RI/FS ASAOC (.Doc/.Docx, 59 pp, 136 K)

Model Information



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This model is for use by EPA staff when negotiating a remedial investigation/feasibility study (RI/FS) administrative settlement agreement and order on consent with potentially responsible parties (PRPs) under Sections 104, 107 and 122 of CERCLA.

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.

Issuance of CERCLA Financial Assurance Guidance, Updated and New Sample Mechanisms, and Model Language Provisions for Unilateral Administrative Orders
Date: 04/06/2015
Includes information relating to FA mechanisms that may be available to PRPs to satisfy their FA obligations under settlements and orders for remedial and removal actions.

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.

Revisions to 2009 ARC Memo and Issuance of Revised CERCLA Past Cost, Peripheral, De Minimis, De Micromis, and Municipal Solid Waste Settlement Models
Date: 09/26/2014
Memorandum addresses model language updates from the March 16, 2009 "ARC Memo" and announces changes to CERCLA judicial and administrative settlement models.

Institutional Controls: A Guide to Planning, Implementing, Maintaining, and Enforcing Institutional Controls at Contaminated Sites
Date: 12/04/2012
Guidance for site managers, attorneys and other interested parties for planning, implementing, maintaining and enforcing (PIME) institutional controls for Superfund, brownfields, UST, RCRA, and federal facility cleanups. Additional Information on ICs: Additional policy and guidance documents related to institutional controls is available from the Institutional Controls subject category of the Superfund Enforcement Policy and Guidance Database.

Transmittal of Updated Superfund Response and Settlement Approach for Sites Using the Superfund Alternative Approach (SAA Guidance)
Date: 09/28/2012
Transmittal memorandum and updated guidance on the selection of and settlements using the Superfund Alternative Approach to ensure consistency between the NPL sites and sites with SAA agreements.

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.

Interim Guidance: Providing Communities with Opportunities for Independent Technical Assistance in Superfund Settlements
Date: 09/03/2009
Memorandum transmits model language and provides guidance on technical assistance plan (TAP) provisions in Superfund settlements, including model TAP language for AOCs in RI/FS.

Interim Revisions to CERCLA Judicial and Administrative Settlement Models to Clarify Contribution Rights and Protection from Claims Following the Aviall and Atlantic Research Corporation Decisions
Date: 03/16/2009
Memorandum issuing interim revisions to CERCLA judicial and administrative settlement models to clarify certain contribution rights and protection from claims and certain other language following Supreme Court's decisions

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: 01/26/1996
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 (RI) by potentially responsible parties (PRPs).

Revisions to the Interim Guidance on PRP Participation in Remedial Investigations and Feasibility Studies
Date: 02/07/1989
Sets forth policies and procedures governing PRP participation in the RI/FS process including initiation of PRP searches, notification, development of agreements, and oversight of RI/FS activities.

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.

Revision History

Update to stipulated penalty instructions and URL update

  • ¶42.a - Updated link to air toxics monitoring methods web page.
  • ¶81 - Revised to update stipulated penalty payment instructions.

Minor URL corrections

  • ¶61.a - corrected URL - changed from www.epa.gov to www.pay.gov
  • Note for ¶109 and 110 - updated URL in last sentence.

Update Notice instructions and revise payment information

  • ¶22 - Clarified notice and submission instructions.
  • Section XIV. Revised payment language to streamline payment instruction to only allow for payment via https://www.pay.gov.
  • ¶61.a – Provides simplified payment language.
  • Deleted former ¶61.b as it included notice instructions now provided for in ¶22.
  • Updated paragraph numbering and cross-referencing due to the deletion of former ¶61.b.
  • ¶62 (Payment of Future Response Costs) – ¶62.a, ¶62.b, ¶62.c - Included reference to payment instructions in ¶61.a.
  • ¶81 – Revised payment instructions in Stipulated Penalties Section.

Updated payment information

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

Minor corrections and updates

  • ¶2 – update references to delegations and dates.
  • ¶42.a – update reference to laboratory guidance documents.
  • ¶44 – Paragraph 44 is revised to add a final sentence requiring Respondents to send any access or use restriction agreements to EPA and the state, if applicable.
  • ¶59 - correct statutory references to CERCLA § 103 in last sentence of paragraph.

Corrections and formatting

  • Corrections to ¶ 110 to better explain financial assurance (FA) approval process.
  • Conforming change to ¶ 123 to delete reference to optional FA appendix.
  • Technical corrections to ¶ 62.e to conform to Additional Guidance on Prepayment of Oversight Costs and Special Accounts - (12/22/06).
  • Corrections to paragraph cross-reference in ¶ 77 (should be ¶ 76.b, not ¶ 76.a).
  • Minor formatting updates.

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