Counties

P

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

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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, 

Mashpee

P

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 Detrick Area B Ground Water Frederick

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 Hall County

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Plant

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 P

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

PA Letterkenny Army Depot (SE 

Area)

Chambersburg P

PA Letterkenny Army Depot (PDO 

Area)

Franklin County P

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

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1Only 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. 

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

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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 volume and at 

www.fdsys.gov. 

Appendix C to Part 300—Swirling Flask Dispersant Effectiveness Test, Revised 

Standard Dispersant Toxicity Test, and Bioremediation Agent Effectiveness Test 

 top

Table of Contents 

1.0 Introduction 

2.0 Swirling Flask Dispersant Effectiveness Test 

3.0 Revised Standard Dispersant Toxicity Test 

4.0 Bioremediation Agent Effectiveness Test 

5.0 Bioremediation Agent Toxicity Test 

6.0 Summary Technical Product Test Data Format 

References

List of Illustrations 

Figure Number

1 Swirling Flask Test Apparatus 

List of Tables 

Table Number

1 Major Ion Composition of “Instant Ocean” Synthetic Sea Salt 

2 Test Oil Characteristics 

3 Oil Standard Solutions: Concentrations in Final DCM Extractions 

4 Synthetic Seawater [Toxicity Test] 

5 Test Oil Characteristics: No. 2 Fuel Oil 

6 Analytes Listed Under the Corresponding Internal Standard Used in Calculating RRFs 

7 Primary Ions Monitored for Each Target Analyte During GC/MS Analysis 

8 Analytes and Reference Compounds 

9 Operating Conditions and Temperature Program of GC/MS 

10 Two-Way ANOVA Table 

11 Product Test Data, Total Aromatics 

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12 Summary Statistics for Product Test Data, Total Aromatics 

13 Example Two-Way ANOVA Table 

14 Pairwise Protected LSD Mean Separation 

1.0 Introduction

1.1 Scope and Application. The methods described below apply to “dispersants, surface washing 

agents, surface collecting agents, bioremediation agents, and miscellaneous oil spill control agents” 

involving subpart J (Use of Dispersants and Other Chemicals) in 40 CFR part 300 (National Oil and 

Hazardous Substances Pollution Contingency Plan). They are revisions and additions to the EPA's 

Standard Dispersant Effectiveness and Toxicity Tests (1). The new Swirling Flask Dispersant 

Effectiveness Test is used only for testing dispersants. The Revised Standard Dispersant Toxicity Test is 

used for testing dispersants, as well as surface washing agents, surface collecting agents, and 

miscellaneous oil spill control agents. The bioremediation agent effectiveness test is used for testing 

bioremediation agents only. 

1.2 Definitions. The definitions of dispersants, surface washing agents, surface collecting agents, 

bioremediation agents, and miscellaneous oil spill control agents are provided in 40 CFR 300.5. 

2.0 Swirling Flask Dispersant Effectiveness Test

2.1 Summary of Method. This protocol was developed by Environment Canada to provide a relatively 

rapid and simple testing procedure for evaluating dispersant effectiveness (2). It uses a modified 

Erlenmeyer flask to which a side spout has been added for removing subsurface samples of water near 

the bottom of the flask without disturbing a surface oil layer. Seawater and a surface layer of oil are 

added to the flask. Turbulent mixing is provided by placing the flask on a standard shaker table at 150 

rpm for 20 minutes to induce a swirling motion to the liquid contents. Following shaking, the flask is 

immediately removed from the shaker table and maintained in a stationary position for 10 minutes to 

allow the oil that will reform a slick to return to the water's surface. A sample of water for chemical 

analysis is then removed from the bottom of the flask through the side spout, extracted with methylene 

chloride (dichloromethane-DCM), and analyzed for oil content by UV-visible absorption 

spectrophotometry at wavelengths of 340, 370, and 400 nm (2). 

2.2 Apparatus. 

2.2.1 Modified Erlenmeyer Flask. Use 125-ml glass Erlenmeyer flasks that have been modified to 

include an attachment of a glass side spout that extends from the bottom of the flask upward to the neck 

region, as shown in Figure 1. 

2.2.2 Shaker Table. Use a shaker table with speed control unit with variable speed (40–400 rpm) and 

an orbital diameter of approximately 0.75 inches (2 cm) to provide turbulence to solutions in test flasks. 

2.2.3 Spectrophotometer. Use a UV-visible spectrophotometer capable of measuring absorbance at 

340, 370, and 400 nm. A Hitachi Model U–2000 or equivalent is acceptable for this purpose. 

2.2.4 Glassware. Glassware should consist of 5-, 10-, 25-, 100-, and 500-ml graduated cylinders; 125-

ml separatory funnels with Teflon stopcocks; and 10-, 100-, and 1,000-ml volumetric flasks and 

micropipettes. 

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2.3 Reagents. 2.3.1 Synthetic seawater. The synthetic sea salt “Instant Ocean,” manufactured by 

Aquarium Systems of Mentor, OH, can be used for this purpose. The synthetic seawater solution is 

prepared by dissolving 34 g of the salt mixture in 1 liter of distilled water ( i.e. , a salinity of 34 ppt). Table 

1 provides a list of the ion composition of the seasalt mixture. 

Table 1—Major Ion Composition of “Instant Ocean” Synthetic Sea Salt 

Following the preparation, the saltwater solution is allowed to equilibrate to the ambient temperature of 

the laboratory and should be in the range of 22±3 °C. 

2.3.2 Test oil. Two EPA/American Petroleum Institute (API) standard reference oils, Prudhoe Bay and 

South Louisiana crude, should be used for this test. These oils can be obtained from the Resource 

Technology Corporation, 2931 Soldier Springs Road, P.O. Box 1346, Laramie, WY 82070, (307) 742–

5452. These oils have been thoroughly homogenized, as well as characterized physically and chemically 

for previous EPA and API studies. Various selected parameters are presented in table 2. 

Table 2—Test Oil Characteristics 

1At 15 °C

2Not calculable when viscosity at 100 °C is less than 2.0.

Major Ion

% Total 

Weight

Ionic Concentration at 34 ppt salinity 

(mg/1)

Chloride (C1−) 47.470 18,740

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

Bicarbonate 

(HCO3−)

0.491 194

Boron (B) 0.015 6.0

Strontium (Sr==) 0.001 7.5

 SOLIDS TOTAL 86.11% 34,089.50

Water 13.88

 TOTAL 99.99%

 

Prudhoe Bay crude 

oil

South Louisiana crude 

oil

Specific gravity1 0.894 kg/1 0.840 kg/1

API gravity1 26.8 degrees 37.0 degrees

Sulfur 1.03 wt% 0.23 wt%

Sulfur compounds, profile

Nitrogen 0.20 wt% 0.031 wt%

Vanadium 21 mg/1 0.95 mg/1

Nickel 11 mg/1 1.1 mg/1

Simulated distillation 

profile

Infrared spectrum

UV fluorescence spectrum

Pour Point +25 °F 0 °F

Viscosity

 at 40 °C 14.09 cST 3.582 cST

 at 100 °C 4.059 cST 1.568 cST

Index 210 (

2)

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2.3.3 Methylene Chloride (Dichloromethane-DCM), pesticide quality. For extraction of all sample water 

and oil-standard water samples. 

2.4 Pretest preparation. 2.4.1 Preparation and analysis of oil standards. 2.4.1.1 Standard solutions of 

oil for calibrating the UV-visible spectrophotometer are prepared with the specific reference oils and 

dispersant used for a particular set of experimental test runs. For experiments with no dispersant, only 

oil is used to make the standard solution. For experiments with the oil plus dispersant, the standard is 

made with a 1:10 (v:v) mixture of the dispersant to the test oil ( i.e. , a dispersant-to-oil ratio of 1:10). 

This ratio is used in the test tank with dispersant added. The presence of water and certain dispersants 

in DCM extracts can affect absorbance readings in a spectrophotometer. All standard solutions of oil 

(and dispersant, if present) should be prepared in a stepwise manner that reflects the analytical protocol 

used for the experimental water samples. 

2.4.1.2 To prepare the standards, prepare a parent oil-DCM standard by mixing 1 part oil (plus 1/10 part 

premixed dispersant, if applicable) to 9 parts DCM ( i.e. , 1:10 dilution of the oil v:v). Add a specific 

volume of the parent oil-DCM standard to 30 ml of synthetic seawater in a separatory funnel. Extract the 

oil-water mixture with 5-ml volumes of DCM after 15 seconds of vigorous shaking followed by a 2 minute 

stationary period to allow for phase separation for each extraction. Repeat the extraction using a total of 

three 5-ml portions of DCM. Adjust the final DCM volume for the combined extracts to 20 ml with DCM in 

a 25-ml graduated cylinder. 

2.4.1.3 The quantities of oil used to achieve the desired concentrations in the final 20-ml DCM extracts 

for the standard oil-solutions are summarized in table 3. Specific masses for oil amounts in standards 

are determined as volumes of oil multiplied by the density of the oil. 

2.4.2 Linear stability calibration of UV-Visible spectrophotometer. 

2.4.2.1 Before DCM-extracts of dispersed oil-water samples can be analyzed for their oil content, the 

UV-visible spectrophotometer must meet an instrument stability calibration criterion. This criterion is 

determined with the six oil standards identified in table 3. Determine the absorbance of standards at 

each of the three analytical wavelengths ( i.e. , 340, 370, and 400 nm). Determine the response factors 

(RFs) for the test oil at each of the three analytical wavelengths using the following equation: 

RFx=C/Ax (1)

where: 

RFx=Response factor at wavelength x (x=340, 370, or 400 nm)

C=Oil concentration, in mg of oil/ml of DCM in standard solution 

Ax=Spectrophotometric absorbance of wavelength x

Table 3—Oil Standard Solutions: Concentrations in Final DCM Extractions1

1Assuming an oil density of 0.9 g/ml and an extraction efficiency of 100% for oil from the 30-ml of 

seawater. 

2.4.2.2 Instrument stability for the initial calibration is acceptable when the RFs for the five highest 

standard extracts of oil are <20% different from the overall mean value for the five standards. If this 

criterion is satisfied, analysis of sample extracts can begin. RFs for the lowest concentration (0.05 mg 

oil/ml DCM) are not included in the consideration because the absorbance is close to the detection limit 

of the spectrophotometer (with associated high variability in the value) for the 1-cm path-length cell used 

for measurements. Absorbances ≥3.5 are not included because absorbance saturation occurs at and 

above this value. 

2.4.2.3 If one or more of the standard oil extracts do not meet this linear-stability criterion, then the 

“offending” standard(s) can be prepared a second time ( i.e. , extraction of the specified amount of oil 

Final oil 

concentration 

(mg/ml of DCM)

Final extract 

volume 

(ml of DCM)

Total 

amount of 

oil 

in standard 

(mg)

Volume of parent oil-DCM 

std (μl) added to saltwater

4.0 20.0 80.0 890

2.0 20.0 40.0 440

1.0 20.0 20.0 220

0.50 20.0 10.0 110

0.10 20.0 2.0 22

0.05 20.0 1.0 11

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from 30-ml or seawater for the “offending” standard according to the pretest preparation procedure). If 

replacement of the reanalyzed standard solution(s) in the standard curve meets the linear-stability 

criterion ( i.e. , no RF >20% different from the overall mean), then analysis of sample extracts can begin. 

2.4.2.4 If the initial-stability criterion is still not satisfied, analysis of sample extract cannot begin and the 

source of the problem (e.g., preparation protocol for the oil standards, spectrophotometer stability, etc.) 

must be corrected. 

2.4.2.5 The initial six-point calibration of the UV-visible spectrophotometer at the oil concentrations 

identified is required at least once per test day. 

2.5 Test procedure. 2.5.1 Preparation of premixed dispersant oil. Prepare a premixed dispersant oil by 

mixing 1 part dispersant to 10 parts oil. Store this mixture in a glass container. The dispersant 

effectiveness test procedures are listed in steps 1–20: 

1. Prepare 4 replicates (same test oil and dispersant), one control ( i.e. , no dispersant), and one method 

blank and run at the same time on the shaker table. 

2. Add 120±2 ml of synthetic seawater to each of the modified 125-ml glass Erlenmeyer flasks. Measure 

and record the water temperature. 

3. Place the flasks securely into the attached slot on the shaker table. 

4. Carefully add 100 μl of an oil-dispersant solution onto the center of the water's surface using a 

positive displacement pipette. 

5. Agitate the flasks for 20±1 minutes at 150±10 rpm on the shaker table. 

6. After the 20±1 minutes shaking, remove the flasks from the shaker table and allow them to remain 

stationary for 10±1 minutes for oil droplet “settling.” 

7. At the conclusion of the 10-minute settling period, carefully decant a 30-ml sample through the side 

spout of the test flasks into a 50-ml graduated cylinder. 

Note: Discard the first 1–2 ml of sample water to remove nonhomogeneous water-oil initially 

contained in the spout.

8. Transfer the samples from the graduated cylinder into a 125- or 250-ml glass separatory funnel fitted 

with a Teflon stopcock. 

9. Add 5 ml of pesticide-quality DCM to the separatory funnel and shake vigorously for 15 seconds. 

Release the pressure carefully from the separatory funnel through the stopcock into a fume hood. 

10. Allow the funnel to remain in a stationary position for 2 minutes to allow phase-separation of the 

water and DCM. 

11. Drain the DCM layer from the separatory funnel into a glass-stoppered, 25-ml graduated glass 

cylinder. 

12. Repeat the DCM-extraction process two additional times. 

13. Combine the three extracts in the graduated cylinder and adjust the final volume to 20-ml with 

additional DCM. 

14. Analyze the samples using a UV-spectrophotometer at 340, 370, and 400 nm-wavelengths and 

determine the quantity of oil as follows: 

 Cx=(Ax)x(RFx)x(VDCM)x(Vtw/Vew) (2)

where: 

Cx=Total mass of dispersed oil in swirling flask at wavelength x (x=340, 370, or 400 nm)

Ax=Spectrophotometric absorbance at wavelength x

RFx=Mean response factor at wavelength x (determined from equation 1)

VDCM=Final volume of DCM-extract of water sample (20 ml)

Vtw=Total water volume in swirling flask vessel (120 ml)

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Vew=Volume of water extracted for dispersed oil content (30 ml)

15. Obtain three concentration values for oil in each experimental water sample (340, 370, and 400 nm). 

16. Determine the mean of three values as follows: 

 Cmean=(C340+C370+C400)/3 (3)

Note: Means will be used for all dispersion-performance calculations. Samples where one of 

the values for C340, C370, or C400is more than 30% different from Cmeanwill be flagged. 

Whenever oil measurements are flagged as having a concentration based on one wavelength 

as >30% different from Cmean, raw data will be evaluated to establish that the measurements 

are valid. In addition, attempts will be made to correlate the difference to oil type, dispersant 

test, or dispersant used. If no errors or correlations are apparent and >10% of all oil 

measurements are flagged, the mean concentration data will be used in the calculation for 

dispersant performance and the subject data will be flagged.

17. Determine the dispersant performance ( i.e. , percent of oil that is dispersed, or EFF) based on the 

ratio of oil dispersed in the test system to the total oil added to the system as follows: 

 EFF (in %)=(Cmean/CTOT)×100 (4)

where: 

Cmean=Mean value for total mass of dispersed oil in the swirling flask determined by spectrophotometric 

analysis 

CTOT=Total mass of oil initially added to the experimental swirling flask

18. Calculate EFF using equation 4 for coupled experiments with and without dispersant (EFFcand 

EFFd, respectively). EFFcis the effectiveness of the control and represents natural dispersion of the oil in 

the test apparatus. EFFdis the measured uncorrected value. 

19. Calculate the final dispersant performance of a chemical dispersant agent after correcting for natural 

dispersion using equation 5. 

 EFFD=EFFd—EFFc (5)

where: 

EFFD=% dispersed oil due to dispersant only

EFFd=% dispersed oil with dispersant added

EFFc= % dispersed oil with no dispersant added

20. Calculate the average dispersant effectiveness value by summing the corrected values (EFFD) for 

each of the four replicates for each of the two test oils and dividing this sum by eight. 

2.6 Performance criterion. The dispersant product tested will remain in consideration for addition to the 

NCP Product Schedule if the average dispersant effectiveness, as calculated in section 2.5 above, is at 

least 45% ( i.e. , 50%±5%). 

2.7 Quality Control (QC) procedures for measurements of oil concentrations. 2.7.1 UV-visible 

spectrophotometric measurements. At least 5% of all UV-visible spectrophotometric measurements will 

be performed in duplicate as a QC check on the analytical measurement method. The absorbance 

values for the duplicates should agree within ±5% of their mean value. 

2.7.2 Method blanks. Analytical method blanks involve an analysis of seawater blanks ( i.e. , seawater 

but no oil or dispersant in a swirling flask vessel) through testing and analytical procedures (3, pp 79–

80). Method blanks are analyzed with a frequency of at least 1 for every 12 experimental swirling flask 

samples. Oil concentrations in method blanks must be <5% of that occurring for 100% dispersion of oil 

in testing apparatus. 

3.0 Revised standard dispersant toxicity test

3.1 Summary of method. The standard toxicity test for dispersants and other products involves 

exposing two species (Menidia beryllina (silversides) and Mysidopsis bahia (mysid shrimp)) to five 

concentrations of the test product and No. 2 fuel oil alone and in a 1:10 mixture of product to oil. To aid 

in comparing results from assays performed by different workers, reference toxicity tests are conducted 

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using dodecyl sodium sulfate (DSS) as a reference toxicant. The test length is 96 hours for Menidia and 

48 hours for Mysidopsis. LC50s are calculated based on mortality data at the end of the exposure period 

(for method of calculation, see section 3.6 below). 

3.2 Selection and preparation of test materials. 

3.2.1 Test organisms. 

3.2.1.1 Menidia beryllina. Obtain fish (silversides) from a single source for each series of toxicity tests. 

In-house cultures are recommended wherever it is cost-effective; however, organisms are available from 

commercial suppliers. Information on the source of test organisms and any known unusual condition to 

which fish were exposed before use should be included in the data report. Use of animals previously 

treated with pesticides or chemotherapeutic agents should be avoided. Organisms should not be used if 

they appear to be unhealthy, discolored, or show signs of stress. Use 7-day old larval fish. Fish should 

be cultured in accordance with the methods outlined in Middaugh, et al. (5). There should be no need to 

acclimate organisms to the 25±1 °C temperature recommended for the toxicity tests if laboratory stock 

cultures of Menidia are maintained at the recommended culture temperature of 25±1 °C. If test 

organisms must be obtained from a commercial source, it may become necessary to acclimate test fish 

to the test temperature of 25±1 °C, a pH of 8.0±0.2, and 20±2 ppt salinity since changes in temperature 

may occur during shipping. Eliminate groups of fish having a mortality of more than 10% during the first 

48 hours, and more than 5% thereafter. During acclimation, organisms should be maintained on a diet of 

freshly hatched Artemia (brine shrimp) nauplii. Feed the fish daily to satiation during the acclimation 

period, and once daily during the 96-hour test. Care should be taken daily to remove excess food and 

fecal material from beakers during the test. Use only those organisms that feed actively and that appear 

to be healthy. Organisms should be free of disease, external parasites, and any signs of physical 

damage or stress. Discard any fish injured or dropped while handling. 

3.2.1.2 Mysidopsis bahia. Several methods for culturing Mysidopsis bahia (mysid shrimp) may be used 

and are noted in appendix A of Methods for Measuring the Acute Toxicity of Effluents and Receiving 

Waters to Freshwater and Marine Organisms (6). To ensure uniformity of mysids, recently hatched 

mysids should be collected daily from stock cultures and identified by the date of hatch. Mysids used in 

48-hour tests should be from a single day's collection, but may have an age range of 5–7 days old. In 

cases where in-house cultures of mysids are unavailable, organisms may be purchased from a 

commercial source. Information on the source of test organisms should be submitted in the data report. 

3.2.2 Preparation of experimental water. Filtered natural seawater is recommended for use since it 

represents a natural source of saltwater containing an inherent population of microorganisms. Synthetic 

seawater formulated according to the following method can serve as an acceptable alternative to filtered, 

natural seawater for toxicity tests performed in laboratories in which natural seawater is unavailable. 

3.2.3 Synthetic seawater formation. To prepare standard seawater, mix technical-grade salts with 900 

liters of distilled or demineralized water in the order and quantities listed in table 4. These ingredients 

must be added in the order listed and each ingredient must be dissolved before another is added. Stir 

constantly after each addition during preparation until dissolution is complete. Add distilled or 

demineralized water to make up to 1,000 liters. The pH should now be 8.0±0.2. To attain the desired 

salinity of 20±1 ppt, dilute again with distilled or demineralized water at time of use. 

3.3 Sampling and storage of test materials. Toxicity tests are performed with No. 2 fuel oil having the 

characteristics defined in table 5. Store oil used for toxicity tests in sealed containers to prevent the loss 

of volatiles and other changes. For ease in handling and use, it is recommended that 1,000-ml glass 

containers be used. To ensure comparable results in the bioassay tests, use oils packaged and sealed 

at the source. Dispose of unused oil in each open container on completion of dosing to prevent its use at 

a later date when it may have lost some of its volatile components. Run all tests in a bioassay series 

with oil from the same container and with organisms from the same group collected or secured from the 

same source. 

Table 4—Synthetic Seawater 

[Toxicity Test] 

Salt (g)1

NaF 1.9

SrCl2· 6H2O 13.0

H3BO2 20.0

KBr 67.0

KCl 466.0

CaC12· 2H2O 733.0

Na2SO4 2,660.0

MgCl2· 6H2O 3,330.0

NaCl 15,650.0

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1Amount added to 900 liters of water, as described in the text.

2Ethylenediaminetetraacetate tetrasodium salt.

3.4 General test conditions and procedures for toxicity tests. 

3.4.1 Temperature. For these toxicity tests, use test solutions with temperatures of 25±1 °C. 

3.4.2 Dissolved oxygen and aeration. 

3.4.2.1 Menidia. Because oils contain toxic, volatile materials, and because the toxicity of some watersoluble fractions of oil and degradation products are changed by oxidation, special care must be used in 

the oxygenation of test solutions. Aeration during the test is generally not recommended but should be 

used to maintain the required dissolved oxygen (DO) in cases where low DO is observed. The DO 

content of test solutions must not drop below 60% saturation during the first 48 hours of a static acute 

(96-hour) test and must remain between 40–100% after the first 48 hours of the test. Aeration at a rate 

of 100±15 bubbles per minute is supplied by a serological pipette as needed for maintenance of DO. If 

aeration is necessary, all test chambers should be aerated. At this rate, and with the proper weight of 

fish, DO concentration should remain slightly above 4 ppm over a 96-hour period. Take DO 

measurements daily. 

Table 5—Test Oil Characteristics: No. 2 Fuel Oil 

3.4.2.2 Mysidopsis. Achieve sufficient DO by ensuring that the surface area to volume ratio of the test 

solution exposed is large enough. Oxygen content should remain high throughout the test because of 

the low oxygen demand of the organisms. Aeration is not recommended during 48-hour acute toxicity 

tests unless the DO falls below 60% saturation. 

3.4.3 Controls. With each fish or mysid test or each series of simultaneous tests of different solutions, 

perform a concurrent control test in exactly the same manner as the other tests and under the conditions 

prescribed or selected for those tests. Use the diluent water alone as the medium in which the controls 

are held. There must be no more than 10% mortality among the controls during the course of any valid 

test. 

3.4.4 Reference toxicant. To aid in comparing results from tests performed by different workers and to 

detect changes in the condition of the test organisms that might lead to different results, perform 

reference toxicity tests with reagent grade DSS in addition to the usual control tests. Prepare a stock 

solution of DSS immediately before use by adding 1 gram of DSS per 500 ml of test water solution. Use 

exploratory tests before the full scale tests are begun to determine the amount of reference standard to 

Na2SiO3· 9H2O 13.0

EDTA2 0.4

NaHCO3 133.0

Characteristic Minimum Maximum

Gravity (°API) 32.1 42.8

Viscosity kinematic at 100 °F (cs) 2.35 3.00

Flash point ( °F) 150 ...

Pour point ( °F) ... 0

Cloud point ( °F) ... 10

Sulfur (wt %) ... 0.35

Aniline point ( °F) 125 180

Carbon residue (wt %) ... 0.16

Water (vol %) ... 0

Sediment (wt %) ... 0

Aromatics (vol %) 10 15

Distillation:

 IBP ( °F) 347 407

 10% ( °F) 402 456

 50% ( °F) 475 530

 90% ( °F) 542 606

 End Point ( °F) 596 655

Neutralization No ... 0.05

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be used in each of the five different concentrations. 

3.4.5 Number of organisms. At a minimum, 20 organisms of a given species are exposed for each test 

concentration. For the toxicity test procedures using Menidia, place 10 fish in each of two jars. For the 

toxicity tests using Mysidopsis, place 10 larvae in each of two containers. 

3.4.6 Transfer of organisms. Organisms should be handled as little as possible in order to minimize 

stress. Transfer Menidia and Mysidopsis from the acclimatization aquaria to the test chambers with a 

pipette or a wide-bore, smooth glass tube (4 to 8 mm internal diameter) fitted with a rubber bulb. Dip 

nets should be avoided when handling larval fish and mysids. Do not hold fish out of the water longer 

than necessary and discard any specimen accidentally dropped or otherwise mishandled during transfer. 

3.4.6.1 Mysidopsis. To have the mysids ready for study, mysids may be sorted 24 hours prior to initiation 

of the 48-hour test. Transfer the mysids to a beaker containing a small volume of water; this vessel 

serves as a holding chamber during randomized transfer of the organisms to test solutions. Mysids are 

randomly selected from the batch of mysids in the holding chamber, and transferred to 50-ml beakers 

containing a small volume of seawater. One mysid is added per beaker using a small piece of flexible 

500-μm screening until all of the beakers contain one mysid. The process of random selection and 

sorting is continued until the appropriate number of mysids has been delivered to each of the 50-ml 

beakers. The mysids are gently released from the 50-ml beakers into larger beakers filled with an 

appropriate volume of 20-ppt seawater (25 °C) to bring the total volume to 200 ml. The beakers are 

randomly placed into a temperature-controlled water bath to acclimate overnight at 25 °C. The mysids 

are transferred to larger beakers (1-liter) for the 48-hour test after the addition of 800 ml of the test 

solution. A total of 10 mysids per beaker are used for 48-hour acute toxicity tests. A minimum of two 

replicate chambers are used for each test concentration and control. 

3.4.6.2 Menidia and Mysidopsis are fed 50 brine shrimp nauplii/organism daily during the 96-hour and 

48-hour tests. Excess food should be removed daily by aspirating with a pipette. 

3.4.7 Test duration and observations. 3.4.7.1 Menidia. Observe the number of dead fish in each test 

container and record at the end of each 24-hour period. Fish are considered dead upon cessation of 

respiratory and all other overt movements, whether spontaneous or in response to mild mechanical 

prodding. Remove dead fish as soon as observed. Also note and report when the behavior of test fish 

deviates from that of control fish. Such behavioral changes would include variations in opercular 

movement, coloration, body orientation, movement, depth in container, schooling tendencies, and 

others. Abnormal behavior of the test organisms (especially during the first 24 hours) is a desirable 

parameter to monitor in a toxicity test because changes in behavior and appearance may precede 

mortality. Toxicants can reduce an organism's ability to survive natural stresses. In these cases, the 

mortality is not directly attributed to the toxicant, but most certainly is an indirect effect. Reports on 

behavioral changes during a toxicity test can give insight into the non-acute effects of the tested 

material. At the end of the 96-hour period, terminate the fish tests and determine the LC50values. The 

acute toxicity test is terminated after four days of exposure. The number of surviving fish are counted 

and recorded for each chamber in accordance with standard EPA methods (6). The LC50is calculated 

using survival data from the test in accordance with the methods described in the guidelines (6). 

3.4.7.2 Mysidopsis. Terminate the mysid test after 48 hours of incubation. To count the dead animals 

accurately, place the exposure vessels on a light table such that light passes through the bottom of the 

vessel. Most of the dead mysids will be on the bottom of the beaker and can readily be seen against the 

background of the light table. Also search the top of the liquid for mysids trapped there by surface 

tension. Exercise caution when determining death of the animals. Occasionally, an animal appears 

dead, but closer observation shows slight movement of an appendage or a periodic spasm of its entire 

body. For these tests, animals exhibiting any movement when touched with a pipette tip are considered 

alive. Account for all test animals to ensure accuracy since Mysidopsis bahia may disintegrate or be 

cannibalized by other mysids. Consider individuals not accounted for as dead. At the end of 48 hours of 

exposure, terminate the mysid assay and determine the LC50values in accordance with the methods 

described in the guidelines (6). 

3.4.8 Physical and chemical determinations. 3.4.8.1 Menidia. Determine the temperature, DO, and pH 

of the test solutions before the fish are added and at 24-, 48-, 72-, and 96-hour exposure intervals. It is 

necessary to take measurements from only one of the replicates of each of the toxicant series. 

3.4.8.2 Mysidopsis. Determine the temperature, DO, and pH of the test solutions before the nauplii are 

added and at the 24- and 48-hour exposure interval. Measure DO and pH in only one of the replicates of 

each of the toxicant series. 

3.4.9 Testing laboratory. An ordinary heated or air-conditioned laboratory room with thermostatic 

controls suitable for maintaining the prescribed test temperatures generally will suffice to conduct the 

toxicity tests. Where ambient temperatures cannot be controlled to 25±1 °C, use water baths with the 

necessary temperature controls. 

3.4.10 Test containers. For tests with fish or mysids, use 1-liter glass beakers measuring approximately 

10 cm in diameter. In conducting the test, add to each beaker 1 liter of the test solution or seawater 

formulation aerated to saturation with DO. To add the liter volume easily and accurately, use a large 

volume (1-liter) graduated cylinder. Process all required glassware before each test. Immerse in normal 

hexane for 10 minutes. Follow this with a thorough rinse with hot tap water; three hot detergent scrubs; 

an additional hot tap-water rinse; and three rinses with distilled water. Oven or air dry the glassware in a 

reasonably dust-free atmosphere. 

3.5 Preparation of test concentrations. 3.5.1 Menidia. Place test jars (approximately 22.5 cm in height, 

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15 cm in diameter, 11 cm in diameter at the mouth) containing 2 liters of synthetic seawater on a 

reciprocal shaker. The shaker platform should be adapted to hold firmly six of the toxicity test jars. Add 

the desired amount of the petroleum product (if applicable) under test directly to each test jar. Dispense 

the appropriate amount of toxicant (if applicable) into the jars with a pipette. Tightly cap the test jars and 

shake for 5 minutes at approximately 315 to 333 2-cm (0.75-inch) strokes per minute in a reciprocal 

shaker or at approximately 150 to 160 rpm on orbital shakers. At the completion of shaking, remove the 

jars from the shaker and dispense 1 liter of the mixture to each of the 1-liter glass beakers. Randomly 

place beakers in a constant-temperature water bath or room, take water quality measurements, add fish, 

and initiate aeration. 

3.5.2 Mysidopsis. 3.5.2.1 To prepare test solutions for products and oil/product mixtures, blend or mix 

the test solutions with an electric blender having: speeds of 10,000 rpm or less; a stainless-steel cutting 

assembly; and a 1-liter borosilicate jar. To minimize foaming, blend at speeds below 10,000 rpm. 

3.5.2.2 For the product test solution, add 550 ml of the synthetic seawater to the jar, then with the use of 

a gas-tight calibrated glass syringe with a Teflon-tipped plunger, add 0.55 ml of the product and mix for 5 

seconds. 

3.5.2.3 For the oil test solution, add 550 ml of the synthetic seawater to the jar. Then with the use of a 

gas-tight calibrated glass syringe equipped with a Teflon-tipped plunger, add 0.55 ml of the oil and mix 

for 5 seconds. 

3.5.2.4 For the oil/product mixture, add 550 ml of the synthetic seawater to the mixing jar. While the 

blender is in operation, add 0.5 ml of the oil under study with the use of a calibrated syringe with a 

Teflon-tipper plunger and then 0.05 ml of the product as indicated above. Blend for 5 seconds after 

addition of product. These additions provide test solutions of the product, oil, and the oil/product mixture 

at concentrations of 1,000 ppm. 

3.5.2.5 Immediately after the test solutions are prepared, draw up the necessary amount of test solution 

with a gas-tight Teflon-tipped glass syringe of appropriate size and dispense into each of the five 

containers in each series. If the series of five concentrations to be tested are 10, 18, 32, 56, and 100 

ppm, the amount of the test solution in the order of the concentrations listed above would be as follows: 

10, 18, 32, 56, and 100 ml. 

3.5.2.6 Each time a syringe is to be filled for dispensing to the series of test containers, start the mixer 

and withdraw the desired amount in the appropriate syringe while the mixer is in operation. Turn off 

immediately after the sample is taken to limit the loss of volatiles. 

3.5.2.7 Use exploratory tests before the full-scale test is set up to determine the concentration of 

toxicant to be used in each of the five different concentrations. After adding the required amounts of 

liquid, bring the volume in each of the test containers up to 800 ml with the artificial seawater. To ensure 

keeping each of the series separate, designate on the lid of each container the date, the material under 

test, and its concentration. 

3.5.2.8 When the desired concentrations are prepared, gently release into each beaker the 10 test 

Mysidopsis (previously transferred into 200 ml of medium). This provides a volume of 1 liter in each test 

chamber. A pair of standard cover glass forceps with flat, bent ends is an ideal tool for handling and 

tipping the small beaker without risk of contaminating the medium. 

3.5.2.9 After adding the test animals, incubate the test beakers at 25±1 °C for 48 hours. Recommended 

lighting is 2,000 lumens/m2 (200 ft-c) of diffused, constant, fluorescent illumination.

3.5.2.10 Wash the blender thoroughly after use and repeat the above procedures for each series of 

tests. Wash the blender as follows: rinse with normal hexane; pour a strong solution of laboratory 

detergent into the blender to cover the blades; fill the container to about half of its volume with hot tap 

water; operate the blender for about 30 seconds at high speed; remove and rinse twice with hot tap 

water, mixing each rinse for 5 seconds at high speed; and then rinse twice with distilled water, mixing 

each rinse for 5 seconds at high speed. 

3.6 Calculating and reporting. At the end of the test period, the toxicity tests are terminated and the 

LC50values are determined. 

3.6.1 Calculations. The LC50is the concentration lethal to 50% of the test population. It can be 

calculated as an interpolated value based on percentages of organisms surviving at two or more 

concentrations, at which less than half and more than half survived. The LC50can be estimated with the 

aid of computer programs or graphic techniques (log paper). The 95% confidence intervals for the 

LC50estimate should also be determined. 

3.6.2 Reporting. The test product and oil and their source and storage are described in the toxicity test 

report. Note any observed changes in the experimental water or the test solutions. Also include the 

species of fish used; the sources, size, and condition of the fish; data of any known treatment of the fish 

for disease or infestation with parasites before their use; and any observations on the fish behavior at 

regular intervals during the tests. In addition to the calculated LC50values, other data necessary for 

interpretation (e.g., DO, pH, other physical parameters, and the percent survival at the end of each day 

of exposure at each concentration of toxicant) should be reported. 

3.7 Summary of procedures. 3.7.1 Menidia: 

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1. Prepare adequate stocks of the appropriate standard dilution water. 

2. Add 2 liters of the standard dilution water to the test jars. Each test consists of 5 replicates of each of 

5 concentrations of the test material, a control series of 5 beakers, and a standard reference series of 5 

different concentrations for a total of 35 beakers. Simultaneous performance of toxicity tests on the oil, 

product, and oil/product mixture requires a total of 105 beakers. 

3. Add the determined amount (quarter points on the log scale) of test material to the appropriate jars. 

Preliminary tests will be necessary to define the range of definitive test concentrations. 

4. Cap the jars tightly with the Teflon-lined screw caps and shake for 5 minutes at 315 to 333 2-cm 

(0.75-inch) strokes per minute on a reciprocal shaker. 

5. Remove the jars from the shaker, take water quality data, dispense 1 liter of solution to the 1-liter 

glass beaker, and add 10 acclimated fish per beaker. 

6. Aerate with 100±15 bubbles per minute through a 1-ml serological pipette, as needed, to maintain DO 

above 4.0 mg/l. 

7. Observe and record mortalities, water quality, and behavioral changes every 24 hours. 

8. After 96 hours, terminate the test, and calculate LC50values and corresponding confidence limits.

3.7.2 Mysidopsis: 

1. Initiate the procedure for hatching the Mysidopsis in sufficient time before the toxicity test is to be 

conducted so that 5–7 day old larvae are available. 

2. With the use of a small pipette, transfer 10 Mysidopsis into small beakers, each containing 200 ml of 

the proper synthetic seawater. 

3. To prepare the test stock product and oil solutions, add 550 ml of the artificial seawater to the 

prescribed blender jar. By means of a gas-tight glass syringe with a Teflon-tipped plunger, add 0.55 ml 

of the product (or oil) and mix at 10,000 rpm for 5 seconds. To prepare the test stock oil/product mixture, 

add 550 ml of the standard seawater to the blender jar. While the blender is in operation (10,000 rpm), 

add 0.5 ml of the oil, then 0.05 ml of the product with the use of a calibrated syringe with a Teflon-tipped 

plunger. Blend for 5 seconds after adding the product. One ml of these stock solutions added to the 100 

ml of standard seawater in the test containers yields a concentration of 10 ppm product, oil, or 

oil/product combination (the test will be in a ratio of 1 part product to 10 parts of oil). 

4. Each test consists of 5 replications of each of 5 concentrations of the material under study, a control 

series of 5 beakers and a standard reference series of 5 different concentrations, for a total of 35 

beakers. Simultaneous performance of toxicity tests on the oil, product, and oil/product mixture requires 

a total of 105 beakers. Immediately after preparing the test solution of the product or oil/product solution, 

and using an appropriately sized syringe, draw up the necessary amount of test solution and dispense 

into each of the five containers in each series. Each time a syringe is to be filled for dispensing to the 

series of test containers, start the mixer and withdraw the desired amount in the appropriate syringe 

while the mixer is in operation. Turn mixer off immediately after the sample is taken to limit the loss of 

volatiles. After adding the required amount of the test oil/product or product mixture, bring the volume of 

liquid in each of the test containers up to 800 ml with the artificial seawater. When the desired 

concentrations have been prepared, gently release into each beaker the 10 mysids previously 

transferred into 200 ml of medium. This provides a volume of 1 liter in each test chamber. 

5. Wash the blender as prescribed for each series of tests. 

6. Incubate the test beakers at 25±1 °C for 48 hours with the prescribed lighting. 

7. Terminate the experiment after 48 hours, observe and record the mortalities, and determine the LC50s 

and corresponding confidence limits. 

4.0 Bioremediation agent effectiveness test

4.1 Summary of method. The bioremediation agent effectiveness testing protocol is designed to 

determine a product's ability to biodegrade oil by quantifying changes in the oil composition resulting 

from biodegradation. The protocol tests for microbial activity and quantifies the disappearance of 

saturated hydrocarbons and polynuclear aromatic hydrocarbons (PAHs). The sample preparation 

procedure extracts the oil phase into dichloromethane (DCM), with a subsequent solvent exchange into 

hexane. To effectively accomplish the goals of the testing protocol, it is necessary to normalize the 

concentration of the various analytes in oil to a non-biodegradable marker, either C2-or C3-

phenanthrene, C2-chrysene, or hopane1 (7). The test method targets the relatively easy to degrade 

normal alkanes and the more resistant and toxic PAHs. It normalizes their concentrations to C2-or C3-

phenanthrene, C2-chrysene, or C3017α(H), 21β (H)-hopane on an oil weight basis (mg marker/kg oil, mg 

target analyte/kg oil). The analytical technique uses a high resolution gas chromatograph/mass 

spectrometer (GC/MS) because of its high degree of chemical separation and spectral resolution. 

GC/MS has long been used to study the weathering and fate of oil spilled into the environment. For 

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quantitative analyses, the instrument is operated in the selective ion detection (SIM) mode at a scan rate 

of greater than 1.5 scans per second to maximize the linear quantitative range and precision of the 

instrument. The sample preparation method does not exclude analysis of selected samples by GC/MS in 

the full scanning mode of operation to qualitatively assess changes in the oil not accounted for by the 

SIM approach. Performed concurrently with the chemical analysis described above is a microbiological 

analysis. The microbiological analysis is performed to determine and monitor the viability of the microbial 

cultures being studied. Under this procedure, microbial enumerations of hydrocarbon degraders are 

performed at each sampling event using a microtiter Most Probable Number (MPN) determination. 

1 Although any of these biomarkers can be used to conduct this test, it is recommended that 

hopane be used. 

4.2 Apparatus. The following materials and equipment are required for the protocol: Appropriate flasks 

and other glassware; sterile tubes; graduated cylinders (100-ml); deionized water; p-iodonitrotetrazolium 

violet dye; weighing pans or paper; 250-ml borosilicate glass Erlenmeyer flasks with screw tops; Pasteur 

pipettes; laboratory notebook; microtiter MPN plates (24-well) multi-channel pipetting device; dilution 

tube and caps; autoclave; environmental room or incubator; balance accurate to 0.1 mg (XD–400); 

GC/MS instrument equipped with a DB–5 capillary column (30 m, 0.25-mm I.D., and 0.25-μm film 

thickness) and a split/splitless injection port operating in the splitless mode, such as Hewlett-Packard 

5890/5971 GC/MS (recommended for use); and an autosampler for testing multiple samples. 

4.3 Reagents and culture medium. 4.3.1 Preparation of seawater. All products are tested in clean 

natural seawater. Clean natural seawater means that the source of this seawater must not be heavily 

contaminated with industrial or other types of effluent. For example, seawater should not be obtained 

from a source near shipping channels or discharges of industrial or municipal wastewater, or with high 

turbidity. The seawater is used within seven days of collection. No microbial inoculum is added. 

4.3.2 Preparation of oil. A medium weight crude oil, Alaska North Slope (ANS), is artificially weathered 

by heating to 521 °F to remove the light end hydrocarbons prior to experimental start-up (ANS 521). The 

method is described in the Draft International Standard ISO/DIS 8708 “Crude Petroleum Oil—

Determination of Distillation Characteristics Using 15 Theoretical Plates Columns” by the International 

Organization for Standardization (8). The ANS521 crude oil can be obtained from the National 

Environmental Technology Applications Center's (NETAC) Bioremediation Products Evaluation Center 

(BPEC), University of Pittsburgh Applied Research Center, 615 William Pitt Way, Pittsburgh, PA, 15238, 

(412) 826–5511. The crude oil is heated to 190 °C (374 °F) under atmospheric pressure. The system is 

then cooled and placed under vacuum (or under an atmospheric pressure of 20 mm Hg) for the final 

distillation to an atmospheric equivalent boiling point of 272 °C (521 °F). 

4.3.3 Preparation of mineral nutrient solution. If a commercial product is strictly a microbial agent and 

does not contain its own nutrients, a mineral nutrient solution will be provided if requested by the product 

manufacturer or vendor. If a commercial product contains its own nutrients, no further nutrients will be 

added. The nutrient solution is a modified salt solution and is described below. 

4.3.3.1 Nutrient preparation: 

1. N&P Salts. The following salts are added to distilled water and made up to a 1,000-ml volume. Adjust 

final pH to 7.8. The solution is sterilized by autoclaving at 121 °C at 15 psig for 20 minutes or by filtering 

through a sterile 0.22 μm membrane filter. 

Na2HPO4.2H2—18.40 g

KNO3—76.30 g

2. MgSO4.7H2O solution. Dissolve 22.50 g in 1,000 ml distilled water. The solution is sterilized by 

autoclaving at 121 °C at 15 psig for 20 minutes. 

3. CaCl2solution. Dissolve 27.50 g in 1,000 ml of distilled water. The solution is sterilized by autoclaving 

at 121 °C at 15 psig for 20 minutes. 

4. FeCl3•6H2O solution. Dissolve 0.25 g in 1,000 ml of distilled water. The solution is sterilized by 

autoclaving at 121 °C at 15 psig for 20 minutes. 

5. Trace Element Solution. The following salts are added to distilled water and made up to a 1,000-ml 

volume. The solution is sterilized by autoclaving at 121 °C at 15 psig for 20 minutes. 

MnSO4.H2O—30.2 mg

H3BO3—57.2 mg

ZnSO4.7H2O—42.8 mg

(NH4)6Mo7(O2)

4—34.7 mg

The pH of the nutrient solution is adjusted with a pH meter calibrated at room temperature 

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(approximately 25 °C) using commercial buffers of pH 4.0, 7.0, and 10.0 (Fisher Scientific), as 

appropriate, prior to use. The pH is adjusted with concentrated HCl or 10 M NaOH, as appropriate. 

4.3.3.2 Final concentrations: Ten (10) ml of solution 1 and 2 ml of solutions 2–5 are added to nonsterile seawater and made up to a 1,000-ml volume immediately prior to test start-up. This 

seawater/mineral nutrient solution is used for all flasks containing products requiring nutrient 

supplements and for the flasks containing no commercial additive. Seawater without the above nutrient 

solutions is used for products containing their own source of nutrients. 

4.4 Pretest preparation. 

4.4.1 Experimental setup. 

4.4.1.1 The procedure consists of an experimental shaker flask setup and the specific set of 

microbiological and chemical analyses that are performed on individual product samples. The following 

test flasks (labeled with unique identifiers) are prepared and set up on a gyratory shaker at day 0 to 

reflect the following treatment design: 

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 number of flasks, types of controls, number of replicates, 

product to be tested, and other information is prepared. The following steps should be adhered to for the 

experimental setup: 

1. Borosilicate glass Erlenmeyer flasks (250–ml) are thoroughly cleaned and autoclaved for 20 minutes 

at 120 °C at 15 psi, then dried in the drying oven. 

2. Flasks are labeled with the appropriate code: product or control, sample day, and letter indicating 

replicate. 

3. 100 ml of seawater is added to each flask. 

4. For nutrient and product treatments that require the addition of nutrients, seawater containing the 

nutrient solution is prepared. 

5. Pasteur pipettes should be sterilized in advance. Break off the tip to provide a larger opening prior to 

sterilization. 

6. Pour the approximate amount of oil to be used from the large stock bottle into a sterile beaker. Keep 

the beaker covered when oil is not being removed. 

7. The labeled flasks containing seawater and other additions, as necessary, are placed on the balance. 

The flask is tared. The appropriate amount of oil (0.5 g) is added drop by drop using a sterile Pasteur 

pipette with the tip broken off to provide a wider opening. Care is taken to avoid splashing the oil or 

getting it on the sides of flasks. Precautions are taken when handling and charging the flasks to 

minimize the likelihood of contamination by exogenous microbes. This includes using a new sterile 

pipette for each series of flasks. 

8. The weight of the oil is recorded in the laboratory notebook. 

9. The product is prepared and added to the appropriate flasks according to the manufacturer's or 

vendor's instructions. 

10. Flasks are carried upright and carefully placed in the holders on the shaker table to minimize the 

amount of oil that might adhere to the side of the flasks. Flasks in which a significant amount of oil is 

splashed on the sides are redone. 

11. The prepared flasks are shaken at 200 rpm at 20 °C until such time that they will be removed for 

sampling. 

Treatment

No. of samples at 

sampling times

Total No. of analytical 

determinations

Day 0 Day 7 Day 28

Microbial 

counts Gravimetric GC/MS

Control 3 3 3 9 9 9

Nutrient 3 3 3 9 9 9

Product 3 3 3 9 9 9

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4.4.2 Sampling. The control and treatments (nutrient and product flasks) are sampled three times over 

a 28-day period: day 0, day 7, and day 28. The entire flask is sacrificed for analysis; a 0.5–ml aliquot is 

removed from each flask for the microbiological analysis and the remainder of each flask is used for the 

chemical analysis. Specific procedures for both the microbiological and chemical analysis are described 

below. At the time of each sampling event, physical observations of each flask should be recorded. 

4.5 Microbiological analysis. To monitor the viability of the microbial cultures being studied, microbial 

enumerations of hydrocarbon degraders are performed at each sampling event using a microtiter MPN 

determination. This is used as an indicator of the relative change in biomass. This test design relies on 

using growth response as an indication of enhanced activity as compared to a “no addition” control. 

4.5.1 Media preparation. Media for microbial enumerations are carefully prepared according to 

manufacturer's or other instructions and sterilized using appropriate methods. 

4.5.1.1 General media treatment: Buy Bushnell-Haas (B-H) broth in quantities to last no longer than 

one year. Use media on a first-in, first-out basis. When practical, buy media in quarter-pound multiples, 

rather than one-pound multiples to keep supply sealed as long as possible. Keep an inventory of media, 

including kind, amount, lot number, expiration date, date received, and date opened. Check inventory 

before reordering media. Discard media that are caked, discolored, or show other deterioration. 

4.5.1.2 Sterile saline (pH adjusted): 

1. Weigh 30 g of NaCl. 

2. Dissolve in enough water to make 1,000 ml. 

3. Adjust pH to 8.0 with NaOH (10M and 0.5M). 

4. Sterilize by autoclaving for 15 minutes at 15 psig. 

4.5.1.3 Standard nutrient concentrate (add 1 ml to each 100 ml of Bushnell-Haas medium for MPNs): 

1. Weigh compounds listed below, dissolve in DIH2O, dilute to 1 liter.

Potassium Phosphate, monobasic KH2PO4—0.633 g

Potassium Phosphate, dibasic K2HPO4—1.619 g

Sodium Phosphate, dibasic Na2HPO4—2.486 g

Ammonium Chloride NH4Cl—3.850 g

Magnesium Sulfate, heptahydrate MgSO4·7H2O—4.500 g

Calcium Chloride, dihydrate CaCl2·2H2O—7.290 g

Ferric Chloride, hexahydrate FeCl3·6H2O—0.250 g

Trace Elements 

Manganese Sulfate, monohydrate MnSO2·H2O—6.04 mg

Boric Acid H3Bo3—11.44 mg

Zinc Sulfate, heptahydrate ZnSO4·7H2O—8.56 mg

Ammonium Moybdate, tetrahydrate (NH4)6Mo7O24·4H2O—6.94 mg

2. Adjust pH to 6.0. 

3. Stir solution for approximately 3 hours, then filter through a Buchner funnel using #1 paper, which will 

retain approximately 3.8 g of insolubles. 

4. Then filter through a 0.45 micron filter into sterile bottles. 

5. Cap bottles, label, and store in refrigerator until used. 

4.5.1.4 Quality assurance/Quality control (QA/QC): 

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1. Periodically check the effectiveness of sterilization using commercially available tapes or Bacillus 

stearothermophilus spore suspensions, following the instructions with these products. 

2. Maintain a media log book that includes the dates, kinds and amounts of media made, pH, and any 

problems or observations. 

3. Before use, check plates and tubes for signs of contamination, drying, or other problems. 

4.5.1.5 Safety/Special precautions: 

1. Note any safety or other precautions for particular media. 

2. Note precautions to be followed when using the autoclave. 

3. Use gloves and other protective clothes when handling media. 

4. Use care in handling hot media. 

4.5.2 Microbial enumeration. Standardized techniques for performing Most Probable Number microbial 

enumerations are described below. 

4.5.2.1 Dilutions: 

1. Prior to sacrificing each flask, remove 0.5 ml of water from each flask and add it to a tube of 4.5 ml 

sterile phosphate buffer (1:10 dilution) as prepared in the Standard Methods for the Examination of 

Water and Wastewater (9). Using sterile technique, mix and perform serial dilutions (0.5 ml of previous 

dilution to 4.5 ml of sterile phosphate buffer) to 10−9dilution.

4.5.2.2 Inoculating MPN plates (oil degrader): 

1. Prepare sufficient sterile 0.4 M NaCl (23.4 g NaCl/1,000 ml B-H) and B-H at pH 7.0 to fill the number 

of wells required for the test (1.75 ml/well). 

2. Using sterile technique, add 1.75 ml of B-H broth to each well. 

3. Label the top of the plate with the proper dilution for each row. 

4. Add 0.1 ml of fluid from each dilution tube to each well in the appropriate row, starting with the most 

dilute. 

5. After adding the fluid to all the wells, add 20 μl of sterilized No. 2 fuel oil to the top of each well. 

6. Incubate each plate at 20 °C. 

7. After 14 days of incubation, add 100 μl of p-iodotetrazolium violet dye (50 mg/10 ml of D.I. water) to 

each well to determine growth. 

8. View plates against a white background to determine if color is present. Development of a purple or 

pink color upon standing for 45 minutes constitutes a positive test. 

9. Record the number of positive wells and the dilutions at which they occur. 

10. Enter data into a computerized enumeration method using “MPN Calculator” software program 

(version 2.3 or higher) by Albert J. Klee, U.S. EPA Office of Research and Development, Risk Reduction 

Engineering Laboratory, Cincinnati, OH. 

4.5.2.3 Quality assurance/Quality control: 

1. Check pH of medium before preparing wells (pH should be approximately 8.0). Adjust pH, if 

necessary, with dilute NaOH. 

2. Keep prepared tetrazolium violet dye solution in the refrigerator in an amber bottle when not in use. 

3. Have all laboratory personnel periodically run MPNs on the same sample to test precision. 

4.5.2.4 Safety/Special precautions: 

1. Use sterile technique in preparing solutions, dilutions, plates, and MPN wells. 

2. Do not pipette potentially hazardous solutions by mouth. 

3. Autoclave all plates and wells before discarding. 

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4.6 Chemical analysis of oil composition. 

4.6.1 Sample procedure. After 0, 7, and 28 days of incubation on a rotary shaker, the appropriate flasks 

are sacrificed and extracted with dichloromethane and spiked with a surrogate recovery standard. A 10-

ml aliquot of the DCM layer is used for the gravimetric analysis. If significant biodegradation is evident in 

the results of the gravimetric analysis, then a solvent exchange into hexane takes place prior to the 

GC/MS analysis. Follow steps 1–19 below when preparing for the chemical analysis. 

1. After 0, 7, and 28 days of rotary shaking and incubating at 20 °C, the reaction vessels are sacrificed. 

Prior to the chemical analysis, a 0.5-ml sample of the aqueous phase is removed for the microbiological 

analysis (see Microbial Enumeration above). 

2. A surrogate recovery standard is prepared in the following manner: 1,000 mg of d10-phenanthrene 

and 1,000 mg of 5α-androstane are measured into a 500-ml volumetric flask and DCM is added to the 

mark to produce a 2,000-ng/μl stock solution. 

3. A 100-μl aliquot of the surrogate solution is added to each test flask. The final concentration of 

surrogates in each flask is approximately 4 ng/μl of solvent in the final extract. The aliphatics and marker 

data should be corrected for percent recovery of the 5α-androstane surrogate and the aromatics for the 

d10-phenanthrene surrogate. 

4. The contents of the flask are placed into a 250-ml separatory funnel. 

5. Measure a total volume of 50 ml DCM for use in the extraction. Use 3 10-ml fractions to rinse the flask 

into the funnel and transfer the remaining aliquot of DCM to the funnel. 

6. Stopper and mix vigorously by shaking (approximately 50 times) while ventilating properly. 

7. Each funnel is set aside to allow the DCM and water layers to partition. This may take 5–10 minutes 

for some products, or up to 3 hours if the product has caused the formation of an emulsion. 

8. Drain the first 10 ml of the DCM (bottom) layer, collect, cap, uniquely label, and use for gravimetric 

analysis (see below). Drain the remaining 40 ml and dry it by passing it through a funnel packed with 

anhydrous sodium sulfate. 

9. Assemble a Kuderna-Danish (KD) concentrator by attaching a Snyder column to an evaporation flask 

with a graduated concentrator tube. Align vertically and partially immerse concentrator tube in a water 

bath (10). Set the water bath to the appropriate temperature to maintain proper distillation. 

10. Collect the de-watered extract into the KD concentrator. 

11. Evaporate DCM to approximately 10 ml, then add approximately 50 ml of the exchange solvent 

(hexane) and concentrate the volume to 10 ml. 

12. Rinse the flask into the concentrator tube with 50 ml hexane and concentrate to 10 ml. Repeat one 

more time with 50 ml of hexane. 

13. Remove concentrator tube with the recovered 10 ml of sample volume. The heavier residual material 

should be present as a precipitate (bottom layer). 

14. Centrifuge to aid the separation of the hexane from the precipitant fraction. 

15. Place hexane-soluble fraction (top layer)—approximately 1.0 ml—into a GC/MS vial for analysis (see 

GC/MS Analysis Procedure below). If column fouling and deterioration of separation characteristics 

occur, an alumina column sample cleanup method can be considered (see Alternative GC/MS Sample 

Cleanup Procedure below). 

16. Analyze by GC/MS using the conditions determined by the U.S. EPA Risk Reduction Engineering 

Laboratory, Water and Hazardous Waste Treatment Research Division, in Cincinnati, OH, which follows 

U.S. EPA Method 8270 (see GC/MS Analysis Procedure below). 

17. Calculate surrogate recovery. If surrogate recovery is less than 85 percent for the marker relative to 

the surrogate recovery standard (d10-phenanthrene), then the water layer should be extracted again 

using three separate extractions with DCM. Pool the three extractions with original extract and 

concentrate to 10 ml, and reanalyze by GC/MS. 

18. Drain the seawater into a storage sample vial/container. 

19. Seal the vial with a Teflon-lined cap and store frozen. This water layer is kept in case additional 

extractions are necessary. 

4.6.2 Gravimetric analysis. The initial means to evaluate the effectiveness of a bioremediation agent for 

oil spill response is through gravimetric analysis. A statistically significant difference (p < 0.05) in 

analytical weight of the oil from the control system as compared to the analytical weight of the oil treated 

with a bioremediation agent indicates biodegradation has successfully occurred. Hence, the 

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disappearance of oil should be accompanied by significant decreases in total oil residue weight of 

extractable materials versus a control. If no significant decrease in oil residue weight is observed, the 

need to perform further chemical analysis should be evaluated. Follow steps 1–3 to conduct the 

gravimetric analysis. 

1. The 10 ml of DCM extract (from Sample Procedure step 8 above) is placed in a small vial and 

concentrated to dryness by nitrogen blowdown techniques using a steady stream of nitrogen (prepurified gas). If the oil is severely biodegraded, a larger volume of DCM (>10 ml) may be necessary for 

the gravimetric analysis. 

2. The residue is weighed 3 times for the gravimetric weight of oil. Record the weight of the oil. 

3. Compare statistically (p < 0.05) the weight of the product treatment versus the weight of the control 

from each respective time period. If a significant decrease is observed in the sampling (flask containing 

bioremediation agent) weight, then proceed with the remainder of the sample procedure. 

4.6.3 GC/MS analysis. Often, analysis of saturated and aromatic hydrocarbons by capillary gas 

chromatography of DCM extracts leads to column fouling and deterioration of separation characteristics. 

An alternative, simple “one-step” alumina sample cleanup procedure can be performed on oil before 

injection; this cleanup removes both asphaltenes and polar compounds and can be applied to DCM 

extracts as well. This procedure is described in steps 1–11 below. 

4.6.3.1 Alternative GC/MS sample cleanup procedure: 

1. Weigh 4.0 g alumina (neutral, 80–200 mesh) into scintillation vials covered loosely with aluminum foil 

caps. Prepare one scintillation vial per sample. Heat for 18 hours at 300 °C or longer. Place in a 

desiccator of silica until needed. 

2. Add 5.0 ml of DCM to a glass luerlok multi-fit syringe (e.g., BD #2471) with stopcock (e.g., Perfectum 

#6021) in closed position, stainless steel syringe needle (18 gauge), and PTFE frits. Clamp in a vertical 

position. 

3. Transfer 4.0 g of prepared alumina to a plastic weighing boat and fill syringe slowly while applying 

continuous vibration (e.g., Conair # HM 11FF1). 

4. Add a second PTFE frit and push into place on top of the alumina bed. 

5. Drain 5.0 ml DCM to the top level of the column frit to await sample addition and discard DCM. 

6. Weigh 50 mg ±0.1 mg ANS521 oil into a tared vial. 

7. Premeasure 10 ml of DCM into a graduated cylinder. Add 0.2 to 0.3 ml of the DCM to the tared oil 

vial. Mix and transfer solvent to the column bed with a Pasteur pipette. Open stopcock and collect in a 

10-ml volumetric flask. Repeat until approximately 1.0 ml (do not exceed 1.0 ml) of DCM has rinsed the 

vial and inner walls of the syringe body into the 10-ml flask. 

8. Transfer balance of DCM from the graduated cylinder to the column and regulate the solvent flow rate 

to approximately 1 to 2 ml/minute. Collect all eluent in the 10-ml flask. 

9. Transfer a known volume of eluent to another scintillation vial and blow down to dryness (nitrogen). 

10. Determine and record weight. 

11. Dissolve in 1.0 ml hexane for the GC/MS analysis procedure (see below). 

4.6.3.2 GC/MS analysis procedure: 

Immediately prior to injection, an internal standard solution of four deuterated compounds is spiked into 

the sample extracts and injected. Samples are quantified using the internal standard technique (10) for 

both the aliphatic and aromatic fractions of the oil extracts in order to provide sufficient information that 

the oil is being degraded. To help ensure that the observed decline in target analytes is caused by 

biodegradation rather than by physical loss from mishandling or inefficient extraction, it is necessary to 

normalize the concentrations of the target analytes via a “conserved internal marker.” Conserved internal 

markers that have been found useful for quantification are C2- or C3-phenanthrene, C2-chrysene, and 

C3017α(H),21β(H)-hopane. Deuterated internal standards are used to calculate the relative response 

factor (RRF) for the target analyte(s). To compute the “normalized concentrations,” the target analyte 

concentration at a given sampling time is simply divided by the selected conserved analyte 

concentration at the same sampling time (11). Conduct the GC/MS analysis using the following 

procedure. 

1. One (1) ml of the hexane extract (from Sample Procedure step 15 above) is placed into a 1.5-ml vial 

for use on the autosampler of the GC/MS instrument. 

2. To this solution, 20 μl of a 500-ng/μl solution of the internal standards is added and the vial is capped 

for injection. The final concentration of the internal standards in each sample is 10 ng/μl. This solution 

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contains 4 deuterated compounds: d8-naphthalene, d10-anthracene, d12-chrysene, and d12-perylene.

3. At the start of any analysis period, the mass spectrometer (MS) is tuned to PFTBA by an autotune 

program, such as the Hewlett-Packard quicktune routine, to reduce operator variability. Set the GC/MS 

in the SIM mode at a scan rate of 1.5 scans/second to maximize the linear quantitative range and 

precision of the instrument. Set all other conditions to those specified in Instrument Configuration and 

Calibration section below. 

4. An instrument blank and a daily standard are analyzed prior to analysis of unknowns. Internal 

standards are combined with the sample extracts and coinjected with each analysis to monitor the 

instrument's performance during each run. 

5. Information that should be included on the acquisition form include operator's name and signature, 

date of extraction, date and time of autotune, date of injection(s), instrument blank, daily standard mix 

injection, GC column number, and standards for the 5-point calibration curve. 

6. If the instrument is operated for a period of time greater than 12 hours, the tune will be checked and 

another daily standard analyzed prior to continuing with analyses. 

Table 6—Analytes Listed Under the Corresponding Internal Standard Used for Calculating RRFs 

7. The MS is calibrated using a modified version of EPA Method 8270 (10). Specifically, the 

concentrations of internal standards are 10 ng/μl instead of 40 ng/μl. A five-point calibration curve is 

obtained for each compound listed in table 6 prior to sample analysis at 1, 5, 10, 25, and 50 ng/μl. A 5-

point calibration must be conducted on a standard mix of compounds to determine RRFs for the 

analytes. The standard mix (excluding the marker) for this calibration curve may be obtained from 

Absolute Standards, Inc., 498 Russell St., New Haven, CT, 06513, (800) 368–1131. If C3017β(H),21α

(H)-hopane is used, it may be obtained from Dr. Charles Kennicutt II, Geochemical and Environmental 

Research Group, Texas A&M University, 833 Graham Rd., College Station, TX, 77845, (409) 690–0095. 

8. Calculate each compound's relative response factor to its corresponding deuterated internal standard 

indicated above, using the following equation: 

RRF=(AxCis)/(AisCx)(6)

where: 

RRF=relative response factor 

Ax=peak area of the characteristic ion for the compound being measured (analyte)

Ais=peak area of the characteristic ion for the specific internal standard

Internal 

Standard

d8-

naphthalene d10-anthracene

d12-

chrysene d12-perylene

Alkanes nC10–nC15 nC16–nC23 nC24-nC29 nC30-nC35.

 Pristane C3017β(H), 21α

(H)-hopane.

 Phytane

 5α-androstane

Aromatics Naphthalene Dibenzothiophene Fluoranthene Benzo(b)

fluoranthene.

 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.

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Cx=concentration of the compound being measured (ng/μl)

Cis=concentration of the specific internal standard (10 ng/μl). (This concentration is a constant in this 

equation for the calibration curve.) 

9. Identify each analyte based on the integrated abundance from the primary characteristic ion indicated 

in table 7. 

10. Quantitate each analyte using the internal standard technique. The internal standard used shall be 

the one nearest the retention time of that of a given analyte (Table 8). 

Table 7—Primary Ions Monitored for Each Target Analyte During GC/MS Analysis 

Compound Ion

n-alkanes (C10–C35) 85

Pristane 85

Phytane 85

Naphthalene 128

C1-naphthalenes 142

C2-naphthalenes 156

C3-naphthalenes 170

C4-naphthalenes 184

Fluorene 166

C1-fluorenes 180

C2-fluorenes 194

C3-fluorenes 208

Dibenzothiophenes 184

C1-dibenzothiophenes 198

C2-dibenzothiophenes 212

C3-dibenzothiophenes 226

Anthracene 178

Phenanthrene 178

C1-phenanthrenes 192

C2-phenanthrenes 206

C3-phenanthrenes 220

Fluoranthene/pyrene 202

C1-pyrenes 216

C2-pyrenes 230

Chrysene 228

C1-chrysenes 242

C2-chrysenes 256

Hopanes (177 family) 177

Hopanes (191 family) 191

Steranes (217 family) 217

Benzo(b)fluoranthene 252

Benzo(k)fluoranthene 252

Benzo(e)pyrene 252

Benzo(a)pyrene 252

Perylene 252

Ideno(g,h,i)pyrene 276

Dibenzo(a,h)anthracene 278

Benzo(1,2,3-cd)perylene 276

d8-naphthalene 136

d10-anthracene 188

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Table 8—Analytes and Reference Compounds 

11. Use equation 7 to calculate the concentration of analytes in ng/mg (ppm) oil: 

Concentration (ng/mg)=(AxI

sVt

× 1,000)/(Ais(RRF)ViMo)(7)

where: 

d10-phenanthrene 188

d12-chrysene 240

d12-perylene 264

α-androstane 260

Compound

Reference 

compound Compound

Reference 

compound

n-C10 n-C10 C2-naphthalene Naphthalene.

n-C11 n-C11 C3-naphthalene Naphthalene.

n-C12 n-C12 C4-naphthalene Naphthalene.

n-C13 n-C13 Fluorene Fluorene.

n-C14 n-C14 C1-fluorene Fluorene.

n-C15 n-C15 C2-fluorene Fluorene.

n-C16 n-C16 C3-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-C22 n-C22 C2-phenanthrene Phenanthrene.

n-C23 n-C23 C3-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 

C3017α,21βhopane

n-C35 

C3017α,21βhopane

Perylene ideno(g,h,i)

pyrene

Perylene ideno(g,h,i)

pyrene.

5α-androstane 5α-androstane Dibenzo(a,h)

anthracene

Dibenzo(a,h)

anthracene.

C1-naphthalene Naphthalene Benzo(1,2,3-cd)

perylene

Benzo(1,2,3-cd)

perylene.

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Ax=peak area of characteristic ion for compound being measured

I

s=amount of internal standard injected, in ng ( i.e. , 20 ng)

Vt=volume of the total DCM extract (50 ml)

Ais=peak area of the characteristic ion of the internal standard

RRF=relative response factor 

Vi

=volume of the extract injected (2 μl)

Mo=total mass of the oil added to the flask, mg

12. Compute the “normalized concentrations” for each target analyte concentration at a given sampling 

time (equation 7) by simply dividing by the conserved internal marker concentration at the same 

sampling time. 

4.6.4 Generally accepted laboratory procedures. Samples are immediately logged into the laboratory, 

where they will be given a unique sample identification based on Julian data and the number logged in. 

Prior to the analysis of any experimental samples, a five-point standard curve is prepared. One of the 

mid-range standard curve concentration levels is analyzed daily before sample analysis as a continuing 

standard. RRFs for all target analytes should be within 25% of the standard curve response values at 

day 0, and at any sampling event the check standard percent difference from the initial five-point 

calibration must not exceed 20% between the before and after daily standard mix (see below). The 

collected GC/MS data are initially processed by a macro routine, which performs extracted 

chromatographic plots of the target compounds, integrates the target compounds, and shows integration 

results to include tabular numbers. The integration values are then transferred to a spreadsheet format 

to be quantified. Because of the complexity of the analyte matrix (oil), a very high degree of manual 

verification and reintegration of the spectral data is required. 

4.6.5 QA/QC procedures. The reliability of this method is dependent on the QA/QC procedures 

followed. Before and after each analytical batch (approximately 10 samples), analyze one procedural 

blank, one duplicate, and one calibration verification standard (10 ng/μl). Analyze one reference crude 

oil standard. The instrument's performance and reproducibility are validated routinely in this manner. 

Surrogate recoveries should be within 70 to 120%, and duplicate relative percent difference values 

should be ±20%. A control chart of the standard oil should be prepared and monitored. Variations of 

analytes in the control chart should be no more than 25% from the historical averages. Injection port 

discrimination for n-C25 and greater alkanes must be carefully monitored; the ratio of RRF n-C32/RRF 

n-C21 alkanes should not be allowed to fall below 80%. The mass discrimination can be reduced by 

replacing the quartz liner in the injection port after every analytical batch. The instrument's performance 

and reproducibility are validated routinely by analyzing the reference crude oil standard. All analyses are 

recorded in instrument logs detailing operating conditions, date and time, file name, etc. After analysis, 

the sample extracts are archived at refrigeration temperatures. To document QA/QC, the following 

information is contained in the detailed quantitative reports: average RRF derived from the standard 

curve; RRF from the daily standard; percent relative standard deviation; area of target analyte; 

concentration determined both on a weight and volume basis; and values for any surrogates and internal 

standards. 

4.6.6 Instrument configuration and calibration. A 2-ml aliquot of the hexane extract prepared by the 

above procedure is injected into a GC/MS instrument, such as the Hewlett-Packard 5890/5971 GC/MS 

(recommended for use). This instrument should be equipped with a DB–5 capillary column (30 m, 0.25-

mm I.D., and 0.25-μm film thickness) and a split/splitless injection port operating in the splitless mode. 

Table 9 summarizes the temperature program used for the analysis. This temperature program has 

been optimized to give the best separation and sensitivity for analysis of the desired compounds on the 

instrument. Prior to the sample analysis, a five-point calibration must be conducted on a standard mix of 

the compounds listed in table 7 to determine RRFs for the analyses. 

Table 9—Operating Conditions and Temperature Program of GC/MS 

Operating conditions

Injector port—290 °C

Transfer line—320 °C

Total run time—73 minutes

Column flow rate (He)—1.0 ml/minute

Temperature Program

Level

Temp. 1, °

C

Time 1, 

minutes

Rate, °

C/minute

Temp 2, °

C

Time 2, 

minutes

Level 

1

55 3 5 280 5

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4.7 Statistical analysis. The determination of a bioremediation agent's effectiveness will be partially 

based upon the results of a statistical analysis of the shaker flask experiment. The experimental design 

for this test is a two factorial design. This two-way analysis of variance (ANOVA) will be used to 

determine data trends. The statistical method is designed to test various types of bioremediation 

treatments including microbial, nutrient, enzyme, and combination products. The following is a summary 

of the statistical methods to be used to evaluate the analytical data obtained from all product tests. The 

experimental design, data analysis methodology, interpretation of results, required documentation, and a 

numeric example are outlined below. 

4.7.1 Experimental design. The experimental design for this test is known as a factorial experiment with 

two factors. The first factor is product/control group; the second factor is time (measured in days). For 

example, if two groups (product A and a non-nutrient control) are tested at each of three points in time 

(day 0, 7, and 28), the experiment is called a 2×3 factorial experiment. There will be three replications 

(replicated shaker flasks) of each group-time combination. 

4.7.2 Data analysis methods. For each analyte and each product used, a product is considered a 

success by the demonstration of a statistically significant difference between the mean analyte 

degradation by the product and the mean analyte degradation by the non-nutrient control. Such a 

determination will be made by performing an ANOVA on the sample data. The technical aspects of this 

procedure are outlined in Snedecor and Cochran (12). Most statistical software packages support the 

use of two-way ANOVA. However, the format required for the input data differs among the various 

commercial packages. Whichever package is used, the following ANOVA table will be provided as part 

of the output. In the Degree of Freedom column of table 10, p = the number of product/control groups, t 

= the number of days at which each group is analyzed, and n = the number of replications. For the 

example of the 2×3 factorial experiment discussed above, p=2, t=3, and n=3. The significance of the Fstatistics (as indicated by their corresponding p-values) are used to interpret the analysis. 

Table 10—Two-Way ANOVA Table 

1To be determined from the value of the F-statistic.

4.7.3 Interpretation. 4.7.3.1 If the F-statistic for the interaction is significant at the 0.05 level ( i.e. , pvalue is less than 0.05), the data indicate that the mean response of at least two groups being tested 

differ for at least one point in time. In order to find out which groups and at which points in time the 

difference occurs, pairwise comparisons between the group means should be conducted for all time 

points. These comparisons can be made using protected least squared difference (LSD) or Dunnett 

mean separation techniques. The protected LSD procedure is detailed in Snedecor and Cochran (12); 

the Dunnett procedure is outlined in Montgomery (13). For both methods, the mean square error (MSE) 

from the two-way ANOVA table should be used to compute the separation values. 

4.7.3.2 If the F-statistic for the interaction is not significant at the 0.05 level ( i.e. , p-value not less than 

0.05), but the F-statistic for the group is significant ( i.e. , p-value is less than 0.05), the data indicate that 

any differences that exist among the group means are consistent across time. To find out which group 

means differ, a pairwise comparison of the group means should be carried out by pooling data across all 

points in time. Again, the MSE from the two-way ANOVA table should be used to compute the 

separation values. 

4.7.3.3 If the F-statistic corresponding to both interaction and group are not significant at the 0.05 level, 

the data indicate no difference between the group means at any point in time. In this case, no further 

analysis is necessary. 

4.7.3.4 Finally, Snedecor and Cochran (12) use caution concerning the use of multiple comparisons. If 

many such comparisons are being conducted, then about 5% of the tested differences will erroneously 

be concluded as significant. The researcher must guard against such differences causing undue 

attention. 

4.7.4 Required documentation. 4.7.4.1 The following documents should be included to summarize the 

findings from a product test. 

Level 

2

280 0 3 310 10

Source

Degree of 

freedom (df)

Sum of 

squares

Mean 

square

FStatisticpValue

Group p-1 SSG MSGMSG/MSEMSG/MSE 1

Time t-1 SST MSTMST/MSEMST/MSE 1

Interaction (p–1)(t–1) SSI MSIMSI/MSEMSI/MSE 1

Error pt(n–1) SSE MSE-SSE

Total npt–1 SSTOT

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1. Data listings for each analyte that was analyzed. These should show all raw data. 

2. A table of summary statistics for each analyte. The table should include the mean, standard deviation, 

and sample size for each group at each day. 

3. An ANOVA table for each analyte. The table should be of the same format as table 10. 

4. A clear summary of the mean separations (if mean separations were necessary). The mean 

separation methods (LSD or Dunnett), the significance level, the minimum significant difference value, 

and the significant differences should be clearly marked on each output page. 

5. All computer outputs should be included. No programming alterations are necessary. The specific 

computer package used to analyze the data should be included in the report. 

Example. An analysis of the total aromatic data (in ppm) was conducted for the following 

three groups: 

Group 1: Non-nutrient Control 

Group 2: Nutrient Control 

Group 3: Test Product 

4.7.4.2 The raw data are shown in table 11. Note the three replications for each group-time 

combination. 

Table 11—Product Test Data, Total Aromatics (ppm) 

4.7.4.3 Table 12 gives the summary statistics (number of observations, means, and standard 

deviations) for each group-time combination. 

Table 12—Summary Statistics for Product Test Data Total Aromatics (ppm) 

4.7.4.4 Table 13 shows the results of the two-way ANOVA. 

Table 13—Example Two-Way ANOVA Table 

 Group 1 Group 2 Group 3

Day 0 8153 7912 7711

 8299 8309 8311

 8088 8111 8200

Day 7 8100 7950 6900

 8078 8200 6702

 7999 8019 5987

Day 28 8259 8102 4000

 8111 7754 3875

 8344 7659 3100

Time Product n Mean Standard deviation

Day 0 Group 1 3 8,180.0 108.1

 Group 2 3 8,110.7 198.5

 Group 3 3 8,074.0 319.2

Day 7 Group 1 3 8,059.0 53.1

 Group 2 3 8,056.3 129.1

 Group 3 3 6,529.7 480.3

Day 28 Group 1 3 8,238.0 117.9

 Group 2 3 7,838.3 233.2

 Group 3 3 3,658.3 487.6

Source df Sum of squares Mean square F-statistic p-value

Group 2 23,944,856.41 11,972,428.70 151.94 0.0001

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4.7.4.5 From table 13, it can be seen that the F-statistic for interaction is significant (F=61.39, 

p=0.0001). This indicates that group differences exist for one or more days. Protected LSD mean 

separations were then conducted for each day to determine which group differences exist. The results 

are summarized in table 14. Note that means with the same letter (T grouping) are not significantly 

different. 

Table 14—Pairwise Protected LSD Mean Separation 

Significant Level = 0.05. 

Degrees of Freedom = 18. 

Mean Square Error = 78794.63. 

Critical Value = 2.10. 

Least Significant Difference = 481.52. 

4.7.4.6 The grouping letters indicate that the product mean values (group 3) at day 7 and day 28 are 

significantly different from those of both the nutrient control (group 2) and the non-nutrient control (group 

1) for those days. No other significant differences are shown. Therefore, in terms of total aromatic 

degradation, the test indicates the desired statistically significant difference between the mean of the 

product and the mean of the non-nutrient control. 

5.0 Bioremediation agent toxicity test[Reserved]

6.0 Summary technical product test data format.

The purpose of this format is to summarize in a standard and convenient presentation the technical 

product test data required by the U.S. Environmental Protection Agency before a product may be added 

to EPA's NCP Product Schedule, which may be used in carrying out the National Oil and Hazardous 

Substances Pollution Contingency Plan. This format, however, is not to preclude the submission of all 

the laboratory data used to develop the data summarized in this format. Sufficient data should be 

presented on both the effectiveness and toxicity tests to enable EPA to evaluate the adequacy of the 

summarized data. A summary of the technical product test data should be submitted in the following 

format. The numbered headings should be used in all submissions. The subheadings indicate the kinds 

of information to be supplied. The listed subheadings, however, are not exhaustive; additional relevant 

information should be reported where necessary. As noted, some subheadings may apply only to 

particular types of agents. 

I. Name, Brand, or Trademark 

II. Name, Address, and Telephone Number of Manufacturer 

III. Name, Address, and Telephone Numbers of Primary Distributors 

IV. Special Handling and Worker Precautions for Storage and Field Application 

1. Flammability. 

2. Ventilation. 

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

T grouping Mean n Interaction

A 8,338.0 3 Group 1, Day 28.

A 8,180.0 3 Group 1, Day 0.

A 8,110.7 3 Group 2, Day 0.

A 8,074.0 3 Group 3, Day 0.

A 8,059.0 3 Group 1, Day 7.

A 8,056.3 3 Group 2, Day 7.

A 7,838.3 3 Group 2, Day 28.

B 6,529.7 3 Group 3, Day 7.

C 3,658.3 3 Group 3, Day 28.

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3. Skin and eye contact; protective clothing; treatment in case of contact. 

4. Maximum and minimum storage temperatures; optimum storage temperature range; temperatures of 

phase separations and chemical changes. 

V. Shelf Life 

VI. Recommended Application Procedure 

1. Application method. 

2. Concentration, application rate (e.g., gallons of dispersant per ton of oil). 

3. Conditions for use: water salinity, water temperature, types and ages of pollutants. 

VII. Toxicity (Dispersants, Surface Washing Agents, Surface Collecting Agents, and Miscellaneous Oil 

Spill Control Agents) 

VIII.(a). Effectiveness (bioremediation agents). Raw data must be reported according to the format 

shown below. The first column lists the names of the analytes measured by GC/MS (SIM), the surrogate 

standards, and various ratios and sums. In the next three columns, the concentration of the analytes 

(ng/mg oil), the concentration of the analytes corrected for the recovery of the surrogate standard (αandrostane for alkanes, d10-phenanthrene for aromatics), and the concentration of corrected analytes 

normalized against the conserved internal marker, respectively, are reported for the first replicate from 

the first sampling event. These three columns are each repeated for the next two replicates, giving 9 

total columns for the product of interest. The next 9 columns are the same as the product columns 

except they are for the non-nutrient control. The last nine columns are for the nutrient control. Thus, a 

total of 28 columns are needed in the spreadsheet. This spreadsheet is for the first sampling event (day 

0). Two more identical spreadsheets will be needed for each of the next two sampling events (days 7 

and 28). For the statistical analysis, a report showing the two-way analysis of variance (ANOVA) table 

created by the software used by the investigator must be shown in its entirety along with the name of the 

software package used. Another printout showing the mean separation table (protected LSD test results) 

generated by the software must be reported. The statistical analyses are conducted using the sum of the 

alkane concentrations and the sum of the aromatics concentrations from the raw data table. Thus, two 

ANOVAs are run for each sampling event, one for total alkanes and one for total aromatics, giving a total 

of 6 ANOVAs for a product test (2 ANOVAs × 3 sampling events). Only if significant differences are 

detected by a given ANOVA will 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: .] 

Materials Tested Species LC50(ppm)

Product Menidia beryllina 

Mysidopsis bahia 2

96-hr. 

48-hr.

No. 2 fuel oil Menidia beryllina 

Mysidopsis bahia

96-hr. 

48-hr.

Product and No. 2 fuel oil (1:10) Menidia beryllina 

Mysidopsis bahia

96-hr. 

48-hr.

 

Product Replicate 1

Product 

Replicate 

2

Concentration 

ng/mg

Surrogate 

corrected 

ng/mg

Normalized 

to marker 

ng/mg

Alkane Analyte

n-C10

n-C11

n-C12

n-C13

n-C14

n-C15

n-C16

n-C17

pristane

n-C18

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phytane

n-C19

n-C20

n-C21

n-C22

n-C23

n-C24

n-C25

n-C26

n-C27

n-C28

n-C29

n-C30

n-C31

n-C32

n-C33

n-C34

n-C35

n-C36

α-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

C2-

dibenzothiophenes

C3-

dibenzothiophenes

phenanthrene

anthracene

C1-phenanthrenes

C2-phenanthrenes

C3-phenanthrenes

naphthobenzothio

C1-

naphthobenzothio

C2-

naphthobenzothio

C3-

naphthobenzothio

fluoranthene

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VIII.(b). Toxicity (Bioremediation Agents) [Reserved] 

IX. Microbiological Analysis (Bioremediation Agents) 

X. Physical Properties of Dispersant/Surface Washing Agent/Surface Collecting Agent/Miscellaneous Oil 

Spill Control Agent: 

1. Flash Point: ( °F) 

2. Pour Point: ( °F) 

3. Viscosity: ___ at ___ °F (furol seconds) 

4. Specific Gravity: ___ at ___ °F 

5. pH: (10% solution if hydrocarbon based) 

6. Surface Active Agents (Dispersants and Surface Washing Agents)2

2 If the submitter claims that the information presented under this subheading is confidential, 

this information should be submitted on a separate sheet of paper clearly labeled according to 

the subheading and entitled “Confidential Information.” 

7. Solvents (Dispersants and Surface Washing Agents) 

8. Additives (Dispersants and Surface Washing Agents) 

9. Solubility (Surface Collecting Agents) 

XI. Analysis for Heavy Metals, Chlorinated Hydrocarbons, and Cyanide (Dispersants, Surface Washing 

Agents, Surface Collecting Agents, and Miscellaneous Oil Spill Control Agents): 

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

α,β-hopane

d8-naphthalene

d10-phenanthrene

d12-chrysene

d12-perylene

Total 

aromatics

Grav. weight oil

No. oil 

degraders/ml

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References 

(1) L.T. McCarthy, Jr., I. Wilder, and J.S. Dorrier. Standard Dispersant Effectiveness and Toxicity Tests. 

EPA Report EPA-R2-73-201 (May 1973). 

(2) M.F. Fingas, K.A. Hughes, and M.A. Schwertzer. “Dispersant Testing at the Environmental 

Emergencies Technology Division.” Proc. Tenth Arctic Marine Oilspill Program Technical Seminar. 9–11 

June, 1987. Edmonton, Alberta, Canada. Conservation and Protection, Environment Canada. pp. 343–

356. 

(3) J.R. Clayton, Jr., S-F-Tsang, V. Frank, P. Marsden, and J. Harrington. Chemical Oil Spill 

Dispersants: Evaluation of Three Laboratory Procedures for Estimating Performance. Final report 

prepared by Science Applications International Corporation for U.S. Environmental Protection Agency, 

1992. 

(4) J.R. Clayton, Jr. and J.R. Payne. Chemical Oil Spill Dispersants: Update State-of-the-Art on 

Mechanisms of Actions and Factors Influencing Performance With Emphasis on Laboratory Studies. 

Final report prepared by Science Applications International Corporation for U.S. Environmental 

Protection Agency, 1992. 

(5) D.P. Middaugh, M.J. Hemmer, and L. Goodman. Methods for Spawning, Cultureing and Conducting 

Toxicity-tests with Early Life Stages of Four Antherinid Fishes: the Inland Silverside, Menidia beryllina, 

Atlantic Silverside, M. menidia, Tidewater Silverside, M. penisulae, and California Grunion, Lesthes 

tenuis. Office of Research and Development, U.S. Environmental Protection Agency, Washington, DC. 

EPA 600/8–87/004, 1987. 

(6) U.S. EPA. Methods for Measuring the Acute Toxicity of Effluents and Receiving Waters to 

Freshwater and Marine Organisms. Fourth edition. U.S. Environmental Protection Agency, Washington, 

D.C EPA 600/4–90/027, 1991. 

(7) G.S. Douglas, et al. “The Use of Hydrocarbon Analyses for Environmental Assessment and 

Remediation.” In: P.T. Kostecki and E.J. Calabrese (eds.), Contaminated Soils, Diesel Fuel 

Contamination. Lewis Publishers, Ann Arbor, MI, 1992. 

(8) Draft International Standard ISO/DIS 8708 “Crude Petroleum Oil—Determination of Distillation 

Characteristics Using 15 Theoretical Plates Columns.” International Organization for Standardization. 

(9) Standard Methods for the Examination of Water and Wastewater, 17th Edition, American Public 

Health Association, 1989. 

(10) U.S. EPA. Test Method for Evaluating Solid Waste: SW–846. Third edition. U.S. Environmental 

Protection Agency, Office of Solid Waste and Emergency Response, Washington, D.C, 1986. 

(11) M.C. Kennicutt II. “The Effect of Bioremediation on Crude Oil Bulk and Molecular Composition.” In: 

Oil Chemical Pollution, 4:89–112, 1988. 

(12) G.W. Snedecor and W.G. Cochran. Statistical Methods, 7th edition, The Iowa State University 

Press, Ames, Iowa, 1980. 

(13) D.C. Montgomery. Design and Analysis of Experiments. Third edition. John Wiley & Sons, New 

York, NY, 1991. 

[59 FR 47458, Sept.15, 1994] 

Appendix D to Part 300—Appropriate Actions and Methods of Remedying Releases 

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Compounds Concentration (ppm)

Arsenic

Cadmium

Chromium

Copper

Lead

Mercury

Nickel

Zinc

Cyanide

Chlorinated Hydrocarbons

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(a) This appendix D to part 300 describes types of remedial actions generally appropriate for specific 

situations commonly found at remedial sites and lists methods for remedying releases that may be 

considered by the lead agency to accomplish a particular response action. This list shall not be 

considered inclusive of all possible methods of remedying releases and does not limit the lead agency 

from selecting any other actions deemed necessary in response to any situation. 

(b) In response to contaminated soil, sediment, or waste, the following types of response actions shall 

generally be considered: removal, treatment, or containment of the soil, sediment, or waste to reduce or 

eliminate the potential for hazardous substances or pollutants or contaminants to contaminate other 

media (ground water, surface water, or air) and to reduce or eliminate the potential for such substances 

to be inhaled, absorbed, or ingested. 

(1) Techniques for removing contaminated soil, sediment, or waste include the following: 

(i) Excavation. 

(ii) Hydraulic dredging. 

(iii) Mechanical dredging. 

(2) Techniques for treating contaminated soil, sediment, or waste include the following: 

(i) Biological methods, including the following: 

(A) Treatment via modified conventional wastewater treatment techniques. 

(B) Anaerobic, aerated, and facultative lagoons. 

(C) Supported growth biological reactors. 

(D) Microbial biodegradation. 

(ii) Chemical methods, including the following: 

(A) Chlorination. 

(B) Precipitation, flocculation, sedimentation. 

(C) Neutralization. 

(D) Equalization. 

(E) Chemical oxidation. 

(iii) Physical methods, including the following: 

(A) Air stripping. 

(B) Carbon absorption. 

(C) Ion exchange. 

(D) Reverse osmosis. 

(E) Permeable bed treatment. 

(F) Wet air oxidation. 

(G) Solidification. 

(H) Encapsulation. 

(I) Soil washing or flushing. 

(J) Incineration. 

(c) In response to contaminated ground water, the following types of response actions will generally be 

considered: Elimination or containment of the contamination to prevent further contamination, treatment 

and/or removal of such ground water to reduce or eliminate the contamination, physical containment of 

such ground water to reduce or eliminate potential exposure to such contamination, and/or restrictions 

on use of the ground water to eliminate potential exposure to the contamination. 

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(1) Techniques that can be used to contain or restore contaminated ground water include the following: 

(i) Impermeable barriers, including the following: 

(A) Slurry walls. 

(B) Grout curtains. 

(C) Sheet pilings. 

(ii) Permeable treatment beds. 

(iii) Ground-water pumping, including the following: 

(A) Water table adjustment. 

(B) Plume containment. 

(iv) Leachate control, including the following: 

(A) Subsurface drains. 

(B) Drainage ditches. 

(C) Liners. 

(2) Techniques suitable for the control of contamination of water and sewer lines include the following: 

(i) Grouting. 

(ii) Pipe relining and sleeving. 

(iii) Sewer relocation. 

(d)(1) In response to contaminated surface water, the following types of response actions shall generally 

be considered: Elimination or containment of the contamination to prevent further pollution, and/or 

treatment of the contaminated water to reduce or eliminate its hazard potential. 

(2) Techniques that can be used to control or remediate surface water include the following: 

(i) Surface seals. 

(ii) Surface water diversions and collection systems, including the following: 

(A) Dikes and berms. 

(B) Ditches, diversions, waterways. 

(C) Chutes and downpipes. 

(D) Levees. 

(E) Seepage basins and ditches. 

(F) Sedimentation basins and ditches. 

(G) Terraces and benches. 

(iii) Grading. 

(iv) Revegetation. 

(e) In response to air emissions, the following techniques will be considered: 

(1) Pipe vents. 

(2) Trench vents. 

(3) Gas barriers. 

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(4) Gas collection. 

(5) Overpacking. 

(6) Treatment for gaseous emissions, including the following: 

(i) Vapor phase adsorption. 

(ii) Thermal oxidation. 

(f) Alternative water supplies can be provided in several ways, including the following: 

(i) Individual treatment units. 

(ii) Water distribution system. 

(iii) New wells in a new location or deeper wells. 

(iv) Cisterns. 

(v) Bottled or treated water. 

(vi) Upgraded treatment for existing distribution systems. 

(g) Temporary or permanent relocation of residents, businesses, and community facilities may be 

provided where it is determined necessary to protect human health and the environment. 

[55 FR 8865, Mar. 8, 1990] 

Appendix E to Part 300—Oil Spill Response 

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Table of Contents 

1.0Introduction. 

1.1 Background. 

1.2 Purpose/objective. 

1.3 Scope. 

1.4 Abbreviations. 

1.5 Definitions. 

2.0National response system. 

2.1 Overview. 

2.2 Priorities. 

2.3 Responsibility. 

3.0Components of national response system and responsibilities. 

3.1 National. 

3.1.1 National Response Team. 

3.1.2 National Response Center. 

3.1.3 National Strike Force Coordination Center. 

3.2 Regional. 

3.3 Area. 

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3.3.1 On-scene coordinator. 

3.3.2 Area Committees. 

3.3.3 Special teams. 

4.0Preparedness activities. 

4.1 Federal contingency plans. 

4.1.1 National contingency plan. 

4.1.2 Regional contingency plans. 

4.1.3 Area contingency plans. 

4.1.4 Fish and Wildlife and Sensitive Environments Plan annex. 

4.2 OPA facility and vessel response plans. 

4.3 Relation to others plans. 

4.3.1 Federal response plans. 

4.3.2 Tank vessel and facility response plans. 

4.4 Pre-approval authority. 

4.5 Area response drills. 

5.0Response operations. 

5.1 Phase I—Discovery or notification. 

5.2 Phase II—Preliminary assessment and initiation of action. 

5.3 Patterns of response. 

5.3.1 Determinations to initiate response and special conditions. 

5.3.2 General pattern of response. 

5.3.3 Containment, countermeasures, and cleanup. 

5.3.4 Response to a substantial threat to the public health or welfare. 

5.3.5 Enhanced activities during a spill of national significance. 

5.3.6 Response to a worst case discharge. 

5.3.7 Multi-regional responses. 

5.3.8 Worker health and safety. 

5.4 Disposal. 

5.5 Natural resource trustees. 

5.5.1 Damage assessment. 

5.5.2 Lead administrative trustee. 

5.5.3 On-scene coordinator coordination. 

5.5.4 Dissemination of information. 

5.5.5 Responsibilities of trustees. 

5.6 Oil Spill Liability Trust Fund. 

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5.6.1 Funding. 

5.6.2 Claims. 

5.7 Documentation and cost recovery. 

5.8 National response priorities. 

6.0Response coordination. 

6.1 Nongovernmental participation. 

6.2 Natural resource trustees. 

6.2.1 Federal agencies. 

6.2.2 State. 

6.2.3 Indian tribes. 

6.2.4 Foreign trustees. 

6.3 Federal agencies. 

6.4 Other federal agencies. 

6.4.1 Department of Commerce. 

6.4.2 Department of Justice. 

6.4.3 Department of Defense. 

6.4.4 Department of Health and Human Services. 

6.4.5 Department of the Interior. 

6.4.6 Department of Justice. 

6.4.7 Department of Labor. 

6.4.8 Federal Emergency Management Agency. 

6.4.9 Department of Energy. 

6.4.10 Department of State. 

6.4.11 General Services Administration 

6.4.12 Department of Transportation. 

6.5 States and local participation in response. 

1.0 Introduction.

1.1 Background. The Oil Pollution Act of 1990 (OPA) amends the Federal Water Pollution Control Act 

(FWPCA), commonly referred to as the Clean Water Act (CWA), to require the revision of the National 

Oil and Hazardous Substances Pollution Contingency Plan (NCP). In revising the NCP, the need to 

separate the response requirements for oil discharges and release of hazardous substances, pollutants, 

and contaminants became evident. 

1.2 Purpose/objective. This document compiles general oil discharge response requirements into one 

appendix to aid participants and responders under the national response system (NRS). This appendix 

provides the organizational structure and procedures to prepare for and respond to oil discharges. 

Nothing in this appendix alters the meaning or policy stated in other sections or subparts of the NCP. 

1.3 Scope.

(a) This appendix applies to discharges of oil into or upon the navigable waters of the United States and 

adjoining shorelines, the waters of the contiguous zone, or waters of the exclusive economic zone, or 

which may affect the natural resources belonging to, appertaining to, or under the exclusive 

management authority of the United States. 

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(b) This appendix is designed to facilitate efficient, coordinated, and effective response to discharges of 

oil in accordance with the authorities of the CWA. It addresses: 

(1) The national response organization that may be activated in response actions, the responsibilities 

among the federal, state, and local governments, and the resources that are available for response. 

(2) The establishment of regional and area contingency plans. 

(3) Procedures for undertaking removal actions pursuant to section 311 of the CWA. 

(4) Listing of federal trustees for natural resources for purposes of the CWA. 

(5) Procedures for the participation of other persons in response actions. 

(6) Procedures for compiling and making available cost documentation for response actions. 

(7) National procedures for the use of dispersants and other chemicals in removals under the CWA. 

(c) In implementing the NCP provisions compiled in this appendix, consideration shall be given to 

international assistance plans and agreements, security regulations and responsibilities based on 

international agreements, federal statutes, and executive orders. Actions taken pursuant to the 

provisions of any applicable international joint contingency plans shall be consistent with the NCP to the 

greatest extent possible. The Department of State shall be consulted, as appropriate, prior to taking 

action that may affect its activities. 

1.4 Abbreviations. This section of the appendix provides abbreviations relating to oil. 

(a) Department and Agency Title Abbreviations: 

ATSDR—Agency for Toxic Substances and Disease Registry 

CDC—Centers for Disease Control 

DOC—Department of Commerce 

DOD—Department of Defense 

DOE—Department of Energy 

DOI—Department of Interior 

DOJ—Department of Justice 

DOL—Department of Labor 

DOS—Department of State 

DOT—Department of Transportation 

EPA—Environmental Protection Agency 

FEMA—Federal Emergency Management Agency 

GSA—General Services Administration 

HHS—Department of Health and Human Services 

NIOSH—National Institute for Occupational Safety and Health 

NOAA—National Oceanic and Atmospheric Administration 

OSHA—Occupational Safety and Health Administration 

RSPA—Research and Special Programs Administration 

USCG—United States Coast Guard 

USDA—United States Department of Agriculture 

Note: Reference is made in the NCP to both the Nuclear Regulatory Commission and the 

National Response Center. In order to avoid confusion, the NCP will spell out Nuclear 

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Regulatory Commission and use the abbreviation “NRC” only with respect to the National 

Response Center.

(b) Operational Abbreviations: 

AC—Area Committee 

ACP—Area Contingency Plan 

DRAT—District Response Advisory Team 

DRG—District Response Group 

ERT—Environmental Response Team 

ESF—Emergency Support Functions 

FCO—Federal Coordinating Officer 

FRERP—Federal Radiological Emergency Response Plan 

FRP—Federal Response Plan 

LEPC—Local Emergency Planning Committee 

NCP—National Contingency Plan 

NPFC—National Pollution Funds Center 

NRC—National Response Center 

NRS—National Response System 

NRT—National Response Team 

NSF—National Strike Force 

NSFCC—National Strike Force Coordination Center 

OSC—On-Scene Coordinator 

OSLTF—Oil Spill Liability Trust Fund 

POLREP—Pollution Report 

PIAT—Public Information Assist Team 

RCP—Regional Contingency Plan 

RERT—Radiological Emergency Response Team 

RRT—Regional Response Team 

SERC—State Emergency Response Commission 

SONS—Spill of National Significance 

SSC—Scientific Support Coordinator 

SUPSALV—United States Navy Supervisor of Salvage 

USFWS—United States Fish and Wildlife Service 

1.5 Definitions. Terms not defined in this section have the meaning given by CERCLA, the OPA, or the 

CWA. This appendix restates the NCP definitions relating to oil. 

Activation means notification by telephone or other expeditious manner or, when required, the assembly 

of some or all appropriate members of the RRT or NRT. 

Area Committee (AC) as provided for by CWA sections 311(a)(18) and (j)(4), means the entity appointed 

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by the President consisting of members from qualified personnel of federal, state, and local agencies 

with responsibilities that include preparing an area contingency plan for an area designated by the 

President. 

Area contingency plan (ACP) as defined by CWA sections 311(a)(19) and (j)(4) means the plan 

prepared by an Area Committee that is developed to be implemented in conjunction with the NCP and 

RCP, in part to address removal of a worst case discharge and to mitigate or prevent a substantial threat 

of such a discharge from a vessel, offshore facility, or onshore facility operating in or near an area 

designated by the President. 

Bioremediation agents means microbiological cultures, enzyme additives, or nutrient additives that are 

deliberately introduced into an oil discharge and that will significantly increase the rate of biodegradation 

to mitigate the effects of the discharge. 

Burning agents means those additives that, through physical or chemical means, improve the 

combustibility of the materials to which they are applied. 

CERCLA is the Comprehensive Environmental Response, Compensation, and Liability Act of 1980, as 

amended by the Superfund Amendments and Reauthorization Act of 1986. 

Chemical agents means those elements, compounds, or mixtures that coagulate, disperse, dissolve, 

emulsify, foam, neutralize, precipitate, reduce, solubilize, oxidize, concentrate, congeal, entrap, fix, make 

the pollutant mass more rigid or viscous, or otherwise facilitate the mitigation of deleterious effects or the 

removal of the oil pollutant from the water. Chemical agents include biological additives, dispersants, 

sinking agents, miscellaneous oil spill control agents, and burning agents, but do not include solvents. 

Claim in the case of a discharge under CWA means a request, made in writing for a sum certain, for 

compensation for damages or removal costs resulting from an incident. 

Claimant as defined by section 1001 of the OPA means any person or government who presents a claim 

for compensation under Title I of the OPA. 

Clean natural seawater means that the source of this seawater must not be heavily contaminated with 

industrial or other types of effluent. 

Coastal waters for the purpose of classifying the size of discharges, means the waters of the coastal 

zone except for the Great Lakes and specified ports and harbors on inland rivers. 

Coastal zone as defined for the purpose of the NCP, means all United States waters subject to the tide, 

United States waters of the Great Lakes, specified ports and harbors on inland rivers, waters of the 

contiguous zone, other waters of the high seas subject to the NCP, and the land surface or land 

substrata, ground waters, and ambient air proximal to those waters. The term coastal zone delineates an 

area of federal responsibility for response action. Precise boundaries are determined by EPA/USCG 

agreements and identified in federal regional contingency plans. 

Coast Guard District Response Group (DRG) as provided for by CWA sections 311(a)(20) and (j)(3), 

means the entity established by the Secretary of the department in which the USCG is operating within 

each USCG district and shall consist of: the combined USCG personnel and equipment, including 

firefighting equipment, of each port within the district; additional prepositioned response equipment; and 

a district response advisory team. 

Contiguous zone means the zone of the high seas, established by the United States under Article 24 of 

the Convention on the Territorial Sea and Contiguous Zone, which is contiguous to the territorial sea and 

which extends nine miles seaward from the outer limit of the territorial sea. 

Damages as defined by section 1001 of the OPA means damages specified in section 1002(b) of the 

Act, and includes the cost of assessing these damages. 

Discharge as defined by section 311(a)(2) of the CWA, includes, but is not limited to, any spilling, 

leaking, pumping, pouring, emitting, emptying, or dumping of oil, but excludes discharges in compliance 

with a permit under section 402 of the CWA, discharges resulting from circumstances identified and 

reviewed and made a part of the public record with respect to a permit issued or modified under section 

402 of the CWA, and subject to a condition in such permit, or continuous or anticipated intermittent 

discharges from a point source, identified in a permit or permit application under section 402 of the 

CWA, that are caused by events occurring within the scope of relevant operating or treatment systems. 

For purposes of the NCP, discharge also means substantial threat of discharge. 

Dispersants means those chemical agents that emulsify, disperse, or solubilize oil into the water column 

or promote the surface spreading of oil slicks to facilitate dispersal of the oil into the water column. 

Exclusive economic zone as defined in OPA section 1001, means the zone established by Presidential 

Proclamation Numbered 5030, dated March 10, 1983, including the ocean waters of the areas referred 

to as “eastern special areas” in Article 3(1) of the Agreement between the United States of America and 

the Union of Soviet Socialist Republics on the Maritime Boundary, signed June 1, 1990. 

Facility as defined by section 1001 of the OPA means any structure, group of structures, equipment, or 

device (other than a vessel) which is used for one or more of the following purposes: exploring for, 

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drilling for, producing, storing, handling, transferring, processing, or transporting oil. This term includes 

any motor vehicle, rolling stock, or pipeline used for one or more of these purposes. 

Federal Response Plan (FRP) means the agreement signed by 25 federal departments and agencies in 

April 1987 and developed under the authorities of the Earthquake Hazards Reduction Act of 1977 and 

the Disaster Relief Act of 1974, as amended by the Stafford Disaster Relief Act of 1988. 

First federal official means the first federal representative of a participating agency of the National 

Response Team to arrive at the scene of a discharge or a release. This official coordinates activities 

under the NCP and may initiate, in consultation with the OSC, any necessary actions until the arrival of 

the predesignated OSC. 

Indian tribe as defined in OPA section 1001, means any Indian tribe, band, nation, or other organized 

group or community, but not including any Alaska Native regional or village corporation, which is 

recognized as eligible for the special programs and services provided by the United States to Indians 

because of their status as Indians and has governmental authority over lands belonging to or controlled 

by the Tribe. 

Inland waters for the purposes of classifying the size of discharges, means those waters of the United 

States in the inland zone, waters of the Great Lakes, and specified ports and harbors on inland rivers. 

Inland zone means the environment inland of the coastal zone excluding the Great Lakes, and specified 

ports and harbors on inland rivers. The term inland zone delineates an area of federal responsibility for 

response action. Precise boundaries are determined by EPA/USCG agreements and identified in federal 

regional contingency plans. 

Lead administrative trustee means a natural resource trustee who is designated on an incident-byincident basis for the purpose of preassessment and damage assessment and chosen by the other 

trustees whose natural resources are affected by the incident. The lead administrative trustee facilitates 

effective and efficient communication during response operations between the OSC and the other 

natural resource trustees conducting activities associated with damage assessment and is responsible 

for applying to the OSC for access to response operations resources on behalf of all trustees for 

initiation of damage assessment. 

Lead agency means the agency that provides the OSC to plan and implement response actions under 

the NCP. 

Miscellaneous oil spill control agent is any product, other than a dispersant, sinking agent, surface 

washing agent, surface collecting agent, bioremediation agent, burning agent, or sorbent that can be 

used to enhance oil spill cleanup, removal, treatment, or mitigation. 

National Pollution Funds Center (NPFC) means the entity established by the Secretary of Transportation 

whose function is the administration of the Oil Spill Liability Trust Fund (OSLTF). Among the NPFC's 

duties are: providing appropriate access to the OSLTF for federal agencies and states for removal 

actions and for federal trustees to initiate the assessment of natural resource damages; providing 

appropriate access to the OSLTF for claims; and coordinating cost recovery efforts. 

National Response System (NRS) is the mechanism for coordinating response actions by all levels of 

government in support of the OSC. The NRS is composed of the NRT, RRTs, OSC, Area Committees, 

and Special Teams and related support entities. 

National Strike Force (NSF) is a special team established by the USCG, including the three USCG Strike 

Teams, the Public Information Assist Team (PIAT), and the National Strike Force Coordination Center. 

The NSF is available to assist OSCs in their preparedness and response duties. 

National Strike Force Coordination Center (NSFCC), authorized as the National Response Unit by CWA 

section 311(a)(23) and (j)(2), means the entity established by the Secretary of the department in which 

the USCG is operating at Elizabeth City, North Carolina, with responsibilities that include administration 

of the USCG Strike Teams, maintenance of response equipment inventories and logistic networks, and 

conducting a national exercise program. 

Natural resources means land, fish, wildlife, biota, air, water, groundwater, drinking water supplies, and 

other such resources belonging to, managed by, held in trust by, appertaining to, or otherwise controlled 

by the United States (including the resources of the exclusive economic zone defined by the Magnuson 

Fishery Conservation and Management Act of 1976), any state or local government, any foreign 

government, any Indian tribe, or, if such resources are subject to a trust restriction on alienation, any 

member of an Indian tribe. 

Navigable waters as defined by 40 CFR 110.1 means the waters of the United States, including the 

territorial seas. The term includes: 

(a) All waters that are currently used, were used in the past, or may be susceptible to use in interstate or 

foreign commerce, including all waters that are subject to the ebb and flow of the tide; 

(b) Interstate waters, including interstate wetlands; 

(c) All other waters such as intrastate lakes, rivers, streams (including intermittent streams), mudflats, 

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sandflats, and wetlands, the use, degradation, or destruction of which would affect or could affect 

interstate or foreign commerce including any such waters: 

(1) That are or could be used by interstate or foreign travelers for recreational or other purposes; 

(2) From which fish or shellfish are or could be taken and sold in interstate or foreign commerce; and 

(3) That are used or could be used for industrial purposes by industries in interstate commerce. 

(d) All impoundments of waters otherwise defined as navigable waters under this section; 

(e) Tributaries of waters identified in paragraphs (a) through (d) of this definition, including adjacent 

wetlands; and 

(f) Wetlands adjacent to waters identified in paragraphs (a) through (e) of this definition: Provided, that 

waste treatment systems (other than cooling ponds meeting the criteria of this paragraph) are not waters 

of the United States. 

(g) Waters of the United States do not include prior converted cropland. Notwithstanding the 

determination of an area's status as prior converted cropland by any other federal agency, for the 

purposes of the Clean Water Act, the final authority regarding Clean Water Act jurisdiction remains with 

EPA. 

Offshore facility as defined by section 311(a)(11) of the CWA means any facility of any kind located in, 

on, or under any of the navigable waters of the United States, and any facility of any kind which is 

subject to the jurisdiction of the United States and is located in, on, or under any other waters, other than 

a vessel or a public vessel. 

Oil as defined by section 311(a)(1) of the CWA means oil of any kind or in any form, including, but not 

limited to, petroleum, fuel oil, sludge, oil refuse, and oil mixed with wastes other than dredged spoil. Oil, 

as defined by section 1001 of the OPA means oil of any kind or in any form, including, but not limited to, 

petroleum, fuel oil, sludge, oil refuse, and oil mixed with wastes other than dredged spoil, but does not 

include petroleum, including crude oil or any fraction thereof, which is specifically listed or designated as 

a hazardous substance under subparagraphs (A) through (F) of section 101(14) of the Comprehensive 

Environmental Response, Compensation, and Liability Act (42 U.S.C. 9601) and which is subject to the 

provisions of that Act. 

Oil Spill Liability Trust Fund means the fund established under section 9509 of the Internal Revenue 

Code of 1986 (26 U.S.C. 9509). 

On-scene coordinator (OSC) means the federal official predesignated by the EPA or the USCG to 

coordinate and direct response under subpart D. 

Onshore facility as defined by section 311(a)(10) of the CWA, means any facility (including, but not 

limited to, motor vehicles and rolling stock) of any kind located in, on, or under any land within the United 

States other than submerged land. 

On-site means the areal extent of contamination and all suitable areas in very close proximity to the 

contamination necessary for implementation of a response action. 

Person as defined by section 1001 of the OPA, means an individual, corporation, partnership, 

association, state, municipality, commission, or political subdivision of a state, or any interstate body. 

Public vessel as defined by section 311(a)(4) of the CWA, means a vessel owned or bareboat-chartered 

and operated by the United States, or by a state or political subdivision thereof, or by a foreign nation, 

except when such vessel is engaged in commerce. 

Remove or removal as defined by section 311(a)(8) of the CWA, refers to containment and removal of 

oil or hazardous substances from the water and shorelines or the taking of such other actions as may be 

necessary to minimize or mitigate damage to the public health or welfare (including, but not limited to, 

fish, shellfish, wildlife, public and private property, and shorelines and beaches) or to the environment. 

For the purpose of the NCP, the term also includes monitoring of action to remove a discharge. 

Removal costs as defined by section 1001 of the OPA means the costs of removal that are incurred after 

a discharge of oil has occurred, or in any case in which there is a substantial threat of a discharge of oil 

the costs to prevent, minimize, or mitigate oil pollution from such an incident. 

Responsible party as defined by section 1001 of the OPA means the following: 

(a) Vessels—In the case of a vessel, any person owning, operating, or demise chartering the vessel. 

(b) Onshore Facilities—In the case of an onshore facility (other than a pipeline), any person owning or 

operating the facility, except a federal agency, state, municipality, commission, or political subdivision of 

a state, or any interstate body, that as the owner transfers possession and right to use the property to 

another person by lease, assignment, or permit. 

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(c) Offshore Facilities—In the case of an offshore facility (other than a pipeline or a deepwater port 

licensed under the Deepwater Port Act of 1974 (33 U.S.C. 1501 et seq. )), the lessee or permittee of the 

area in which the facility is located or the holder of a right of use and easement granted under applicable 

state law or the Outer Continental Shelf Lands Act (43 U.S.C. 1301–1356) for the area in which the 

facility is located (if the holder is a different person than the lessee or permittee), except a federal 

agency, state, municipality, commission, or political subdivision of a state, or any interstate body, that as 

owner transfers possession and right to use the property to another person by lease, assignment, or 

permit. 

(d) Deepwater Ports—In the case of a deepwater port licensed under the Deepwater Port Act of 1974 

(33 U.S.C. 1501–1524), the licensee. 

(e) Pipelines—In the case of a pipeline, any person owning or operating the pipeline. 

(f) Abandonment—In the case of an abandoned vessel, onshore facility, deepwater port, pipeline, or 

offshore facility, the person who would have been responsible parties immediately prior to the 

abandonment of the vessel or facility. 

Sinking agents means those additives applied to oil discharges to sink floating pollutants below the 

water surface. 

Size classes of discharges refers to the following size classes of oil discharges which are provided as 

guidance to the OSC and serve as the criteria for the actions delineated in subpart D. They are not 

meant to imply associated degrees of hazard to public health or welfare, nor are they a measure of 

environmental injury. Any oil discharge that poses a substantial threat to public health or welfare or the 

environment or results in significant public concern shall be classified as a major discharge regardless of 

the following quantitative measures: 

(a) Minor discharge means a discharge in inland waters of less than 1,000 gallons of oil or a discharge 

to the coastal waters of less than 10,000 gallons of oil. 

(b) Medium discharge means a discharge of 1,000 to 10,000 gallons of oil to the inland waters or a 

discharge of 10,000 to 100,000 gallons of oil to the coastal waters. 

(c) Major discharge means a discharge of more than 10,000 gallons of oil to the inland waters or more 

than 100,000 gallons of oil to the coastal waters. 

Sorbents means essentially inert and insoluble materials that are used to remove oil and hazardous 

substances from water through adsorption, in which the oil or hazardous substance is attracted to the 

sorbent surface and then adheres to it, absorption, in which the oil or hazardous substance penetrates 

the pores of the sorbent material, or a combination of the two. Sorbents are generally manufactured in 

particulate form for spreading over an oil slick or as sheets, rolls, pillows, or booms. The sorbent material 

may consist of, but is not limited to, the following materials: 

(a) Organic products— 

(1) Peat moss or straw; 

(2) Cellulose fibers or cork; 

(3) Corn cobs; 

(4) Chicken or duck feathers. 

(b) Mineral compounds— 

(1) Volcanic ash or perlite; 

(2) Vermiculite or zeolite. 

(c) Synthetic products— 

(1) Polypropylene; 

(2) Polyethylene; 

(3) Polyurethane; 

(4) Polyester. 

Specified ports and harbors means those ports and harbor areas on inland rivers, and land areas 

immediately adjacent to those waters, where the USCG acts as predesignated on-scene coordinator. 

Precise locations are determined by EPA/USCG regional agreements and identified in federal regional 

contingency plans and area contingency plans. 

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Spill of national significance (SONS) means a spill which due to its severity, size, location, actual or 

potential impact on the public health and welfare or the environment, or the necessary response effort, is 

so complex that it requires extraordinary coordination of federal, state, local, and responsible party 

resources to contain and cleanup the discharge. 

State means the several states of the United States, the District of Columbia, the Commonwealth of 

Puerto Rico, Guam, American Samoa, the U.S. Virgin Islands, the Commonwealth of the Northern 

Marianas, and any other territory or possession over which the United States has jurisdiction. For 

purposes of the NCP, the term includes Indian tribes as defined in the NCP except where specifically 

noted. 

Surface collecting agents means those chemical agents that form a surface film to control the layer 

thickness of oil. 

Surface washing agent is any product that removes oil from solid surfaces, such as beaches and rocks, 

through a detergency mechanism and does not involve dispersing or solubilizing the oil into the water 

column. 

Tank vessel as defined by section 1001 of OPA means a vessel that is constructed or adapted to carry, 

or that carries, oil or hazardous material in bulk as cargo or cargo residue, and that: (1) is a vessel of the 

United States; (2) operates on the navigable waters; or (3) transfers oil or hazardous material in a place 

subject to the jurisdiction of the United States. 

Threat of discharge, see definition for discharge. 

Trustee means an official of a federal natural resources management agency designated in subpart G of 

the NCP or a designated state official or Indian tribe or, in the case of discharges covered by the OPA, a 

foreign government official, who may pursue claims for damages under section 1006 of the OPA. 

United States when used in relation to section 311(a)(5) of the CWA, mean the states, the District of 

Columbia, the Commonwealth of Puerto Rico, the Northern Mariana Islands, Guam, American Samoa, 

the U.S. Virgin Islands, and the Pacific Island Governments. 

Vessel as defined by section 311(a)(3) of the CWA means every description of watercraft or other 

artificial contrivance used, or capable of being used, as a means of transportation on water other than a 

public vessel. 

Volunteer means any individual accepted to perform services by the lead agency which has authority to 

accept volunteer services (for examples, see 16 U.S.C. 742f(c)). A volunteer is subject to the provisions 

of the authorizing statute and the NCP. 

Worst case discharge as defined by section 311(a)(24) of the CWA means, in the case of a vessel, a 

discharge in adverse weather conditions of its entire cargo, and in the case of an offshore facility or 

onshore facility, the largest foreseeable discharge in adverse weather conditions. 

2.0 National response system.

2.1 Overview. The national response system (NRS) is the mechanism for coordinating response actions 

by all levels of government in support of the OSC. The NRS is composed of the National Response 

Team (NRT), Regional Response Teams (RRTs), On-scene coordinator (OSC), Area Committees, and 

Special Teams and related support entities. The NRS functions as an incident command system (ICS) 

under the direction of the OSC. Typical of an ICS, the NRS is capable of expanding or contracting to 

accommodate the response effort required by the size or complexity of the discharge. 

2.2 Priorities. (a) Safety of human life must be given the highest priority during every response action. 

This includes any search and rescue efforts in the general proximity of the discharge and the insurance 

of safety of response personnel. 

(b) Stabilizing the situation to preclude the event from worsening is the next priority. All efforts must be 

focused on saving a vessel that has been involved in a grounding, collision, fire or explosion, so that it 

does not compound the problem. Comparable measures should be taken to stabilize a situation 

involving a facility, pipeline, or other source of pollution. Stabilizing the situation includes securing the 

source of the spill and/or removing the remaining oil from the container (vessel, tank, or pipeline) to 

prevent additional oil spillage, to reduce the need for follow-up response action, and to minimize adverse 

impact to the environment. 

(c) The response must use all necessary containment and removal tactics in a coordinated manner to 

ensure a timely, effective response that minimizes adverse impact to the environment. 

(d) All parts of this national response strategy should be addressed concurrently, but safety and 

stabilization are the highest priorities. The OSC should not delay containment and removal decisions 

unnecessarily and should take actions to minimize adverse impact to the environment that begins as 

soon as a discharge occurs, as well as actions to minimize further adverse environmental impact from 

additional discharges. 

(e) The priorities set forth in this section are broad in nature, and should not be interpreted to preclude 

the consideration of other priorities that may arise on a site-specific basis. 

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2.3 Responsibility. (a) The predesignated OSC has the responsibility to direct response actions and 

coordinate all other response efforts at the scene of an oil discharge or threatened discharge. The OSC 

monitors or directs all federal, state, local, and private removal actions, or arranges for the removal of an 

actual or threatened oil discharge, removing and if necessary, requesting authority to destroy a vessel. 

Additionally, the CWA requires the OSC to direct all federal, state, local, and private removal actions to 

any incident that poses a substantial threat to the public health or welfare. 

(b) Cleanup responsibility for an oil discharge immediately falls on the responsible party, unless the 

discharge poses a substantial threat to public health or welfare. In a large percentage of oil discharges, 

the responsible party shall conduct the cleanup. If the responsible party does conduct the removal, the 

OSC shall ensure adequate surveillance over whatever actions are initiated. 

(1) If effective actions are not being taken to eliminate the threat, or if removal is not being properly 

done, the OSC should, to the extent practicable under the circumstances, so advise the responsible 

party. If the responsible party does not respond properly, the OSC shall take appropriate response 

actions and should notify the responsible party of the potential liability for federal response costs 

incurred by the OSC pursuant to the OPA and CWA. Where practicable, continuing efforts should be 

made to encourage response by responsible parties. 

(2) If the Administrator of EPA or the Secretary of the department in which the USCG is operating 

determines that there may be an imminent and substantial threat to the public health or welfare or the 

environment of the United States (including fish, shellfish, and wildlife, public and private property, 

shorelines, beaches, habitats, and other living and nonliving natural resources under the jurisdiction or 

control of the United States, because of an actual or threatened discharge of oil from any vessel or 

offshore or onshore facility into or upon the navigable waters of the United States), the Administrator or 

Secretary may request the U.S. Attorney General to secure the relief from any person, including the 

owner or operator of the vessel or facility necessary to abate a threat or, after notice to the affected 

state, take any other action authorized by section 311 of the CWA including administrative orders, that 

may be necessary to protect the public health or welfare. 

(3) The responsible party is liable for costs of federal removal and damages in accordance with section 

311(f) of the CWA, section 1002 of the OPA, and other federal laws. 

(c) In those incidents where a discharge or threat of discharge poses a substantial threat to the public 

health or welfare of the United States, the OSC shall direct all federal, state, or private actions to remove 

the discharge or to mitigate or prevent the threat of such a discharge, as appropriate. The OSC shall 

also request immediate activation of the RRT. 

(d) During responses to any discharge the OSC may request advice or support from the Special Teams 

and any local support units identified by the Area Committee. Examples include scientific advice from 

the Scientific Support Coordinator (SSC), technical guidance or prepositioned equipment from the 

District Response Group (DRG), or public information assistance from the National Strike Force (NSF). 

(e) When an oil discharge exceeds the response capability of the region in which it occurs, transects 

regional boundaries, or involves a substantial threat to the public health or welfare, substantial amounts 

of property, or substantial threats to the natural resources, the NRT should be activated as an 

emergency response team. If appropriate the RRT Chairman may contact the NRT Chairman and 

request the NRT activation. 

3.0 Components of national response system and responsibilities.

The NRS is the mechanism for coordinating response actions by all levels of government in support of 

the OSC. The NRS organization is divided into national, regional, and area levels. The national level 

comprises the NRT, the National Strike Force Coordination Center (NSFCC), and the National 

Response Center (NRC). The regional level is comprised of the RRT. The area level is made up of the 

OSC, Special Teams, and Area Committees. The basic framework for the response management 

structure is a system (e.g., a unified command system), that brings together the functions of the federal 

government, the state government, and the responsible party to achieve an effective and efficient 

response, where the OSC retains authority. 

3.1 National.

3.1.1 National response team. (a) National planning and coordination is accomplished through the NRT. 

The NRT consists of representatives from the USCG, EPA, Federal Emergency Management Agency 

(FEMA), Department of Defense (DOD), Department of Energy (DOE), Department of Agriculture 

(DOA), Department of Commerce (DOC), Department of Health and Human Services (HHS), 

Department of the Interior (DOI), Department of Justice (DOJ), Department of Labor (DOL), Department 

of Transportation (DOT), Department of State (DOS), Nuclear Regulatory Commission, and General 

Services Administration (GSA). Each agency shall designate a member to the team and sufficient 

alternates to ensure representation, as agency resources permit. The NRT will consider requests for 

membership on the NRT from other agencies. Other agencies may request membership by forwarding 

such requests to the chair of the NRT (see Figure 1). 

(b) The chair of the NRT shall be the representative of the EPA and the vice chair shall be the 

representative of the USCG, with the exception of periods of activation because of response action. 

During activation, the chair shall be the member agency providing the OSC. The vice chair shall 

maintain records of NRT activities along with national, regional, and area plans for response actions. 

(c) While the NRT desires to achieve a consensus on all matters brought before it, certain matters may 

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prove unresolvable by this means. In such cases, each agency serving as a participating agency on the 

NRT may be accorded one vote in NRT proceedings. 

(d) The NRT may establish such bylaws, procedures, and committees as it deems appropriate to further 

the purposes for which it is established. 

(e) The NRT shall evaluate methods of responding to discharges, shall recommend any changes 

needed in the response organization, and shall recommend to the Administrator of EPA changes to the 

NCP designed to improve the effectiveness of the national response system, including drafting of 

regulatory language. 

(f) The NRT shall provide policy and program direction to the RRTs. 

(g) The NRT may consider and make recommendations to appropriate agencies on the training, 

equipping, and protection of response teams and necessary research, development, demonstration, and 

evaluation to improve response capabilities. 

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(h) Direct planning and preparedness responsibilities of the NRT include: 

(1) Maintaining national preparedness to respond to a major discharge of oil that is beyond regional 

capabilities; 

(2) Monitoring incoming reports from all RRTs and activating for a response action, when necessary; 

(3) Coordinating a national program to assist member agencies in preparedness planning and response, 

and enhancing coordination of member agency preparedness programs; 

(4) Developing procedures, in coordination with the NSFCC, as appropriate, to ensure the coordination 

of federal, state, and local governments, and private response to oil discharges; 

(5) Monitoring response-related research and development, testing, and evaluation activities of NRT 

agencies to enhance coordination, avoid duplication of effort, and facilitate research in support of 

response activities; 

(6) Developing recommendations for response training and for enhancing the coordination of available 

resources among agencies with training responsibilities under the NCP; 

(7) Reviewing regional responses to oil discharges, including an evaluation of equipment readiness and 

coordination among responsible public agencies and private organizations; and 

(8) Assisting in developing a national exercise program, in coordination with the NSFCC to ensure 

preparedness and coordination nationwide. 

(i) The NRT shall consider matters referred to it for advice or resolution by an RRT. 

(j) The NRT should be activated as an emergency response team: 

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(1) When an oil discharge: 

(A) Exceeds the response capability of the region in which it occurs; 

(B) Transects regional boundaries; or 

(C) Involves a substantial threat to the public health or welfare, substantial amounts of property, or 

substantial threats to natural resources; 

(2) If requested by any NRT member. 

(k) When activated for a response action, the NRT will meet at the call of the chair and may: 

(1) Monitor and evaluate reports from the OSC and recommend to the OSC, through the RRT, actions to 

combat the discharge; 

(2) Request other federal, state and local governments, or private agencies, to provide resources under 

their existing authorities to combat a discharge, or to monitor response operations; and 

(3) Coordinate the supply of equipment, personnel, or technical advice to the affected region from other 

regions or districts. 

3.1.2 National response center. (a) The NRC, located at USCG Headquarters, is the national 

communications center, continuously manned for handling activities related to response actions, 

including those involving discharges of oil. The NRC acts as the single point of contact for all pollution 

incident reporting, and as the NRT communications center. Notice of discharges must be made by 

telephone through a toll free number or a special number (Telecommunication Device for the Deaf 

(TDD) and collect calls accepted). Upon receipt of a notification of discharge, the NRC shall promptly 

notify the OSC. The telephone report is distributed to any interested NRT member agency or federal 

entity that has established a written agreement or understanding with the NRC. 

(b) The Commandant, USCG, in conjunction with other NRT agencies, provides the necessary 

personnel, communications, plotting facilities, and equipment for the NRC. 

(c) Notice of an oil discharge in an amount equal to or greater than the reportable quantity must be made 

immediately in accordance with 33 CFR part 153, subpart B. Notification will be made to the NRC Duty 

Officer, HQ USCG, Washington, DC, telephone (800) 424–8802 or (202) 267–2675. All notices of 

discharges received at the NRC will be relayed immediately by telephone to the OSC. 

3.1.3 National strike force coordination center. NSFCC, located in Elizabeth City, North Carolina, may 

assist the OSC by providing information on available spill removal resources, personnel, and equipment. 

The NSFCC can provide the following support to the OSC: 

(a) Technical assistance, equipment, and other resources to augment the OSC staff during spill 

response; 

(b) Assistance in coordinating the use of private and public resources in support of the OSC during a 

response to or a threat of a worst case discharge of oil; 

(c) Review of the area contingency plan, including an evaluation of equipment readiness and 

coordination among responsible public agencies and private organizations; 

(d) Assistance in locating spill response resources for both response and planning, using the NSFCC's 

national and international computerized inventory of spill response resources; 

(e) Coordination and evaluation of pollution response exercises; and 

(f) Inspection of district prepositioned pollution response equipment. 

3.2 Regional. (a) Regional planning and coordination of preparedness and response actions is 

accomplished through the RRT. In the case of a discharge of oil, preparedness activities shall be carried 

out in conjunction with Area Committees as appropriate. The RRT agency membership parallels that of 

the NRT, but also includes state and local representation. The RRT provides: (1) the appropriate 

regional mechanism for development and coordination of preparedness activities before a response 

action is taken and for coordination of assistance and advice to the OSC during such response actions; 

and (2) guidance to Area Committees, as appropriate, to ensure inter-area consistency and consistency 

of individual ACPs with the RCP and NCP. 

(b) The two principal components of the RRT mechanism are a standing team, which consists of 

designated representatives from each participating federal agency, state governments, and local 

governments (as agreed upon by the states); and incident-specific teams formed from the standing team 

when the RRT is activated for a response. On incident-specific teams, participation by the RRT member 

agencies will relate to the technical nature of the incident and its geographic location. 

(1) The standing team's jurisdiction corresponds to the standard federal regions, except for Alaska, 

Oceania in the Pacific, and the Caribbean area, each of which has a separate standing RRT. The role of 

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the standing RRT includes communications systems and procedures, planning, coordination, training, 

evaluation, preparedness, and related matters on a regionwide basis. It also includes coordination of 

Area Committees for these functions in areas within their respective regions, as appropriate. 

(2) The role of the incident-specific team is determined by the operational requirements of the response 

to a specific discharge. Appropriate levels of activation and/or notification of the incident-specific RRT, 

including participation by state and local governments, shall be determined by the designated RRT chair 

for the incident, based on the RCP. The incident-specific RRT supports the designated OSC. The 

designated OSC manages response efforts and coordinates all other efforts at the scene of a discharge. 

(c) The representatives of EPA and the USCG shall act as co-chairs of the RRTs except when the RRT 

is activated. When the RRT is activated for response actions, the chair is the member agency providing 

the OSC. 

(d) Each participating agency should designate one member and at least one alternate member to the 

RRT. Agencies whose regional subdivisions do not correspond to the standard federal regions may 

designate additional representatives to the standing RRT to ensure appropriate coverage of the 

standard federal region. Participating states may also designate one member and at least one alternate 

member to the RRT. Indian tribal governments may arrange with the RRT for representation appropriate 

to their geographical location. All agencies and states may also provide additional representatives as 

observers to meetings of the RRT. 

(e) RRT members should designate representatives and alternates from their agencies as resource 

personnel for RRT activities, including RRT work planning, and membership on incident-specific teams 

in support of the OSCs. 

(f) Federal RRT members or their representatives should provide OSCs with assistance from their 

respective federal agencies commensurate with agency responsibilities, resources, and capabilities 

within the region. During a response action, the members of the RRT should seek to make available the 

resources of their agencies to the OSC as specified in the RCP and ACP. 

(g) RRT members should nominate appropriately qualified representatives from their agencies to work 

with OSCs in developing and maintaining ACPs. 

(h) Affected states are encouraged to participate actively in all RRT activities. Each state Governor is 

requested to assign an office or agency to represent the state on the appropriate RRT; to designate 

representatives to work with the RRT in developing RCPs; to plan for, make available, and coordinate 

state resources for use in response actions; and to serve as the contact point for coordination of 

response with local government agencies, whether or not represented on the RRT. The state's RRT 

representative should keep the State Emergency Response Commission (SERC) apprised of RRT 

activities and coordinate RRT activities with the SERC. Local governments are invited to participate in 

activities on the appropriate RRT as provided by state law or as arranged by the state's representative. 

Indian tribes are also invited to participate in such activities. 

(i) The standing RRT shall recommend changes in the regional response organization as needed, revise 

the RCP as needed, evaluate the preparedness of the participating agencies and the effectiveness of 

ACPs for the federal response to discharges, and provide technical assistance for preparedness to the 

response community. The RRT should: 

(1) Review and comment, to the extent practicable, on local emergency response plans or other issues 

related to the preparation, implementation, or exercise of such plans upon request of a local emergency 

planning committee; 

(2) Evaluate regional and local responses to discharges on a continuing basis, considering available 

legal remedies, equipment readiness, and coordination among responsible public agencies and private 

organizations, and recommend improvements; 

(3) Recommend revisions of the NCP to the NRT, based on observations of response operations; 

(4) Review OSC actions to ensure that RCPs and ACPs are effective; 

(5) Encourage the state and local response community to improve its preparedness for response; 

(6) In coordination with the Area Committee and in accordance with any applicable laws, regulations, or 

requirements, conduct advance planning for use of dispersants, surface washing agents, surface 

collecting agents, burning agents, bioremediation agents, or other chemical agents in accordance with 

subpart J of this part; 

(7) Be prepared to provide response resources to major discharges or releases outside the region; 

(8) Conduct or participate in training and exercises as necessary to encourage preparedness activities of 

the response community within the region; 

(9) Meet at least semiannually to review response actions carried out during the preceding period, 

consider changes in RCPs, and recommend changes in ACPs; 

(10) Provide letter reports on RRT activities to the NRT twice a year, no later than January 31 and July 

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31; and 

(11) Ensure maximum participation in the national exercise program for announced and unannounced 

exercises. 

(j)(1) The RRT may be activated by the chair as an incident-specific response team when a discharge: 

(A) Exceeds the response capability available to the OSC in the place where it occurs; 

(B) Transects state boundaries; 

(C) May pose a substantial threat to the public health or welfare, or to regionally significant amounts of 

property; or 

(D) Is a worst case discharge, as defined in section 1.5 of this appendix. 

(2) The RRT shall be activated during any discharge upon a request from the OSC, or from any RRT 

representative, to the chair of the RRT. Requests for RRT activation shall later be confirmed in writing. 

Each representative, or an appropriate alternate, should be notified immediately when the RRT is 

activated. 

(3) During prolonged removal or remedial action, the RRT may not need to be activated or may need to 

be activated only in a limited sense, or may need to have available only those member agencies of the 

RRT who are directly affected or who can provide direct response assistance. 

(4) When the RRT is activated for a discharge or release, agency representatives will meet at the call of 

the chair and may: 

(A) Monitor and evaluate reports from the OSC, advise the OSC on the duration and extent of response, 

and recommend to the OSC specific actions to respond to the discharge; 

(B) Request other federal, state, or local governments, or private agencies, to provide resources under 

their existing authorities to respond to a discharge or to monitor response operations; 

(C) Help the OSC prepare information releases for the public and for communication with the NRT; 

(D) If the circumstances warrant, make recommendations to the regional or district head of the agency 

providing the OSC that a different OSC should be designated; and 

(E) Submit pollution reports to the NRC as significant developments occur. 

(5) RCPs shall specify detailed criteria for activation of RRTs. 

(6) At the regional level, a Regional Response Center (RRC) may provide facilities and personnel for 

communications, information storage, and other requirements for coordinating response. The location of 

each RRC should be provided in the RCP. 

(7) When the RRT is activated, affected states may participate in all RRT deliberations. State 

government representatives participating in the RRT have the same status as any federal member of the 

RRT. 

(8) The RRT can be deactivated when the incident-specific RRT chair determines that the OSC no 

longer requires RRT assistance. 

(9) Notification of the RRT may be appropriate when full activation is not necessary, with systematic 

communication of pollution reports or other means to keep RRT members informed as to actions of 

potential concern to a particular agency, or to assist in later RRT evaluation of regionwide response 

effectiveness. 

(k) Whenever there is insufficient national policy guidance on a matter before the RRT, a technical 

matter requiring solution, a question concerning interpretation of the NCP, or a disagreement on 

discretionary actions among RRT members that cannot be resolved at the regional level, it may be 

referred to the NRT for advice. 

3.3 Area.

3.3.1 On-scene coordinator. The OSC is the federal official predesignated by EPA or the USCG to 

coordinate and direct federal responses under subpart D of the NCP. The USCG shall provide OSCs for 

oil discharges, including discharges from facilities and vessels under the jurisdiction of another federal 

agency, within or threatening the coastal zone. EPA shall provide OSCs for discharges into or 

threatening the inland zone. In carrying out a response, the OSC may direct or monitor all federal, state, 

and private actions to remove a discharge. In contingency planning and removal, the OSC coordinates, 

directs, and reviews the work of other agencies, Area Committees, responsible parties, and contractors 

to assure compliance with the NCP, decision document, consent decree, administrative order, and lead 

agency-approved plans applicable to the response. 

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3.3.2 Area committees. (a) Area Committees shall be responsible for: (1) preparing an ACP for their 

areas; (2) working with appropriate federal, state, and local officials to enhance the contingency planning 

of those officials and to assure pre-planning of joint response efforts, including appropriate procedures 

for mechanical recovery, dispersal, shoreline cleanup, protection of sensitive environmental areas, and 

protection, rescue, and rehabilitation of fisheries and wildlife; and (3) working with appropriate federal, 

state, and local officials to expedite decisions for the use of dispersants and other mitigating substances 

and devices. 

(b) The OSC is responsible for overseeing development of the ACP in the area of the OSC's 

responsibility. The ACP, when implemented in conjunction with other provisions of the NCP, shall be 

adequate to remove a worst case discharge, and to mitigate and prevent a substantial threat of such a 

discharge, from a vessel, offshore facility, or onshore facility operating in or near the area. 

3.3.3 Special teams. (a) Special teams include: NOAA/EPA's SSCs; EPA's Environmental Response 

Team (ERT); and USCG's NSF; DRGs; and NPFC (see Figure 2). 

(b) SSCs may be designated by the OSC as the principal advisors for scientific issues, communication 

with the scientific community, and coordination of requests for assistance from state and federal 

agencies regarding scientific studies. The SSC strives for a consensus on scientific issues affecting the 

response, but ensures that differing opinions within the community are communicated to the OSC. 

(1) Generally, SSCs are provided by NOAA in the coastal zones, and by EPA in the inland zone. OSC 

requests for SSC support may be made directly to the SSC assigned to the area or to the agency 

member of the RRT. NOAA SSCs may also be requested through NOAA's SSC program office in 

Seattle, WA. NOAA SSCs are assigned to USCG Districts and are supported by a scientific support 

team that includes expertise in environmental chemistry, oil slick tracking, pollutant transport modeling, 

natural resources at risk, environmental tradeoffs of countermeasures and cleanup, and information 

management. 

View or download PDF 

(2) During a response, the SSC serves on the federal OSC's staff and may, at the request of the OSC, 

lead the scientific team and be responsible for providing scientific support for operational decisions and 

for coordinating on-scene scientific activity. Depending on the nature and location of the incident, the 

SSC integrates expertise from governmental agencies, universities, community representatives, and 

industry to assist the OSC in evaluating the hazards and potential effects of releases and in developing 

response strategies. 

(3) At the request of the OSC, the SSC may facilitate the OSC's work with the lead administrative trustee 

for natural resources to ensure coordination between damage assessment data collection efforts and 

data collected in support of response operations. 

(4) SSCs support the RRTs and the Area Committees in preparing regional and area contingency plans 

and in conducting spill training and exercises. For area plans, the SSC provides leadership for the 

synthesis and integration of environmental information required for spill response decisions in support of 

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the OSC. 

(c)(1) SUPSALV has an extensive salvage/search and recovery equipment inventory with the requisite 

knowledge and expertise to support these operations, including specialized salvage, firefighting, and 

petroleum, oil and lubricants offloading capability. 

(2) When possible, SUPSALV will provide equipment for training exercises in support of national and 

regional contingency planning objectives. 

(3) The OSC/RPM may request assistance directly from SUPSALV. Formal requests are routed through 

the Chief of Naval Operations (N312). 

(d) The ERT is established by the EPA in accordance with its disaster and emergency responsibilities. 

The ERT has expertise in treatment technology, biology, chemistry, hydrology, geology and engineering. 

(1) The ERT can provide access to special decontamination equipment and advice to the OSC in hazard 

evaluation; risk assessment; multimedia sampling and analysis program; on-site safety, including 

development and implementation plans; cleanup techniques and priorities; water supply 

decontamination and protection; application of dispersants; environmental assessment; degree of 

cleanup required; and disposal of contaminated material. The ERT also provides both introductory and 

intermediate level training courses to prepare response personnel. 

(2) OSC or RRT requests for ERT support should be made to the EPA representative on the RRT; EPA 

Headquarters, Director, Emergency Response Division; or the appropriate EPA regional emergency 

coordinator. 

(e) The NSF is a special team established by the USCG, including the three USCG Strike Teams, the 

Public Information Assist Team (PIAT), and the NSFCC. The NSF is available to assist OSCs in their 

preparedness and response duties. 

(1) The three Strike Teams (Atlantic, Gulf, and Pacific) provide trained personnel and specialized 

equipment to assist the OSC in training for spill response, stabilizing and containing the spill, and in 

monitoring or directing the response actions of the responsible parties and/or contractors. The OSC has 

a specific team designated for initial contact and may contact that team directly for any assistance. 

(2) The NSFCC can provide the following support to the OSC: 

—Technical assistance, equipment and other resources to augment the OSC staff during spill response; 

—Assistance in coordinating the use of private and public resources in support of the OSC during a 

response to or a threat of a worst case discharge of oil; 

—Review of the ACP, including an evaluation of equipment readiness and coordination among 

responsible public agencies and private organizations; 

—Assistance in locating spill response resources for both response and planning, using the NSFCC's 

national and international computerized inventory of spill response resources; 

—Coordination and evaluation of pollution response exercises; and 

—Inspection of district prepositioned pollution response equipment. 

(3) PIAT is an element of the NSFCC staff which is available to assist OSCs to meet the demands for 

public information during a response or exercise. Its use is encouraged any time the OSC requires 

outside public affairs support. Requests for PIAT assistance may be made through the NSFCC or NRC. 

(f)(1) The DRG assists the OSC by providing technical assistance, personnel, and equipment, including 

pre-positioned equipment. Each DRG consists of all Coast Guard personnel and equipment, including 

marine firefighting equipment, in its district, additional pre-positioned equipment, and a District Response 

Advisory Team (DRAT) that is available to provide support to the OSC in the event that a spill exceeds 

local response capabilities. Each DRG: 

(A) Shall provide technical assistance, equipment, and other resources as available when requested by 

an OSC through the USCG representative to the RRT; 

(B) Shall ensure maintenance of all USCG response equipment within its district; 

(C) May provide technical assistance in the preparation of the ACP; and 

(D) Shall review each of those plans that affect its area of geographic responsibility. 

(2) In deciding where to locate personnel and pre-positioned equipment, the USCG shall give priority 

emphasis to: 

(A) The availability of facilities for loading and unloading heavy or bulky equipment by barge; 

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(B) The proximity to an airport capable of supporting large military transport aircraft; 

(C) The flight time to provide response to oil spills in all areas of the Coast Guard district with the 

potential for marine casualties; 

(D) The availability of trained local personnel capable of responding in an oil spill emergency; and 

(E) Areas where large quantities of petroleum products are transported. 

(g) The NPFC is responsible for implementing those portions of Title I of the OPA that have been 

delegated to the Secretary of the department in which the Coast Guard is operating. The NPFC is 

responsible for addressing funding issues arising from discharges and threats of discharges of oil. The 

NPFC: 

(1) Issues Certificates of Financial Responsibility to owners and operators of vessels to pay for costs 

and damages that are incurred by their vessels as a result of oil discharges; (2) Provides funding for 

various response organizations for timely abatement and removal actions related to oil discharges; 

(3) Provides equitable compensation to claimants who sustain costs and damages from oil discharges 

when the responsible party fails to do so; 

(4) Recovers monies from persons liable for costs and damages resulting from oil discharges to the full 

extent of liability under the law; and 

(5) Provides funds to initiate natural resources damage assessment. 

(h) The organizational concepts of the national response system discussed above are depicted in Figure 

3. 

4.0 Preparedness activities.

4.1 Federal contingency plans. This section summarizes emergency preparedness activities relating to 

discharges of oil and describes the three levels of contingency planning under the national response 

system. 

4.1.1 National contingency plan. (a) The NCP provides for efficient, coordinated, and effective response 

to discharges of oil in accordance with the authorities of the CWA. It provides for: 

(1) The national response organization that may be activated in response actions and specifies 

responsibilities among the federal, state, and local governments and describes resources that are 

available for response; 

(2) The establishment of requirements for federal, regional, and area contingency plans; 

(3) Procedures for undertaking removal actions pursuant to section 311 of the CWA; 

View or download PDF 

(4) Procedures for involving state governments in the initiation, development, selection, and 

implementation of response actions; 

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(5) Listing of federal trustees for natural resources for purposes of the CWA; 

(6) Procedures for the participation of other persons in response actions; and 

(7) National procedures for the use of dispersants and other chemicals in removals under the CWA. 

(b) In implementing the NCP, consideration shall be given to international assistance plans and 

agreements, security regulations and responsibilities based on international agreements, federal 

statutes, and executive orders. Actions taken pursuant to the provisions of any applicable international 

joint contingency plans shall be consistent with the NCP, to the greatest extent possible. The 

Department of State shall be consulted, as appropriate, prior to taking action which may affect its 

activities. 

4.1.2 Regional contingency plans. The RRTs, working with the states, shall develop federal RCPs for 

each standard federal region, Alaska, Oceania in the Pacific, and the Caribbean to coordinate timely, 

effective response by various federal agencies and other organizations to discharges of oil. RCPs shall, 

as appropriate, include information on all useful facilities and resources in the region, from government, 

commercial, academic, and other sources. To the greatest extent possible, RCPs shall follow the format 

of the NCP and be coordinated with state emergency response plans, ACPs, and Title III local 

emergency response plans. Such coordination should be accomplished by working with the SERCs in 

the region covered by the RCP. RCPs shall contain lines of demarcation between the inland and coastal 

zones, as mutually agreed upon by the USCG and the EPA. 

4.1.3 Area contingency plans. (a) Under the direction of an OSC and subject to approval by the lead 

agency, each Area Committee, in consultation with the appropriate RRTs, DRGs, the NSFCC, SSCs, 

Local Emergency Planning Committees (LEPCs), and SERCs, shall develop an ACP for its designated 

area. This plan, when implemented in conjunction with other provisions of the NCP, shall be adequate to 

remove a worst case discharge, and to mitigate or prevent a substantial threat of such a discharge, from 

a vessel, offshore facility, or onshore facility operating in or near the area. 

(b) The areas of responsibility may include several Title III local planning districts, or parts of such 

districts. In developing the ACP, the OSC shall coordinate with affected SERCs and LEPCs. The ACP 

shall provide for a well coordinated response that is integrated and compatible to the greatest extent 

possible with all appropriate response plans of state, local, and non-federal entities, and especially with 

Title III local emergency response plans. 

(c) The ACP shall include the following: 

(1) A description of the area covered by the plan, including the areas of special economic or 

environmental importance that might be impacted by a discharge; 

(2) A description in detail of the responsibilities of an owner or operator and of federal, state, and local 

agencies in removing a discharge, and in mitigating or preventing a substantial threat of a discharge; 

(3) A list of equipment (including firefighting equipment), dispersants, or other mitigating substances and 

devices, and personnel available to an owner or operator and federal, state, and local agencies, to 

ensure an effective and immediate removal of a discharge, and to ensure mitigation or prevention of a 

substantial threat of a discharge (this may be provided in an appendix or by reference to other relevant 

emergency plans (e.g., state or LEPC plans), which may include such equipment lists); 

(4) A description of procedures to be followed for obtaining an expedited decision regarding the use of 

dispersants; and 

(5) A detailed description of how the plan is integrated into other ACPs and tank vessel, offshore facility, 

and onshore facility response plans approved by the President, and into operating procedures of the 

NSFCC. 

4.1.4 Fish and Wildlife and sensitive environments plan annex. (a) In order to provide for coordinated, 

immediate and effective protection, rescue, and rehabilitation of, and minimization of risk of injury to, fish 

and wildlife resources and habitat, Area Committees shall incorporate into each ACP a detailed annex 

containing a Fish and Wildlife and Sensitive Environments Plan that is consistent with the RCP and 

NCP. The annex shall be prepared in consultation with the U.S. Fish and Wildlife Service (FWS) and 

NOAA and other interested natural resource management agencies and parties. It shall address fish and 

wildlife resources and their habitat, and shall include other areas considered sensitive environments in a 

separate section of the annex, based upon Area Committee recommendations. The annex shall provide 

the necessary information and procedures to immediately and effectively respond to discharges that 

may adversely affect fish and wildlife and their habitat and sensitive environments, including provisions 

for a response to a worst case discharge. Such information shall include the identification of appropriate 

agencies and their responsibilities, procedures to notify these agencies following a discharge or threat of 

a discharge; protocols for obtaining required fish and wildlife permits and other necessary permits, and 

provisions to ensure compatibility of annex-related activities with removal operations. 

(b) The annex shall: 

(1) Identify and establish priorities for fish and wildlife resources and their habitats and other important 

sensitive areas requiring protection from any direct or indirect effects from discharges that may occur. 

These effects include, but are not limited to, any seasonal or historical use, as well as all critical, special, 

significant or otherwise designated protected areas. 

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(2) Provide a mechanism to be used during a spill response for timely identification of protection 

priorities of those fish and wildlife resources and habitats and sensitive environmental areas that may be 

threatened or injured by a discharge. These include as appropriate, not only marine and freshwater 

species, habitats, and their food sources, but also terrestrial wildlife and their habitats that may be 

affected directly by onshore oil or indirectly by oil-related factors, such as loss or contamination of 

forage. The mechanism shall also provide for expeditious evaluation and appropriate consultations on 

the effects to fish and wildlife, their habitat, and other sensitive environments from the application of 

chemical countermeasures or other countermeasures not addressed under paragraph (3) of this section. 

(3) Identify potential environmental effects on fish and wildlife, their habitat, and other sensitive 

environments resulting from removal actions or countermeasures, including the option of no removal. 

Based on this evaluation of potential environmental effects, the annex should establish priorities for 

application of countermeasure and removal actions to habitats within the geographic region of the ACP. 

The annex should establish methods to minimize the identified effects on fish and wildlife because of 

response activities, including, but not limited to, disturbance of sensitive areas and habitats; illegal or 

inadvertent taking or disturbance of fish and wildlife or specimens by response personnel; and fish and 

wildlife, their habitat, and environmentally sensitive areas coming in contact with various cleaning or 

bioremediation agents. Furthermore, the annex should identify the areas where the movement of oiled 

debris may pose a risk to resident, transient, or migratory fish and wildlife, and other sensitive 

environments and should discuss measures to be considered for removing such oiled debris in a timely 

fashion to reduce such risk. 

(4) Provide for pre-approval of application of specific countermeasures or removal actions that, if 

expeditiously applied, will minimize adverse spill-induced impacts to fish and wildlife resources, their 

habitat, and other sensitive environments. Such pre-approval plans must be consistent with paragraphs 

(2) and (3) of this section and subpart J requirements of the NCP, and must have the concurrence of the 

natural resource trustees. 

(5) Provide monitoring plan(s) to evaluate the effectiveness of different countermeasures or removal 

actions in protecting the environment. Monitoring should include “set-aside” or “control” areas, where no 

mitigative actions are taken. 

(6) Identify and plan for the acquisition and utilization of necessary response capabilities for protection, 

rescue, and rehabilitation of fish and wildlife resources and habitat. This may include appropriately 

permitted private organizations and individuals with appropriate expertise and experience. The suitable 

organizations should be identified in cooperation with natural resource law enforcement agencies. Such 

capabilities shall include, but not be limited to, identification of facilities and equipment necessary for 

deterring sensitive fish and wildlife from entering oiled areas, and for capturing, holding, cleaning, and 

releasing injured wildlife. Plans for the provision of such capabilities shall ensure that there is no 

interference with other OSC removal operations. 

(7) Identify appropriate federal and state agency contacts and alternates responsible for coordination of 

fish and wildlife rescue and rehabilitation and protection of sensitive environments; identify and provide 

for required fish and wildlife handling and rehabilitation permits necessary under federal and state laws; 

and provide guidance on the implementation of law enforcement requirements included under current 

federal and state laws and corresponding regulations. Requirements include, but are not limited to 

procedures regarding the capture, transport, rehabilitation, release of wildlife exposed to or threatened 

by oil, and disposal of contaminated carcasses of wildlife. 

(8) Identify and secure the means for providing, if needed, the minimum required Occupational Safety 

and Health Administration (OSHA) training for volunteers, including those who assist with injured wildlife. 

(9) Evaluate the compatibility between this annex and non-federal response plans (including those of 

vessels, facilities and pipelines) on issues affecting fish and wildlife, their habitat, and sensitive 

environments. 

4.2 OPA facility and vessel response plans

This section describes and cross-references the regulations that implement section 311(j)(5) of the 

CWA. A tank vessel, as defined under section 2101 of title 46, U.S. Code, an offshore facility, and an 

onshore facility that, because of its location, could reasonably expect to cause substantial harm to the 

environment by discharging into or on the navigable waters, adjoining shorelines, or exclusive economic 

zone must prepare and submit a plan for responding, to the maximum extent practicable, to a worst case 

discharge, and to a substantial threat of such a discharge, of oil or a hazardous substance. These 

response plans are required to be consistent with applicable Area Contingency Plans. These regulations 

are codified as follows: 

(a) For tank vessels, these regulations are codified in 33 CFR part 155; 

(b) For offshore facilities, these regulations are codified in 30 CFR part 254; 

(c) For non-transportation related onshore facilities, these regulations are codified in 40 CFR part 

112.20; 

(d) For transportation-related onshore facilities, these regulations are cofidied in 33 CFR part 154; 

(e) For pipeline facilities, these regulations are codified in 49 CFR part 194; and 

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(f) For rolling stock, these regulations are codified in 49 CFR part 106 et al. 

4.3 Relation to others plans.

4.3.1 Federal response plans. In the event of a declaration of a major disaster by the President, the 

FEMA may activate the Federal Response Plan (FRP). A Federal Coordinating Officer (FCO), 

designated by the President, may implement the FRP and coordinate and direct emergency assistance 

and disaster relief of impacted individuals, business, and public services under the Robert T. Stafford 

Disaster Relief Act. Delivery of federal assistance is facilitated through twelve functional annexes to the 

FRP known as Emergency Support Functions (ESFs). EPA coordinates activities under ESF #10—

Hazardous Materials, which addresses preparedness and response to hazardous materials and oil 

incidents caused by a natural disaster or other catastrophic event. In such cases, the OSC should 

coordinate response activities with the FCO, through the incident-specific ESF #10 Chair, to ensure 

consistency with federal disaster assistance activities. 

4.3.2 Tank Vessel and Facility Response Plans. (a) Under CWA section 311(j)(5), tank vessels, 

offshore facilities, and certain onshore facilities are required to prepare and submit response plans for 

review and approval by the President for the carriage, storage, and transportation of oil and hazardous 

substances. Separate regulations published by the appropriate federal agencies provide for required 

response plan development and/or approval. 

(b) These plans shall be developed to coordinate responsible party actions with the OSC and the ACP 

response strategies, for response to oil discharges within the inland and coastal zones of the United 

States. 

4.4 Pre-approval authority.

(a) RRTs and Area Committees shall address, as part of their planning activities, the desirability of using 

appropriate dispersants, surface washing agents, surface collecting agents, bioremediation agents, or 

miscellaneous oil spill control agents listed on the NCP Product Schedule, and the desirability of using 

appropriate burning agents. RCPs and ACPs shall, as appropriate, include applicable preauthorization 

plans and address the specific contexts in which such products should and should not be used. In 

meeting the provisions of this paragraph, preauthorization plans may address factors such as the 

potential sources and types of oil that might be spilled, the existence and location of environmentally 

sensitive resources that might be impacted by spilled oil, available product and storage locations, 

available equipment and adequately trained operators, and the available means to monitor product 

application and effectiveness. The RRT representatives from EPA and the states with jurisdiction over 

the waters of the area to which a preauthorization plan applies and the DOC and DOI natural resource 

trustees shall review and either approve, disapprove, or approve with modification the preauthorization 

plans developed by Area Committees, as appropriate. Approved preauthorization plans shall be 

included in the appropriate RCPs and ACPs. If the RRT representatives from EPA and the states with 

jurisdiction over the waters of the area to which a preauthorization plan applies and the DOC and DOI 

natural resource trustees approve in advance the use of certain products under specified circumstances 

as described in the preauthorization plan, the OSC may authorize the use of the products without 

obtaining the specific concurrences described in paragraphs (b) and (c) of this section. 

(b) For spill situations that are not addressed by the preauthorization plans developed pursuant to 

paragraph (a) of this section, the OSC, with the concurrence of the EPA representative to the RRT and, 

as appropriate, the concurrence of the RRT representatives from the states with jurisdiction over the 

navigable waters threatened by the discharge, and in consultation with the DOC and DOI natural 

resource trustees, when practicable, may authorize the use of dispersants, surface washing agents, 

surface collecting agents, bioremediation agents, or miscellaneous oil spill control agents on the oil 

discharge, provided that the products are listed on the NCP Product Schedule. 

(c) The OSC, with the concurrence of the EPA representative to the RRT and, as appropriate, the 

concurrence of the RRT representatives from the states with jurisdiction over the navigable waters 

threatened by the discharge, and in consultation with the DOC and DOI natural resource trustees, when 

practicable, may authorize the use of burning agents on a case-by-case basis. 

(d) The OSC may authorize the use of any dispersant, surface washing agent, surface collecting agent, 

other chemical agent, burning agent, bioremediation agent, or miscellaneous oil spill control agent, 

including products not listed on the NCP Product Schedule, without obtaining the concurrence of the 

EPA representative to the RRT and, as appropriate, the RRT representatives from the states with 

jurisdiction over the navigable waters threatened by the discharge, when, in the judgment of the OSC, 

the use of the product is necessary to prevent or substantially reduce a hazard to human life. Whenever 

the OSC authorizes the use of a product pursuant to this paragraph, the OSC is to inform the EPA RRT 

representative and, as appropriate, the RRT representatives from the affected states and, when 

practicable, the DOC/DOI natural resource trustees of the use of a product, including products not on the 

Schedule, as soon as possible. Once the threat to human life has subsided, the continued use of a 

product shall be in accordance with paragraphs (a), (b), and (c) of this section. 

(e) Sinking agents shall not be authorized for application to oil discharges. 

(f) When developing preauthorization plans, RRTs may require the performance of supplementary 

toxicity and effectiveness testing of products, in addition to the test methods specified in §300.915 and 

described in appendix C to part 300, due to existing site-specific or area-specific concerns. 

4.5 Area response drills. The OSC periodically shall conduct drills of removal capability (including fish 

and wildlife response), without prior notice, in areas for which ACPs are required and under relevant 

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tank vessel and facility response plans. 

5.0 Response operations.

(a) The OSC shall direct response efforts and coordinate all other efforts at the scene of a discharge. As 

part of the planning and preparation for response, OSCs shall be predesignated by the regional or 

district head of the lead agency. 

(b) The first federal official affiliated with an NRT member agency to arrive at the scene of a discharge 

should coordinate activities under the NCP and is authorized to initiate, in consultation with the OSC, 

any necessary actions normally carried out by the OSC until the arrival of the predesignated OSC. This 

official may initiate federal OSLTF-financed actions only as authorized by the OSC or, if the OSC is 

unavailable, the authorized representative of the lead agency. 

(c) The OSC shall, to the extent practicable, collect pertinent facts about the discharge, such as its 

source and cause; the identification of responsible parties; the nature, amount, and location of 

discharged materials; the probable direction and time of travel of discharged materials; whether the 

discharge is a worst case discharge; the pathways to human and environmental exposure; the potential 

impact on human health, welfare, and safety and the environment; whether the discharge poses a 

substantial threat to the public health or welfare; the potential impact on natural resources and property 

which may be affected; priorities for protecting human health and welfare and the environment; and 

appropriate cost documentation. 

(d) The OSC's efforts shall be coordinated with other appropriate federal, state, local, and private 

response agencies. OSCs may designate capable persons from federal, state, or local agencies to act 

as their on-scene representatives. State and local governments, however, are not authorized to take 

actions under subpart D of the NCP that involve expenditures of the OSLTF unless an appropriate 

contract or cooperative agreement has been established. 

(e) The OSC should consult regularly with the RRT and NSFCC, as appropriate, in carrying out the NCP 

and keep the RRT and NSFCC, as appropriate, informed of activities under the NCP. 

(f) The OSC should evaluate incoming information and immediately advise FEMA of potential major 

disaster situations. 

(g) The OSC is responsible for addressing worker health and safety concerns at a response scene. 

(h) In those instances where a possible public health emergency exists, the OSC should notify the HHS 

representative to the RRT. Throughout response actions, the OSC may call upon the OSHA and HHS 

representative for assistance on worker health and safety issues. 

(i) All federal agencies should plan for emergencies and develop procedures for dealing with oil 

discharges and releases of hazardous substances, pollutants, or contaminants from vessels and 

facilities under their jurisdiction. All federal agencies, therefore, are responsible for designating the office 

that coordinates response to such incidents in accordance with the NCP and applicable federal 

regulations and guidelines. 

(j)(1) The OSC shall ensure that the natural resource trustees are promptly notified of discharges. 

(2) The OSC shall coordinate all response activities with the affected natural resource trustees and shall 

consult with the affected trustees on the appropriate removal action to be taken. 

(3) Where the OSC becomes aware that a discharge may affect any endangered or threatened species, 

or their habitat, the OSC shall consult with DOI, DOC/NOAA, and, if appropriate, the cognizant federal 

land managing agency. 

(k) The OSC shall submit pollution reports (POLREPs) to the RRT and other appropriate agencies as 

significant developments occur during response actions, through communications networks or 

procedures agreed to by the RRT and covered in the RCP. 

(l) The OSC should ensure that all appropriate public and private interests are kept informed and that 

their concerns are considered throughout a response, to the extent practicable. 

5.1 Phase I—Discovery or notification. (a) A discharge of oil may be discovered through: 

(1) A report submitted by the person in charge of a vessel or facility, in accordance with statutory 

requirements; 

(2) Deliberate search by patrols; 

(3) Random or incidental observation by government agencies or the public; or 

(4) Other sources. 

(b) Any person in charge of a vessel or a facility shall, as soon as he or she has knowledge of any 

discharge from such vessel or facility in violation of section 311(b)(3) of the CWA, immediately notify the 

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NRC. Notification shall be made to the NRC Duty Officer, HQ USCG, Washington, DC, telephone (800) 

424–8802 or (202) 267–2675. If direct reporting to the NRC is not practicable, reports may be made to 

the USCG or EPA predesignated OSC for the geographic area where the discharge occurs. The EPA 

predesignated OSC may also be contacted through the regional 24-hour emergency response 

telephone number. All such reports shall be promptly relayed to the NRC. If it is not possible to notify the 

NRC or predesignated OSC immediately, reports may be made immediately to the nearest Coast Guard 

unit. In any event, such person in charge of the vessel or facility shall notify the NRC as soon as 

possible. 

(c) Any other person shall, as appropriate, notify the NRC of a discharge of oil. 

(d) Upon receipt of a notification of discharge, the NRC shall promptly notify the OSC. The OSC shall 

ensure notification of the appropriate state agency of any state which is, or may reasonably be expected 

to be, affected by the discharge. The OSC shall then proceed with the following phases as outlined in 

the RCP and ACP. 

5.2 Phase II—Preliminary assessment and initiation of action 

(a) The OSC is responsible for promptly initiating a preliminary assessment. 

(b) The preliminary assessment shall be conducted using available information, supplemented where 

necessary and possible by an on-scene inspection. The OSC shall undertake actions to: 

(1) Evaluate the magnitude and severity of the discharge or threat to public health or welfare or the 

environment; 

(2) Assess the feasibility of removal; and 

(3) To the extent practicable, identify potentially responsible parties. 

(c) Where practicable, the framework for the response management structure is a system (e.g., a unified 

command system), that brings together the functions of the federal government, the state government, 

and the responsible party to achieve an effective and efficient response, where the OSC maintains 

authority. 

(d) Except in a case when the OSC is required to direct the response to a discharge that may pose a 

substantial threat to the public health or welfare (including, but not limited to fish, shellfish, wildlife, other 

natural resources, and the public and private beaches and shorelines of the United States), the OSC 

may allow the responsible party to voluntarily and promptly perform removal actions, provided the OSC 

determines such actions will ensure an effective and immediate removal of the discharge or mitigation or 

prevention of a substantial threat of a discharge. If the responsible party does conduct the removal, the 

OSC shall ensure adequate surveillance over whatever actions are initiated. If effective actions are not 

being taken to eliminate the threat, or if removal is not being properly done, the OSC should, to the 

extent practicable under the circumstances, so advise the responsible party. If the responsible party 

does not respond properly, the OSC shall take appropriate response actions and should notify the 

responsible party of the potential liability for federal response costs incurred by the OSC pursuant to the 

OPA and CWA. Where practicable, continuing efforts should be made to encourage response by 

responsible parties. 

(1) In carrying out a response under this section, the OSC may: 

(A) Remove or arrange for the removal of a discharge, and mitigate or prevent a substantial threat of a 

discharge, at any time; 

(B) Direct or monitor all federal, state, and private actions to remove a discharge; and 

(C) Remove and, if necessary, destroy a vessel discharging, or threatening to discharge, by whatever 

means are available. 

(2) If the discharge results in a substantial threat to the public health or welfare of the United States 

(including, but not limited to fish, shellfish, wildlife, other natural resources, and the public and private 

beaches and shorelines of the United States), the OSC must direct all response efforts, as provided in 

section 5.3.4 of this appendix. The OSC should declare as expeditiously as practicable to spill response 

participants that the federal government will direct the response. The OSC may act without regard to any 

other provision of the law governing contracting procedures or employment of personnel by the federal 

government in removing or arranging for the removal of such a discharge. 

(e) The OSC shall ensure that the natural resource trustees are promptly notified in the event of any 

discharge of oil, to the maximum extent practicable as provided in the Fish and Wildlife and Sensitive 

Environments Plan annex to the ACP for the area in which the discharge occurs. The OSC and the 

trustees shall coordinate assessments, evaluations, investigations, and planning with respect to 

appropriate removal actions. The OSC shall consult with the affected trustees on the appropriate 

removal action to be taken. The trustees will provide timely advice concerning recommended actions 

with regard to trustee resources potentially affected. The trustees also will assure that the OSC is 

informed of their activities in natural resource damage assessment that may affect response operations. 

The trustees shall assure, through the lead administrative trustee, that all data from the natural resource 

damage assessment activities that may support more effective operational decisions are provided in a 

timely manner to the OSC. When circumstances permit, the OSC shall share the use of non-monetary 

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response resources ( i.e. , personnel and equipment) with the trustees, provided trustee activities do not 

interfere with response actions. The lead administrative trustee facilitates effective and efficient 

communication between the OSC and the other trustees during response operations and is responsible 

for applying to the OSC for non-monetary federal response resources on behalf of all trustees. The lead 

administrative trustee is also responsible for applying to the National Pollution Funds Center for funding 

for initiation of damage assessment for injuries to natural resources. 

5.3 Patterns of response.

5.3.1 Determinations to initiate response and special conditions. 

(a) In accordance with the CWA, the Administrator of EPA or the Secretary of the department in which 

the USCG is operating, as appropriate, is authorized to act for the United States to take response 

measures deemed necessary to protect the public health or welfare or environment from discharges of 

oil. 

(b) The Administrator of EPA or the Secretary of the department in which the USCG is operating, as 

appropriate, is authorized to initiate and, in the case of a discharge posing a substantial threat to public 

health or welfare is required to initiate and direct, appropriate response activities when the Administrator 

or Secretary determines that any oil is discharged or there is a substantial threat of such discharge from 

any vessel or offshore or onshore facility into or on the navigable waters of the United States, on the 

adjoining shorelines to the navigable waters, into or on the waters of the exclusive economic zone, or 

that may affect natural resources belonging to, appertaining to, or under exclusive management 

authority of the United States. 

(c) In addition to any actions taken by a state or local government, the Administrator of EPA or the 

Secretary of the department in which the USCG is operating may request the U.S. Attorney General to 

secure the relief from any person, including the owner or operator of the vessel or facility necessary to 

abate a threat or, after notice to the affected state, take any other action authorized by section 311 of the 

CWA, including issuing administrative orders, that may be necessary to protect the public health or 

welfare, if the Administrator or Secretary determines that there may be an imminent and substantial 

threat to the public health or welfare or the environment of the United States, including fish, shellfish, 

and wildlife, public and private property, shorelines, beaches, habitats, and other living and nonliving 

natural resources under the jurisdiction or control of the United States, because of an actual or 

threatened discharge of oil from any vessel or offshore or onshore facility into or upon the navigable 

waters of the United States. 

(d) Response actions to remove discharges originating from operations conducted subject to the Outer 

Continental Shelf Lands Act shall be in accordance with the NCP. 

(e) Where appropriate, when a discharge involves radioactive materials, the lead or support federal 

agency shall act consistent with the notification and assistance procedures described in the appropriate 

Federal Radiological Plan. For the purpose of the NCP, the Federal Radiological Emergency Response 

Plan (FRERP) (50 FR 46542, November 8, 1985) is the appropriate plan. Most radiological discharges 

and releases do not result in FRERP activation and should be handled in accordance with the NCP. 

However, releases from nuclear incidents subject to requirements for financial protection established by 

the Nuclear Regulatory Commission under the Price-Anderson amendments (section 170) of the Atomic 

Energy Act are specifically excluded from CERCLA and NCP requirements. 

(f) Removal actions involving nuclear weapons should be conducted in accordance with the joint 

Department of Defense, Department of Energy, and FEMA Agreement for Response to Nuclear 

Incidents and Nuclear Weapons Significant Incidents (January 8, 1981). 

(g) If the situation is beyond the capability of state and local governments and the statutory authority of 

federal agencies, the President may, under the Disaster Relief Act of 1974, act upon a request by the 

Governor and declare a major disaster or emergency and appoint a FCO to coordinate all federal 

disaster assistance activities. In such cases, the OSC would continue to carry out OSC responsibilities 

under the NCP, but would coordinate those activities with the FCO to ensure consistency with other 

federal disaster assistance activities. 

(h) In the event of a declaration of a major disaster by the President, FEMA may activate the FRP. An 

FCO, designated by the President, may implement the FRP and coordinate and direct emergency 

assistance and disaster relief of impacted individuals, business, and public services under the Robert T. 

Stafford Disaster Relief Act. Delivery of federal assistance is facilitated through twelve functional 

annexes to the FRP known as ESFs. EPA coordinates activities under ESF #10—Hazardous Materials, 

which addresses preparedness and response to hazardous materials and oil incidents caused by a 

natural disaster or other catastrophic event. In such cases, the OSC/RPM should coordinate response 

activities with the FCO, through the incident-specific ESF #10 Chair, to ensure consistency with federal 

disaster assistance activities. 

5.3.2 General pattern of response. (a) When the OSC receives a report of a discharge, actions normally 

should be taken in the following sequence: 

(1) Investigate the report to determine pertinent information such as the threat posed to public health or 

welfare or the environment, the type and quantity of polluting material, and the source of the discharge. 

(2) Officially classify the size ( i.e. , minor, medium, major) and type ( i.e. , substantial threat to the public 

health or welfare, worst case discharge) of the discharge and determine the course of action to be 

followed to ensure effective and immediate removal, mitigation, or prevention of the discharge. Some 

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discharges that are classified as a substantial threat to the public health or welfare may be further 

classified as a spill of national significance by the Administrator of EPA or the Commandant of the 

USCG. The appropriate course of action may be prescribed in 5.3.4, 5.3.5, and 5.3.6 of this appendix. 

(A) When the reported discharge is an actual or potential major discharge, the OSC shall immediately 

notify the RRT and the NRC. 

(B) When the investigation shows that an actual or potential medium discharge exists, the OSC shall 

recommend activation of the RRT, if appropriate. 

(C) When the investigation shows that an actual or potential minor discharge exists, the OSC shall 

monitor the situation to ensure that proper removal action is being taken. 

(3) If the OSC determines that effective and immediate removal, mitigation, or prevention of a discharge 

can be achieved by private party efforts, and where the discharge does not pose a substantial threat to 

the public health or welfare, determine whether the responsible party or other person is properly carrying 

out removal. Removal is being done properly when: 

(A) The responsible party is applying the resources called for in its response plan to effectively and 

immediately remove, minimize, or mitigate threat(s) to public health and welfare and the environment; 

and 

(B) The removal efforts are in accordance with applicable regulations, including the NCP. Even if the 

OSC supplements responsible party resources with government resources, the spill response will not be 

considered improper, unless specifically determined by the OSC. 

(4) Where appropriate, determine whether a state or political subdivision thereof has the capability to 

carry out any or all removal actions. If so, the OSC may arrange funding to support these actions. 

(5) Ensure prompt notification of the trustees of affected natural resources in accordance with the 

applicable RCP and ACP. 

(b) Removal shall be considered complete when so determined by the OSC in consultation with the 

Governor or Governors of the affected states. When the OSC considers removal complete, OSLTF 

removal funding shall end. This determination shall not preclude additional removal actions under 

applicable state law. 

5.3.3 Containment, countermeasures, and cleanup. (a) Defensive actions shall begin as soon as 

possible to prevent, minimize, or mitigate threat(s) to the public health or welfare or the environment. 

Actions may include but are not limited to: analyzing water samples to determine the source and spread 

of the oil; controlling the source of discharge; source and spread control or salvage operations; 

placement of physical barriers to deter the spread of the oil and to protect natural resources and 

sensitive ecosystems; measuring and sampling; control of the water discharged from upstream 

impoundment; and the use of chemicals and other materials in accordance with subpart J of part 300 of 

the NCP to restrain the spread of the oil and mitigate its effects. The ACP should be consulted for 

procedures to be followed for obtaining an expedited decision regarding the use of dispersants and 

other products listed on the NCP Product Schedule. 

(b) As appropriate, actions shall be taken to recover the oil or mitigate its effects. Of the numerous 

chemical or physical methods that may be used, the chosen methods shall be the most consistent with 

protecting public health and welfare and the environment. Sinking agents shall not be used. 

(c) Oil and contaminated materials recovered in cleanup operations shall be disposed of in accordance 

with the RCP, ACP, and any applicable laws, regulations, or requirements. RRT and Area Committee 

guidelines may identify the disposal options available during an oil spill response and may describe what 

disposal requirements are mandatory or may not be waived by the OSC. ACP guidelines should 

address: the sampling, testing, and classifying of recovered oil and oiled debris; the segregation and 

stockpiling of recovered oil and oiled debris; prior state disposal approvals and permits; and the routes; 

methods (e.g. recycle/reuse, on-site burning, incineration, landfilling, etc.); and sites for the disposal of 

collected oil, oiled debris, and animal carcasses; procedures for obtaining waivers, exemptions, or 

authorizations associated with handling or transporting waste materials. The ACPs may identify a 

hierachy of preferences for disposal alternatives, with recycling (reprocessing) being the most preferred, 

and other alternatives preferred based on priorities for health or the environment. 

5.3.4 Response to a substantial threat to the public health or welfare. (a) The OSC shall determine 

whether a discharge results in a substantial threat to public health or welfare (including, but not limited 

to, fish, shellfish, wildlife, other natural resources, the public and private beaches, and shorelines of the 

United States). Factors to be considered by the OSC in making this determination include, but are not 

limited to, the size of the discharge, the character of the discharge, and the nature of the threat to public 

health or welfare. Upon obtaining such information, the OSC shall conduct an evaluation of the threat 

posed, based on the OSC's experience in assessing other discharges and consultation with senior lead 

agency officials and readily available authorities on issues outside the OSC's technical expertise. 

(b) If the investigation by the OSC shows that the discharge poses or may present a substantial threat to 

public health or welfare, the OSC shall direct all federal, state, or private actions to remove the discharge 

or to mitigate or prevent the threat of such a discharge, as appropriate. In directing the response in such 

cases, the OSC may act without regard to any other provision of law governing contracting procedures 

or employment of personnel by the federal government to: 

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(1) Remove or arrange for the removal of the discharge; 

(2) Mitigate or prevent the substantial threat of the discharge; and 

(3) Remove and, if necessary, destroy a vessel discharging, or threatening to discharge, by whatever 

means are available. 

(c) In the case of a substantial threat to the public health or welfare, the OSC shall: 

(1) Assess opportunities for the use of various special teams and other assistance, including the use of 

the services of the NSFCC, as appropriate; 

(2) Request immediate activation of the RRT; and 

(3) Take whatever additional response actions are deemed appropriate, including but not limited to 

implementation of the ACP or relevant tank vessel or facility response plan. 

(d) When requested by the OSC, the lead agency or RRT shall dispatch appropriate personnel to the 

scene of the discharge to assist the OSC. This assistance may include technical support in the agency's 

areas of expertise and disseminating information to the public. The lead agency shall ensure that a 

contracting officer is available on scene, at the request of the OSC. 

5.3.5 Enhanced activities during a spill of national significance. (a) A discharge may be classified as an 

SONS by the Administrator of EPA for discharges occurring in the inland zone and the Commandant of 

the USCG for discharges occurring in the coastal zone. 

(b) For an SONS in the inland zone, the EPA Administrator may name a senior Agency official to assist 

the OSC in: (1) Communicating with affected parties and the public; and (2) coordinating federal, state, 

local, and international resources at the national level. This strategic coordination will involve, as 

appropriate, the NRT, RRT(s), the Governor(s) of affected state(s), and the mayor(s) or other chief 

executive(s) of local government(s). 

(c) For an SONS in the coastal zone, the USCG Commandant may name a National Incident 

Commander (NIC) who will assume the role of the OSC in: (1) Communicating with affected parties and 

the public; and (2) coordinating federal, state, local, and international resources at the national level. 

This strategic coordination shall involve, as appropriate, the NRT, RRT(s), the Governor(s) of affected 

state(s), and the mayor(s) or other chief executive(s) of local government(s). 

5.3.6 Response to worst case discharges. (a) If the investigation by the OSC shows that a discharge is 

a worst case discharge as defined in the ACP, or there is a substantial threat of such a discharge, the 

OSC shall: 

(1) Notify the NSFCC; 

(2) Require, where applicable, implementation of the worst case portion of an approved tank vessel or 

facility response plan; 

(3) Implement the worst case portion of the ACP, if appropriate; and 

(4) Take whatever additional response actions are deemed appropriate. 

(b) Under the direction of the OSC, the NSFCC shall coordinate use of private and public personnel and 

equipment, including strike teams, to remove a worst case discharge and mitigate or prevent a 

substantial threat of such a discharge. 

5.3.7 Multi-regional responses. (a) If a discharge moves from the area covered by one ACP or RCP into 

another area, the authority for response actions should likewise shift. If a discharge affects areas 

covered by two or more ACPs or RCPs, the response mechanisms of each applicable plan may be 

activated. In this case, response actions of all regions concerned shall be fully coordinated as detailed in 

the RCPs and ACPs. 

(b) There shall be only one OSC at any time during the course of a response operation. Should a 

discharge affect two or more areas, EPA, the USCG, DOD, DOE, or other lead agency, as appropriate, 

shall give prime consideration to the area vulnerable to the greatest threat, in determining which agency 

should provide the OSC. The RRT shall designate the OSC if the RRT member agencies who have 

response authority within the affected areas are unable to agree on the designation. The NRT shall 

designate the OSC if members of one RRT or two adjacent RRTs are unable to agree on the 

designation. 

5.3.8 Worker health and safety. (a) Response actions under the NCP shall comply with the provisions 

for response action worker safety and health in 29 CFR 1910.120. The national response system meets 

the requirements of 29 CFR 1910.120 concerning use of an incident command system. 

(b) In a response action taken by a responsible party, the responsible party must assure that an 

occupational safety and health program consistent with 29 CFR 1910.120 is made available for the 

protection of workers at the response site. 

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(c) In a response taken under the NCP by a lead agency, an occupational safety and health program 

should be made available for the protection of workers at the response site, consistent with, and to the 

extent required by, 29 CFR 1910.120. Contracts relating to a response action under the NCP should 

contain assurances that the contractor at the response site will comply with this program and with any 

applicable provisions of the Occupational Safety and Health Act of 1970 (OSH Act) and state laws with 

plans approved under section 18 of the OSH Act. 

(d) When a state, or political subdivision of a state, without an OSHA-approved state plan is the lead 

agency for response, the state or political subdivision must comply with standards in 40 CFR part 311, 

promulgated by the EPA pursuant to section 126(f) of the Superfund Amendments and Reauthorization 

Act of 1986 (SARA). 

(e) Requirements, standards, and regulations of the OSH Act and of state OSH laws not directly 

referenced in paragraphs (a) through (d) of this section, must be complied with where applicable. 

Federal OSH Act requirements include, among other things, Construction Standards (29 CFR part 

1926), General Industry Standards (29 CFR part 1910), and the general duty requirement of section 5(a)

(1) of the OSH Act (29 U.S.C. 654(a)(1)). No action by the lead agency with respect to response 

activities under the NCP constitutes an exercise of statutory authority within the meaning of section 4(b)

(1) of the OSH Act. All governmental agencies and private employers are directly responsible for the 

health and safety of their own employees. 

5.4 Disposal

Oil recovered in cleanup operations shall be disposed of in accordance with the RCP, ACP, and any 

applicable laws, regulations, or requirements. RRT and ACP guidelines may identify the disposal plans 

to be followed during an oil spill response and may address: the sampling, testing, and classifying of 

recovered oil and oiled debris; the segregation and stockpiling of recovered oil and oiled debris; prior 

state disposal approvals and permits; and the routes; methods (e.g., recycle/reuse, on-site burning, 

incineration, landfilling, etc.); and sites for the disposal of collected oil, oiled debris, and animal 

carcasses. 

5.5 Natural Resource Trustees

5.5.1 Damage assessment. (a) Upon notification or discovery of injury to, destruction of, loss of, or 

threat to natural resources, trustees may, pursuant to section 1006 of the OPA, take the following 

actions as appropriate: 

(1) Conduct a preliminary survey of the area affected by the discharge to determine if trust resources 

under their jurisdiction are, or potentially may be, affected; 

(2) Cooperate with the OSC in coordinating assessments, investigations, and planning; 

(3) Carry out damage assessments; or 

(4) Devise and carry out a plan for restoration, rehabilitation, replacement, or acquisition of equivalent 

natural resources. In assessing damages to natural resources, the federal, state, and Indian tribe 

trustees have the option of following the procedures for natural resource damage assessments located 

at 43 CFR part 11. 

(b) Upon notification or discovery of injury to, destruction of, loss of, or loss of use of, natural resources, 

or the potential for such, resulting from a discharge of oil occurring after August 18, 1990, the trustees, 

pursuant to section 1006 of the OPA, are to take the following actions: 

(1) In accordance with OPA section 1006(c), determine the need for assessment of natural resource 

damages, collect data necessary for a potential damage assessment, and, where appropriate, assess 

damages to natural resources under their trusteeship; and 

(2) As appropriate, and subject to the public participation requirements of OPA section 1006(c), develop 

and implement a plan for the restoration, rehabilitation, replacement, or acquisition of the equivalent, of 

the natural resources under their trusteeship. 

(c)(1) The trustees, consistent with procedures specified in the Fish and Wildlife and Sensitive 

Environments Annex to the Area Contingency Plan, shall provide timely advice on recommended actions 

concerning trustee resources that are potentially affected by a discharge of oil. This may include 

providing assistance to the OSC in identifying/recommending pre-approved response techniques and in 

predesignating shoreline types and areas in ACPs. 

(2) The trustees shall assure, through the lead administrative trustee, that the OSC is informed of their 

activities regarding natural resource damage assessment that may affect response operations in order 

to assure coordination and minimize any interference with such operations. The trustees shall assure, 

through the lead administrative trustee, that all data from the natural resource damage assessment 

activities that may support more effective operational decisions are provided in a timely manner to the 

OSC. 

(3) The OSC deploys federal response resources, including but not limited to aircraft, vessels, and 

booms to contain and remove discharged oil. When circumstances permit, the OSC shall share the use 

of federal response resources with the trustees, providing trustee activities do not interfere with 

response actions. The lead administrative trustee facilitates effective and efficient communication 

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between the OSC and the other trustees during response operations and is responsible for applying to 

the OSC for non-monetary federal response resources on behalf of all trustees. The lead administrative 

trustee is also responsible for applying to the National Pollution Funds Center for funding for initiation of 

damage assessment for injuries to natural resources. 

(d) The authority of federal trustees includes, but is not limited to the following actions: 

(1) Requesting that the Attorney General seek compensation from the responsible parties for the 

damages assessed and for the costs of an assessment and of restoration planning; 

(2) Participating in negotiations between the United States and potentially responsible parties (PRPs) to 

obtain PRP-financed or PRP-conducted assessments and restorations for injured resources or 

protection for threatened resources and to agree to covenants not to sue, where appropriate; and 

(3) Initiating damage assessments, as provided in OPA section 6002. 

(e) Actions which may be taken by any trustee pursuant to section 311(f)(5) of the CWA or section 1006 

of the OPA include, but are not limited to, any of the following: 

(1) Requesting that an authorized agency issue an administrative order or pursue injunctive relief 

against the parties responsible for the discharge; or 

(2) Requesting that the lead agency remove, or arrange for the removal of any oil from a contaminated 

medium pursuant to section 311 of the CWA. 

5.5.2 Lead administrative trustee. The lead administrative trustee is a natural resource trustee who is 

designated on an incident-by-incident basis and chosen by the other trustees whose natural resources 

are affected by the incident. The lead administrative trustee facilitates effective and efficient 

communication between the OSC and the other trustees during response operations and is responsible 

for applying to the OSC for non-monetary federal response resources on behalf of all trustees. The lead 

administrative trustee is also responsible for applying to the National Pollution Funds Center for funding 

for initiation of damage assessment for injuries to natural resources. 

5.5.3 OSC coordination. (a) The OSC shall ensure that the natural resource trustees are promptly 

notified in the event of any discharge of oil, to the maximum extent practicable, as provided in the Fish 

and Wildlife and Sensitive Environments Plan annex to the ACP for the area in which the discharge 

occurs. The OSC and the trustees shall coordinate assessments, evaluations, investigations, and 

planning with respect to appropriate removal actions. The OSC shall consult with the affected trustees 

on the appropriate removal action to be taken. 

(b) The trustees will provide timely advice concerning recommended actions with regard to trustee 

resources that are potentially affected. This may include providing assistance to the OSC in 

identifying/recommending pre-approved response techniques, and in predesignating shoreline types and 

areas in ACPs. 

(c) The trustees also will assure that the OSC is informed of their activities regarding natural resource 

damage assessment that may affect response operations. 

5.5.4 Dissemination of information. (a) When an incident occurs, it is imperative to give the public 

prompt, accurate information on the nature of the incident and the actions underway to mitigate the 

damage. OSCs and community relations personnel should ensure that all appropriate public and private 

interests are kept informed and that their concerns are considered throughout a response. They should 

coordinate with available public affairs/community relations resources to carry out this responsibility by 

establishing, as appropriate, a Joint Information Center bringing together resources from federal and 

state agencies and the responsible party. 

(b) An on-scene news office may be established to coordinate media relations and to issue official 

federal information on an incident. Whenever possible, it will be headed by a representative of the lead 

agency. The OSC determines the location of the on-scene news office, but every effort should be made 

to locate it near the scene of the incident. If a participating agency believes public interest warrants the 

issuance of statements and an on-scene news office has not been established, the affected agency 

should recommend its establishment. All federal news releases or statements by participating agencies 

should be cleared through the OSC. Information dissemination relating to natural resource damage 

assessment activities shall be coordinated through the lead administrative trustee. The designated lead 

administrative trustee may assist the OSC by disseminating information on issues relating to damage 

assessment activities. Following termination of the removal activity, information dissemination on 

damage assessment activities shall be through the lead administrative trustee. 

5.5.5 Responsibilities of trustees. (a) Where there are multiple trustees, because of coexisting or 

contiguous natural resources or concurrent jurisdictions, they should coordinate and cooperate in 

carrying out these responsibilities. 

(b) Trustees are responsible for designating to the RRTs and the Area Committees, for inclusion in the 

RCP and the ACP, appropriate contacts to receive notifications from the OSCs of discharges. 

(c)(1) Upon notification or discovery of injury to, destruction of, loss of, or threat to natural resources, 

trustees may, pursuant to section 311(f)(5) of the CWA, take the following or other actions as 

appropriate: 

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(A) Conduct a preliminary survey of the area affected by the discharge or release to determine if trust 

resources under their jurisdiction are, or potentially may be, affected; 

(B) Cooperate with the OSC in coordinating assessments, investigations, and planning; 

(C) Carry out damage assessments; or 

(D) Devise and carry out a plan for restoration, rehabilitation, replacement, or acquisition of equivalent 

natural resources. In assessing damages to natural resources, the federal, state, and Indian tribe 

trustees have the option of following the procedures for natural resource damage assessments located 

at 43 CFR part 11. 

(2) Upon notification or discovery of injury to, destruction of, loss of, or loss of use of, natural resources, 

or the potential for such, resulting from a discharge of oil occurring after August 18, 1990, the trustees, 

pursuant to section 1006 of the OPA, are to take the following actions: 

(A) In accordance with OPA section 1006(c), determine the need for assessment of natural resource 

damages, collect data necessary for a potential damage assessment, and, where appropriate, assess 

damages to natural resources under their trusteeship; and 

(B) As appropriate, and subject to the public participation requirements of OPA section 1006(c), develop 

and implement a plan for the restoration, rehabilitation, replacement, or acquisition of the equivalent, of 

the natural resources under their trusteeship; 

(3)(A) The trustees, consistent with procedures specified in the Fish and Wildlife and Sensitive 

Environments Annex to the Area Contingency Plan, shall provide timely advice on recommended actions 

concerning trustee resources that are potentially affected by a discharge of oil. This may include 

providing assistance to the OSC in identifying/recommending pre-approved response techniques and in 

predesignating shoreline types and areas in ACPs. 

(B) The trustees shall assure, through the lead administrative trustee, that the OSC is informed of their 

activities regarding natural resource damage assessment that may affect response operations in order 

to assure coordination and minimize any interference with such operations. The trustees shall assure, 

through the lead administrative trustee, that all data from the natural resource damage assessment 

activities that may support more effective operational decisions are provided in a timely manner to the 

OSC. 

(C) When circumstances permit, the OSC shall share the use of federal response resources (including 

but not limited to aircraft, vessels, and booms to contain and remove discharged oil) with the trustees, 

providing trustee activities do not interfere with response actions. The lead administrative trustee 

facilitates effective and efficient communication between the OSC and the other trustees during 

response operations and is responsible for applying to the OSC for non-monetary federal response 

resources on behalf of all trustees. The lead administrative trustee also is responsible for applying to the 

National Pollution Funds Center for funding for initiation of damage assessment for injuries to natural 

resources. 

(d) The authority of federal trustees includes, but is not limited to the following actions: 

(1) Requesting that the Attorney General seek compensation from the responsible parties for the 

damages assessed and for the costs of an assessment and of restoration planning; and 

(2) Initiating damage assessments, as provided in OPA section 6002. 

(e) Actions which may be taken by any trustee pursuant to section 1006 of the OPA include, but are not 

limited to, any of the following: 

(1) Requesting that an authorized agency issue an administrative order or pursue injunctive relief 

against the parties responsible for the discharge or release; or 

(2) Requesting that the lead agency remove, or arrange for the removal of, or provide for remedial action 

with respect to, any oil from a contaminated medium pursuant to section 311 of CWA. 

5.6 Oil spill liability trust fund.

5.6.1 Funding. (a) The OSLTF is available under certain circumstances to fund removal of oil performed 

under section 311 of the CWA. Those circumstances and the procedures for accessing the OSLTF are 

described in 33 CFR subchapter M. The responsible party is liable for costs of federal removal and 

damages in accordance with section 311(f) of the CWA, section 1002 of the OPA, and other federal 

laws. 

(b) Response actions other than removal, such as scientific investigations not in support of removal 

actions or law enforcement, shall be provided by the agency with legal responsibility for those specific 

actions. 

(c) The funding of a response to a discharge from a federally owned, operated, or supervised facility or 

vessel is the responsibility of the owning, operating, or supervising agency if it is a responsible party. 

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(d) The following agencies have funds available for certain discharge removal actions: 

(1) DOD has two specific sources of funds that may be applicable to an oil discharge under appropriate 

circumstances. This does not consider military resources that might be made available under specific 

conditions. 

(i) Funds required for removal of a sunken vessel or similar obstruction of navigation are available to the 

Corps of Engineers through Civil Works Appropriations, Operations and Maintenance, General. 

(ii) The U.S. Navy (USN) may conduct salvage operations contingent on defense operational 

commitments, when funded by the requesting agency. Such funding may be requested on a direct cite 

basis. 

(2) Pursuant to Title I of the OPA, the state or states affected by a discharge of oil may act where 

necessary to remove such discharge. Pursuant to 33 CFR subchapter M, states may be reimbursed 

from the OSLTF for the reasonable costs incurred in such a removal. 

5.6.2 Claims. (a) Claims are authorized to be presented to the OSLTF under section 1013 of the OPA of 

1990, for certain uncompensated removal costs or uncompensated damages resulting from the 

discharge, or substantial threat of discharge, of oil from a vessel or facility into or upon the navigable 

waters, adjoining shorelines, or exclusive economic zone of the United States. 

(b) Anyone desiring to file a claim against the OSLTF may obtain general information on the procedure 

for filing a claim from the Director, National Pollution Funds Center, Suite 1000, 4200 Wilson Boulevard, 

Arlington, Virginia, 22203–1804, (703) 235–4756. 

5.7 Documentation and Cost Recovery.

(a) All OSLTF users need to collect and maintain documentation to support all actions taken under the 

CWA. In general, documentation shall be sufficient to support full cost recovery for resources utilized 

and shall identify the source and circumstances of the incident, the responsible party or parties, and 

impacts and potential impacts to public health and welfare and the environment. Documentation 

procedures are contained in 33 CFR subchapter M. 

(b) When appropriate, documentation shall also be collected for scientific understanding of the 

environment and for research and development of improved response methods and technology. 

Funding for these actions is restricted by section 6002 of the OPA. 

(c) As requested by the NRT or RRT, the OSC shall submit to the NRT or RRT a complete report on the 

removal operation and the actions taken. The OSC report shall record the situation as it developed, the 

actions taken, the resources committed, and the problems encountered. The RRT shall review the OSC 

report with its comments or recommendations within 30 days after the RRT has received the OSC 

report. 

(d) OSCs shall ensure the necessary collection and safeguarding of information, samples, and reports. 

Samples and information shall be gathered expeditiously during the response to ensure an accurate 

record of the impacts incurred. Documentation materials shall be made available to the trustees of 

affected natural resources. The OSC shall make available to the trustees of affected natural resources 

information and documentation in the OSC's possession that can assist the trustees in the determination 

of actual or potential natural resource injuries. 

(e) Information and reports obtained by the EPA or USCG OSC shall be transmitted to the appropriate 

offices responsible for follow-up actions. 

5.8 National response priorities

(a) Safety of human life must be given the top priority during every response action. This includes any 

search and rescue efforts in the general proximity of the discharge and the insurance of safety of 

response personnel. 

(b) Stabilizing the situation to preclude the event from worsening is the next priority. All efforts must be 

focused on saving a vessel that has been involved in a grounding, collision, fire, or explosion, so that it 

does not compound the problem. Comparable measures should be taken to stabilize a situation 

involving a facility, pipeline, or other source of pollution. Stabilizing the situation includes securing the 

source of the spill and/or removing the remaining oil from the container (vessel, tank, or pipeline) to 

prevent additional oil spillage, to reduce the need for follow-up response action, and to minimize adverse 

impact to the environment. 

(c) The response must use all necessary containment and removal tactics in a coordinated manner to 

ensure a timely, effective response that minimizes adverse impact to the environment. 

(d) All parts of this national response strategy should be addressed concurrently, but safety and 

stabilization are the highest priorities. The OSC should not delay containment and removal decisions 

unnecessarily and should take actions to minimize adverse impact to the environment that begin as 

soon as a discharge occurs, as well as actions to minimize further adverse environmental impact from 

additional discharges. 

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(e) The priorities set forth in this section are broad in nature, and should not be interpreted to preclude 

the consideration of other priorities that may arise on a site-specific basis. 

6.0 Response coordination

6.1 Nongovernmental participation. (a) Industry groups, academic organizations, and others are 

encouraged to commit resources for response operations. Specific commitments should be listed in the 

RCP and ACP. Those entities required to develop tank vessel and facility response plans under CWA 

section 311(j) must be able to respond to a worst case discharge to the maximum extent practicable, 

and should commit sufficient resources to implement other aspects of those plans. 

(b) The technical and scientific information generated by the local community, along with information 

from federal, state, and local governments, should be used to assist the OSC in devising response 

strategies where effective standard techniques are unavailable. Such information and strategies will be 

incorporated into the ACP, as appropriate. The SSC may act as liaison between the OSC and such 

interested organizations. 

(c) ACPs shall establish procedures to allow for well organized, worthwhile, and safe use of volunteers, 

including compliance with requirements regarding worker health and safety. ACPs should provide for the 

direction of volunteers by the OSC or by other federal, state, or local officials knowledgeable in 

contingency operations and capable of providing leadership. ACPs also should identify specific areas in 

which volunteers can be used, such as beach surveillance, logistical support, and bird and wildlife 

treatment. Unless specifically requested by the OSC, volunteers generally should not be used for 

physical removal or remedial activities. If, in the judgment of the OSC, dangerous conditions exist, 

volunteers shall be restricted from on-scene operations. 

(d) Nongovernmental participation must be in compliance with the requirements of subpart H of the NCP 

if any recovery of costs will be sought. 

6.2 Natural resource trustees.

6.2.1 Federal agencies. (a) The President is required to designate in the NCP those federal officials who 

are to act on behalf of the public as trustees for natural resources. These designated federal officials 

shall act pursuant to section 1006 of the OPA. “Natural resources” means land, fish, wildlife, biota, air, 

water, ground water, drinking water supplies, and other such resources belonging to, managed by, held 

in trust by, appertaining to, or otherwise controlled (hereinafter referred to as “managed or controlled”) 

by the United States, including the resources of the exclusive economic zone. 

(b) The following individuals shall be the designated trustee(s) for general categories of natural 

resources, including their supporting ecosystems. They are authorized to act pursuant to section 1006 of 

the OPA when there is injury to, destruction of, loss of, or threat to natural resources, including their 

supporting ecosystems as a result of a discharge of oil. Notwithstanding the other designations in this 

section, the Secretaries of Commerce and the Interior shall act as trustees of those resources subject to 

their respective management or control. 

(1) The Secretary of Commerce shall act as trustee for natural resources managed or controlled by DOC 

and for natural resources managed or controlled by other federal agencies and that are found in, under, 

or using waters navigable by deep draft vessels, tidally influenced waters or waters of the contiguous 

zone, the exclusive economic zone, and the outer continental shelf. However, before the Secretary takes 

an action with respect to an affected resource under the management or control of another federal 

agency, he shall, whenever practicable, seek to obtain concurrence of that other federal agency. 

Examples of the Secretary's trusteeship include the following natural resources and their supporting 

ecosystems: marine fishery resources; anadromous fish; endangered species and marine mammals; 

and the resources of National Marine Sanctuaries and National Estuarine Research Reserves. 

(2) The Secretary of the Interior shall act as trustee for natural resources managed or controlled by DOI. 

Examples of the Secretary's trusteeship include the following natural resources and their supporting 

ecosystems: migratory birds; anadromous fish; endangered species and marine mammals; federally 

owned minerals; and certain federally managed water resources. The Secretary of the Interior shall also 

be trustee for those natural resources for which an Indian tribe would otherwise act as trustee in those 

cases where the United States acts on behalf of the Indian tribe. 

(3) Secretary for the land managing agency. For natural resources located on, over, or under land 

administered by the United States, the trustee shall be the head of the department in which the land 

managing agency is found. The trustees for the principal federal land managing agencies are the 

Secretaries of DOI, USDA, DOD, and DOE. 

(4) Head of Authorized Agencies. For natural resources located within the United States but not 

otherwise described in this section, the trustee is the head of the federal agency or agencies authorized 

to manage or control those resources. 

6.2.2 State. (a) State trustees shall act on behalf of the public as trustees for natural resources, 

including their supporting ecosystems, within the boundary of a state or belonging to, managed by, 

controlled by, or appertaining to such state. For the purposes of section 6.1, the definition of the term 

“state” does not include Indian tribes. 

(b) The Governor of a state is encouraged to designate a lead state trustee to coordinate all state trustee 

responsibilities with other trustee agencies and with response activities of the RRT and OSC. The state's 

lead trustee would designate a representative to serve as a contact with the OSC. This individual should 

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have ready access to appropriate state officials with environmental protection, emergency response, and 

natural resource responsibilities. The EPA Administrator or USCG Commandant or their designees may 

appoint the lead state trustee as a member of the Area Committee. Response strategies should be 

coordinated between the state and other trustees and the OSC for specific natural resource locations in 

an inland or coastal zone, and should be included in the Fish and Wildlife and Sensitive Environments 

Plan annex of the ACP. 

6.2.3 Indian tribes. The tribal chairmen (or heads of the governing bodies) of Indian tribes, as defined in 

section 1.5, or a person designated by the tribal officials, shall act on behalf of the Indian tribes as 

trustees for the natural resources, including their supporting ecosystems, belonging to, managed by, 

controlled by, or appertaining to such Indian tribe, or held in trust for the benefit of such Indian tribe, or 

belonging to a member of such Indian tribe, if such resources are subject to a trust restriction on 

alienation. When the tribal chairman or head of the tribal governing body designates another person as 

trustee, the tribal chairman or head of the tribal governing body shall notify the President of such 

designation. 

6.2.4 Foreign trustees. Pursuant to section 1006 of the OPA, foreign trustees shall act on behalf of the 

head of a foreign government as trustees for natural resources belonging to, managed by, controlled by, 

or appertaining to such foreign government. 

6.3 Federal agencies.

(a) Federal agencies listed in this appendix have duties established by statute, executive order, or 

Presidential directive which may apply to federal response actions following, or in prevention of, the 

discharge of oil. Some of these agencies also have duties relating to the restoration, rehabilitation, 

replacement, or acquisition of equivalent natural resources injured or lost as a result of such discharge. 

The NRT, RRT, and Area Committee organizational structure, and the NCP, RCPs, and ACPs provide 

for agencies to coordinate with each other in carrying out these duties. 

(b) Federal agencies may be called upon by an OSC during response planning and implementation to 

provide assistance in their respective areas of expertise, consistent with the agencies' capabilities and 

authorities. 

(c) In addition to their general responsibilities, federal agencies should: 

(1) Make necessary information available to the Secretary of the NRT, RRTs, Area Committees, and 

OSCs; 

(2) Provide representatives to the NRT and RRTs and otherwise assist RRTs and OSCs, as necessary, 

in formulating RCPs and ACPs; and 

(3) Inform the NRT, RRTs, and Area Committees consistent with national security considerations, of 

changes in the availability of resources that would affect the operations implemented under the NCP. 

(d) All federal agencies must report discharges of oil, as required in 40 CFR part 110, from vessels or 

facilities under their jurisdiction or control to the NRC. 

6.4 Other Federal agencies.

6.4.1 Department of Commerce. (a) The DOC, through NOAA, provides scientific support for response 

and contingency planning in coastal and marine areas, including assessments of the hazards that may 

be involved, predictions of movement and dispersion of oil through trajectory modeling, and information 

on the sensitivity of coastal environments to oil and associated cleanup and mitigation methods; 

provides expertise on living marine resources and their habitats, including endangered species, marine 

mammals and National Marine Sanctuary ecosystems; and provides information on actual and predicted 

meteorological, hydrological, ice, and oceanographic conditions for marine, coastal, and inland waters, 

and tide and circulation data for coastal and territorial waters and for the Great Lakes. In addition to this 

expertise, NOAA provides SSCs in the coastal zone, as described under section 3.3.3 of this appendix, 

Special teams. 

6.4.2 Department of Justice. The DOJ can provide expert advice on complicated legal questions arising 

from discharges, and federal agency responses. In addition, the DOJ represents the federal 

government, including its agencies, in litigation relating to such discharges. Other legal issues or 

questions shall be directed to the federal agency counsel for the agency providing the OSC for the 

response. 

6.4.3 Department of Defense. The DOD has responsibility to take all action necessary with respect to 

discharges where either the discharge is on, or the sole source of a discharge is from, any facility or 

vessel under the jurisdiction, custody, or control of DOD. In addition to those capabilities provided by 

SUPSALV, DOD may also, consistent with its operational requirements and upon request of the OSC, 

provide locally deployed USN oil spill response equipment and provide assistance to other federal 

agencies upon request. The following two branches of DOD have particularly relevant expertise: 

(a) The United States Army Corps of Engineers has specialized equipment and personnel for 

maintaining navigation channels, for removing navigation obstructions, for accomplishing structural 

repairs, and for performing maintenance to hydropower electric generating equipment. The Corps can 

also provide design services, perform construction, and provide contract writing and contract 

administrative services for other federal agencies. 

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(b) The U.S. Navy Supervisor of Salvage (SUPSLAV) is the branch of the service within DOD most 

knowledgeable and experienced in ship salvage, shipboard damage control, and diving. The USN has 

an extensive array of specialized equipment and personnel available for use in these areas as well as 

specialized containment, collection, and removal equipment specifically designed for salvage-related 

and open-sea pollution incidents. 

6.4.4 Department of Health and Human Services. (a) The HHS assists with the assessment, 

preservation, and protection of human health and helps ensure the availability of essential human 

services. HHS provides technical and nontechnical assistance in the form of advice, guidance, and 

resources to other federal agencies as well as state and local governments. 

(b) The principal HHS response comes from the U.S. Public Health Service and is coordinated from the 

Office of the Assistant Secretary for Health, and various Public Health Service regional offices. Within 

the Public Health Service, the primary response to a hazardous materials emergency comes from the 

Agency for Toxic Substances and Disease Registry (ATSDR) and the Centers for Disease Control 

(CDC). Both ATSDR and CDC have a 24-hour emergency response capability wherein scientific and 

technical personnel are available to provide technical assistance to the lead federal agency and state 

and local response agencies on human health threat assessment and analysis, and exposure 

prevention and mitigation. Such assistance is used for situations requiring evacuation of affected areas, 

human exposure to hazardous materials, and technical advice on mitigation and prevention. CDC takes 

the lead during petroleum releases regulated under the CWA and OPA while ATSDR takes the lead 

during chemical releases under CERCLA. Both agencies are mutually supportive. 

(c) Other Public Health Service agencies involved in support during hazardous materials incidents either 

directly or through ATSDR/CDC include the Food and Drug Administration, the Health Resources and 

Services Administration, the Indian Health Service, and the National Institutes of Health. 

(d) Statutory authority for HHS/National Institutes for Environmental Health Sciences (NIEHS) 

involvement in hazardous materials accident prevention is non-regulatory in nature and focused on two 

primary areas for preventing community and worker exposure to hazardous materials releases: (1) 

worker safety training and (2) basic research activities. Under section 126 of the SARA, NIEHS is given 

statutory authority for supporting development of curricula and model training programs for waste 

workers and chemical emergency responders. Under section 118(b) of the Hazardous Materials 

Transportation and Uniform Safety Act, NIEHS also administers the Hazmat Employee Training Program 

to prepare curricula and training for hazardous materials transportation workers. In the basic research 

arena, NIEHS is authorized under section 311 of SARA to conduct a hazardous substance basic 

research and training program to evaluate toxic effects and assess human health risks from accidental 

releases of hazardous materials. Under Title IX, section 901(h) of the Clean Air Act Amendments, 

NIEHS also is authorized to conduct basic research on air pollutants, as well as train physicians in 

environmental health. Federal research and training in hazardous materials release prevention 

represents an important non-regulatory activity and supplements ongoing private sector programs. 

6.4.5 Department of the Interior. The DOI may be contacted through Regional Environmental Officers, 

who are the designated members of RRTs. Department land managers have jurisdiction over the 

national park system, national wildlife refuges and fish hatcheries, the public lands, and certain water 

projects in western states. In addition, bureaus and offices have relevant expertise as follows: 

(a) United States Fish and Wildlife Service and other Bureaus: Anadromous and certain other fishes and 

wildlife, including endangered and threatened species, migratory birds, and certain marine mammals; 

waters and wetlands; and effects on natural resources. 

(b) The National Biological Survey performs research in support of biological resource management; 

inventories, monitors, and reports on the status and trends in the Nation's biotic resources; and transfers 

the information gained in research and monitoring to resource managers and others concerned with the 

care, use, and conservation of the Nation's natural resources. The National Biological Survey has 

laboratory/research facilities. 

(c) Geological Survey: Geology, hydrology (ground water and surface water), and natural hazards. 

(d) Bureau of Land Management: Minerals, soils, vegetation, wildlife, habitat, archaeology, and 

wilderness. 

(e) Minerals Management Service: Oversight of offshore oil and gas exploration and production facilities 

and associated pipeline facilities under the Outer Continental Shelf Lands Act and the CWA; oil spill 

response technology research; and establishing oil discharge contingency planning requirements for 

offshore facilities. 

(f) Bureau of Mines: Analysis and identification of inorganic hazardous substances and technical 

expertise in metals and metallurgy relevant to site cleanup. 

(g) Office of Surface Mining: Coal mine wastes and land reclamation. 

(h) National Park Service: General biological, natural, and cultural resource managers to evaluate, 

measure, monitor, and contain threats to park system lands and resources; archaeological and historical 

expertise in protection, preservation, evaluation, impact mitigation, and restoration of cultural resources; 

emergency personnel. 

(i) Bureau of Reclamation: Operation and maintenance of water projects in the West; engineering and 

hydrology; and reservoirs. 

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(j) Bureau of Indian Affairs: Coordination of activities affecting Indian lands; assistance in identifying 

Indian tribal government officials. 

(k) Office of Territorial Affairs: Assistance in implementing the NCP in American Somoa, Guam, the 

Pacific Island Governments, the Northern Mariana Islands, and the Virgin Islands. 

6.4.6 Department of Justice. The DOJ can provide expert advice on complicated legal questions arising 

from discharges, and federal agency responses. In addition, the DOJ represents the federal 

government, including its agencies, in litigation relating to such discharges. Other legal issues or 

questions shall be directed to the federal agency counsel for the agency providing the OSC for the 

response. 

6.4.7 Department of Labor. The DOL, through OSHA and the states operating plans approved under 

section 18 of the OSH Act, has authority to conduct safety and health inspections of hazardous waste 

sites to assure that employees are being protected and to determine if the site is in compliance with: 

(a) Safety and health standards and regulations promulgated by OSHA (or the states) in accordance 

with section 126 of SARA and all other applicable standards; and 

(b) Regulations promulgated under the OSH Act and its general duty clause. OSHA inspections may be 

self-generated, consistent with its program operations and objectives, or may be conducted in response 

to requests from EPA or another lead agency, or in response to accidents or employee complaints. On 

request, OSHA shall provide advice and consultation to EPA and other NRT/RRT agencies as well as to 

the OSC regarding hazards to persons engaged in response activities. OSHA may also take any other 

action necessary to assure that employees are properly protected at such response activities. Any 

questions about occupational safety and health at these sites may be referred to the OSHA Regional 

Office. 

6.4.8 Federal Emergency Management Agency. FEMA provides guidance, policy and program advice, 

and technical assistance in hazardous materials, chemical, and radiological emergency preparedness 

activities (including planning, training, and exercising). FEMA's primary point of contact for administering 

financial and technical assistance to state and local governments to support their efforts to develop and 

maintain an effective emergency management and response capability is the Preparedness, Training, 

and Exercises Directorate. 

6.4.9 Department of Energy. The DOE generally provides designated OSCs that are responsible for 

taking all response actions with respect to releases where either the release is on, or the sole source of 

the release is from, any facility or vessel under its jurisdiction, custody, or control, including vessels 

bareboat-chartered and operated. In addition, under the FRERP, DOE provides advice and assistance 

to other OSCs/RPMs for emergency actions essential for the control of immediate radiological hazards. 

Incidents that qualify for DOE radiological advice and assistance are those believed to involve source, 

by-product, or special nuclear material or other ionizing radiation sources, including radium, and other 

naturally occurring radionuclides, as well as particle accelerators. Assistance is available through direct 

contact with the appropriate DOE Radiological Assistance Program Regional Office. 

6.4.10 Department of State. The DOS will lead in the development of international joint contingency 

plans. It will also help to coordinate an international response when discharges or releases cross 

international boundaries or involve foreign flag vessels. Additionally, DOS will coordinate requests for 

assistance from foreign governments and U.S. proposals for conducting research at incidents that occur 

in waters of other countries. 

6.4.11 General Services Administration. The GSA provides logistic and telecommunications support to 

federal agencies. During an emergency situation, GSA quickly responds to aid state and local 

governments as directed by other Federal Agencies. The type of support provided might include leasing 

and furnishing office space, setting up telecommunications and transportation services, and advisory 

assistance. 

6.4.12 Department of Transportation. DOT provides response expertise pertaining to transportation of 

oil by all modes of transportation. DOT, through RSPA, establishes oil discharge contingency planning 

requirements for pipelines, transport by rail and containers or bulk transport of oil. 

 6.5 States and local participation in response.

(a) Each state Governor is requested to designate one state office/representative to represent the state 

on the appropriate RRT. The state's office/representative may participate fully in all activities of the 

appropriate RRT. Each state Governor is also requested to designate a lead state agency that shall 

direct state-lead response operations. This agency is responsible for designating the OSC for state-lead 

response actions, and coordinating/communicating with any other state agencies, as appropriate. Local 

governments are invited to participate in activities on the appropriate RRT as may be provided by state 

law or arranged by the state's representative. Indian tribes wishing to participate should assign one 

person or office to represent the tribal government on the appropriate RRT. 

(b) Appropriate state and local officials (including Indian tribes) shall participate as part of the response 

structure as provided in the ACP. 

(c) In addition to meeting the requirements for local emergency plans under SARA section 303, state 

and local government agencies are encouraged to include contingency planning for responses, 

consistent with the NCP, RCP, and ACP in all emergency and disaster planning. 

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(d) For facilities not addressed under the CWA for oil discharges, states are encouraged to undertake 

response actions themselves or to use their authorities to compel potentially responsible parties to 

undertake response actions. 

(e) Because state and local public safety organizations would normally be the first government 

representatives at the scene of a discharge or release, they are expected to initiate public safety 

measures that are necessary to protect the public health and welfare and that are consistent with 

containment and cleanup requirements in the NCP, and are responsible for directing evacuations 

pursuant to existing state or local procedures. 

[59 FR 47473, Sept. 15, 1994] 

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