Enforcement

RI/FS UAO

RI/FS UAO (.Doc/.Docx, 29 pp, 96 K)

Model Information

09/29/2016

07/21/2021

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The model Unilateral Administrative Order (UAO) for Remedial Investigation/Feasibility Studies (RI/FS) is the first national RI/FS UAO model and is designed to assist the Regions in drafting speedy, nationally-consistent CERCLA § 106(a) RI/FS UAOs.

Supporting Documents

Issuance of Revised Model Consent Order and New Model Unilateral Order for Remedial Investigation/Feasibility Study and Updated Financial Assurance and Insurance Language for All CERCLA Response Action Settlements and Unilateral Administrative Orders
Date: 09/29/2016
Memorandum transmitting the revised RI/FS ASAOC and the new RI/FS UAO along with information on updated language incorporated into other model documents related to financial assurance and insurance.

Consideration of Greener Cleanup Activities in the Superfund Cleanup Process
Date: 08/02/2016
Memorandum recommends approaches for "greener cleanup activities" when evaluating remedial and removal activities and other activities designed to reduce or mitigate potential environmental impacts when implementing response actions under CERCLA.

Guidance on Financial Assurance in Superfund Settlement Agreements and Unilateral Administrative Orders
Date: 04/06/2015
Memorandum transmits guidance, model language, and sample documents that address financial assurance requirements in Superfund cleanup settlement agreements and unilateral administrative orders.

Promoting Water, Superfund and Enforcement Collaboration on Contaminated Sediments
Date: 02/12/2015
Memorandum encourages improvements in communication, coordination, and collaboration among the three program offices (Office of Water, Office of Land and Emergency Management, and OECA) when addressing contaminated sediments.

Transmittal of Model Geospatial Data and Electronic Submission of Deliverables Language for Inclusion in CERCLA Statements of Work
Date: 09/29/2014
Memorandum on model geospatial data language for inclusion in CERCLA statements of work.

Promoting Enforcement First for Remedial Investigation/Feasibility Studies at Superfund Sites
Date: 03/20/2012
Memorandum reaffirms EPA's commitment to having PRPs conduct RI/FS at Superfund sites whenever appropriate.

Enforcement First at Superfund Sites: Negotiation and Enforcement Strategies for Remedial Investigation/Feasibility Studies (RI/FS)
Date: 08/09/2005
Memorandum confirms EPA's commitment for PRPs to conduct RI/FS wherever appropriate and encourages Regions to conduct early and thorough PRP searches.

Revised Policy on Performance of Risk Assessments During Remedial Investigation/Feasibility Studies (RI/FS) Conducted by Potentially Responsible Parties
Date: 08/09/2005
Memorandum reaffirms the Agency's commitment to allow PRPs to conduct risk assessments under proper circumstances as part of the overall RI/FS process.

Supplemental Guidance on Performing Risk Assessments in Remedial Investigation Feasibility Studies (RI/FSs) conducted by Potential Responsible Parties (PRPs), Oswer No. 9835.15a
Date: 07/02/1991
Memorandum and attached models provide additional guidance on implementing EPA's policy on PRP performance of the risk assessment component as part of an RI/FS. Memorandum was superseded by January 26, 1996 document.

Guidance on Oversight of Potentially Responsible Party Remedial Investigations and Feasibility Studies - Final, Volume 1
Date: 07/01/1991
Volume 1 addresses oversight of remedial investigations and feasibility studies (RI/FS) conducted by potentially responsible parties (PRPs) at enforcement-lead sites under CERCLA.

Guidance on Oversight of Potentially Responsible Party Remedial Investigations and Feasibility Studies - Final, Volume 2: Appendices
Date: 07/01/1991
Volume 2 describes oversight of sampling and analysis activity and of well-drilling and installation activity conducted during a remedial investigation by PRPs.

Guidance for Conducting Remedial Investigations and Feasibility Studies Under CERCLA
Date: 10/01/1988
Guidance provides an overall understanding of the RI/FS process and describes the general procedures for conducting an RI/FS.

Guidance Memorandum on Use and Issuance of Administrative Orders Under Section 106(a) of CERCLA
Date: 09/08/1983
Guidance Memorandum on Use and Issuance of Administrative Orders Under Section 106(a) of CERCLA, OSWER Dir. No. 9833.0. Superseded in part by 3/7/90 guidance on CERCLA 106(a) UAO for RD/RA.

Revision History

Update to stipulated penalty instructions and URL update
07/21/2021

  • ¶45.a - Updated link to air toxics monitoring methods web page.
  • ¶ ¶ 65-66 - Revised payment language to streamline payment instruction to only allow for payment via https://www.pay.gov.

Update to potential maximum penalty paragraph
09/26/2019

  • Modified ¶ 68 – to explain that the maximum amount may increase in the future pursuant to adjustments for inflation. Also indicates that the maximum penalty amount depends on when the court assesses any such penalty and would be the most recent maximum, as set forth in 40 CFR § 19.4. Deleted discussion of how EPA plans in the future to adjust its matrix of less-than-maximum amounts for settlement negotiations, given that it is irrelevant in this non-settlement context.

Updated payment information
01/04/2018

  • Updated ¶ 38.b to reflect correct address and contact information for automated clearinghouse (ACH) payment.

08/22/2017

  • ¶1 – update references to delegations • ¶45.a – update reference to laboratory guidance documents • ¶47 – Paragraph 47 is revised to add a final sentence requiring Respondents to send any access or use restriction agreements to EPA and the state, if applicable. • ¶62 - correct statutory references to CERCLA § 103 in last sentence of paragraph • ¶68 - Paragraph 68 is updated to add a note at end of the paragraph regarding annual inflation adjustment for civil penalties.

Corrections and formatting
05/25/2017

  • Modified Sections VII (Opportunity to Confer) and VIII (Effective Date) (Paragraphs 19-21) to clarify the process and timing by which Respondents may request a conference and/or submit written comments on the Order.
    •Modified Paragraph 36.a (General Requirements for Deliverables) to add contact information for submissions to the State as new subparagraph (2).
    •Made minor formatting updates.

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