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Remedial Investigation - RI
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LP | NA | ND | NL | NM | NP | OF | OM |
OP | RA | RD | RI | RR | RT | SA | WP |
Confidential Documents | |||||||
BC | CC | DC | FC | LC | NC | PC | SC |
Glossary of terms relating to file structure phase activities and file categories
Descriptions of 20.00 - 20.99 | SRC Folder Code HZ/SF/RE/RI | NARA General Records Schedule N1-412-99-23 |
Definition
The Remedial Investigation
(RI) file opens with the first technical correspondence about RI, and
closes with the Record
of Decision (ROD) and comments. This phase investigates the remediation
alternatives for a site, and defines the extent of the threat posed to
human health or the environment by any contamination at the site.
Often abbreviated to RI/FS. Although they are two distinct studies,
they are related and are usually performed together. The intent
of the RI is to gather the data necessary to determine the type and extent
of contamination at the site, the baseline risk assessment, and the environmental
assessment. The baseline risk assessment and the environmental assessment
reports are filed in the Health
Assessment (HE) phase. The Feasibility Study (FS) continues
with that information by establishing criteria for cleaning up the site;
identifying alternatives for Remedial Actions; and presenting in detail
the technology and costs of the alternatives.
Note that each operable unit may require its own RI set; separation of operable units should be made upon consultation with the site management team. Contractor documentation which contains material protected as Confidential Business Information, or, due to the Privacy Act should not be included within this category, and such protected information must be redacted. Alternatively, contractor reports may be designed to facilitate separation of progress reporting, total hours, and total hours for that month from protected information. The sections of the monthly progress reports containing detailed cost information (not cost estimates) are filed in Contractor Confidential (CC) phase.
SDMS Keyword (Click on keyword to see description)
20.21 Applicable
or Relevant and Appropriate Requirements (ARARs)
20.25 Conflict
of Interest
20.14 Contractor
Selection Information
20.20 Environmental Risk Assessment [Moved
to HE phase]
20.28
Explanation of Significant Differences (ESD)
20.18 Feasibility
Study
20.27 General
Correspondence
20.26 Initial / Interim Remedial Measures
[Moved to EM phase]
20.24 Innovative
Technology
20.23 Natural Resource Trustee [Moved
to RT phase]
20.22 Proposed
Plan for Remedial Action
20.03 Public
Comments (First folder of RI)
20.19 Public Health Assessment [Moved
to HE phase]
20.01 Record
of Decision (ROD) and Related Correspondence
20.29 Record
of Decision (ROD) Amendment
20.16 Remedial
Investigation Report
20.02 Responsiveness
Summary and Related Correspondence
20.09 Sampling
and Analysis Done by EPA
20.12 Sampling
and Analysis Done by any Others than EPA, State, or PRP
20.11 Sampling
and Analysis Done by PRP
20.10 Sampling
and Analysis Done by State
20.04 Site
Status Summary (Monthly) (Unless Confidential)
20.13 Statement
of Work
20.05 Technical
Progress Report, EPA Contractor
20.08 Technical
Progress Report, Oversight Contractor
20.07 Technical
Progress Report, PRP Contractor
20.06 Technical
Progress Report, State Contractor
20.17 Treatability
Study
20.15 Workplan
and/or Amendment
20.99 Other
SDMS Keyword Description
20.01
Record of Decision (ROD) and Related Correspondence
The
Record of Decision (ROD) documents the selected remedial action for a
site or operable unit. It is prepared by the lead agency in consultation
wit the support agency. The ROD serves as:
- a legal document in that it certifies that the remedy selection process was carried out in accordance with CERCLA and, to the extent practicable, in accordance with the National Contingency Plan (NCP).
- a substantive summary of the technical rationale and background information contained in the Administrative Record file
- a technical document that provides information necessary for determining the conceptual engineering components, and which outlines the remedial action objectives and cleanup levels for the Selected Remedy.
- a key communication tool for the public that explains the contamination problems the remedy seeks to address and the rationale for its selection.
20.02
Responsiveness Summary
The Responsiveness Summary, a
component of the ROD, summarizes information about the views and comments
of the public and the support agency's responses regarding both the remedial
alternatives and general concerns about the site submitted during the
public comment period. It also documents in the record how public
comments were integrated into the decision-making process. The Responsiveness
Summary reflects a genuine attempt to address citizen's questions and
concerns, and not a simple re-assertion of the correctness of EPA's determination.
20.03 Public
Comment
Public
comments on the ROD or the alternative proposed for remediation of the
site.
20.04 Site
Status Summary (Monthly)
This
is the monthly summary of work done on the site prepared by the Remedial
Project Manager (RPM) during the RI/FS phase.
20.05 EPA
Contractor Technical Progress Report
These
are the monthly progress reports or other reports required of the EPA
contractor doing work during the RI/FS phase. These reports cover
the technical information about work performed. If the report includes
cost information, the cost information should be re-filed in
Contractor Confidential (CC) [91.01].
20.06 State
Contractor Technical Progress Report
These
are the monthly progress reports or other reports required of the state
contractor doing work during the RI/FS phase. These reports cover
the technical information about work performed. If the report includes
detailed cost information, the cost information should be re-filed in
Contractor Confidential (CC) [91.01].
20.07
PRP Contractor Technical Progress Report
When the contractor
is hired directly by the PRP to do RI/FS work, a monthly progress report
must be submitted to EPA. This report details work performed, community
relations activities, change orders, problems encountered, projected work
for the next period, and daily reports.
20.08 Technical
Progress Report, Oversight Contractor
These
are any formal reports filed by EPA's oversight contractor about RI/FS
work being performed by the PRP or their contractor.
20.09 Sampling
and Analysis Done by EPA
These
are reports summarizing raw data related to any samples taken at
the site by EPA or their contractors and sent to the Contract Lab Program
(CLP), EPA Lab, Agency Ranking Committee (ARC Lab), etc., for analysis
during the RI/FS phase. Sampling and Analysis (done by CLP, PRP, or others)
are stored in-house until QA/QC done, then sent to off-site storage; only
transmittals, analytical summaries and chain-of-custody forms should be
placed in the phase activity file. Target sheets with
the accession numbers of the boxes containing full packages should be
placed with copied documents. The entire packages will stay intact
for off-site storage.
20.10 Sampling
and Analysis Done by State
These
are reports summarizing raw data related to any samples taken at
the site by the state or their contractors for analysis during the RI/FS
phase. Contractor Sampling and Analysis (done by CLP, PRP, or others)
are stored in-house until QA/QC done, then sent to off-site storage; only
transmittals, analytical summaries and chain-of-custody forms should be
placed in the phase activity file. Target sheets with
the accession numbers of the boxes containing full packages should be
placed with copied documents. The entire packages will stay intact
for off-site storage.
20.11 Sampling
and Analysis Done by PRP
These
are reports summarizing raw data related to any samples taken at
the site by the PRP or their contractors during the RI/FS phase.
Sampling and Analysis (done by CLP, PRP, or others) are stored in-house
until QA/QC done, then sent to off-site storage; only transmittals, analytical
summaries and chain-of-custody forms should be placed in the phase/activity
file. Target sheets with the accession numbers of the boxes containing
full packages should be placed with copied documents. The entire
package will stay intact for off-site storage.
20.12 Sampling
and Analysis Done by Others
These
are reports summarizing raw data related to any samples taken at the site
during the RI/FS phase by some party other than EPA or the PRP or their
contractors. This could be sampling done by the state or local government,
environmental green groups, etc. Sampling and Analysis (done
by CLP, PRP, or others) are stored in-house until QA/QC done, then sent
to off-site storage; only transmittals, analytical summaries and chain-of-custody
forms should be copied into phase file. Target sheets with the accession
numbers of the boxes containing full packages should be placed with copied
documents. The entire packages will stay intact for off-site storage.
20.13 Statement
of Work
This
is an EPA document outlining work to be performed. This is the technical
direction from the EPA. Also included is an Independent Government
Cost Estimate (IGCE) of the time and costs for each task.
20.14 Contractor
Selection Information
These
are any documents related to the selection of a contractor, and includes
qualifications information about the contractor and EPA approval as specified
in the Consent Decree for a PRP contractor.
20.15 Workplan
and/or Amendment
Workplans/Amendments
(Includes workplans for sampling, treatability study, pilot studies, groundwater
modeling, health & safety plan, etc.) A workplan outlines
the approach for studies or activities as submitted by those responsible
for undertaking the work for the RI or FS. There is generally a
draft submitted for review and a final based on comments received back.
Following final approval to the workplan, amendments are used to change
what was originally designated or agreed upon. Workplans can include
plans for sampling plans, the health and safety plan, contingency plan,
QA/QC plans, etc. If the workplan is for an EPA contractor
and includes detailed cost information, the entire Workplan should be
filed in Contractor Confidential [91.01].
20.16 Remedial
Investigation Report
This
is a report that characterizes the site and assesses the threats or potential
threats to human health and the environment posed by the site.
20.17
Treatability Study
This is either a test, study, or sampling
and analysis to optimize the required treatment and/or disposal operations
and systems. It could also be referred to as a bench, scale, or
pilot study.
20.18
Feasibility Study
This is a study or report on the development
and evaluation of cleanup alternatives using environmental, engineering,
and economic factors.
20.21 Applicable
or Relevant and Appropriate Requirements (ARARs)
The
alternative remedies set forth in the FS must meet all applicable or relevant
and appropriate requirements for protecting human health and the environment.
This includes federal, state, and local regulations and requirements.
Often this is a part of the RI report, in which case this would be a secondary
keyword.
20.22 Proposed
Plan for Remedial Action
This
is the plan or alternative that has been proposed to remedy the problems
found at the site.
20.24 Innovative
Technology
This
is a clean-up method that has a limited application and is not considered
traditional due to lack of data on performance and cost. Also included
are newly developed technologies or application of technologies that do
not yet have a proven track record. This term should only be used
as a secondary keyword. When innovative technology is a keyword,
a description of the type of technology should be given; for example bioremediation,
soil washing, etc.
20.28
Explanation of Significant Differences and Related Correspondence
An
Explanation of Significant Differences (ESD) must describe to the public
the nature of the significant changes, summarize the information that
led to making the changes, and affirm that the revised remedy complies
with the NCP and the statutory requirements of CERCLA. The ESD should
provide additional information on changes that have resulted in the remedy
as a result of the change (e.g. changes in the cleanup cost estimate or
remediation time frame).
20.29 ROD
Amendment
After a ROD is signed, new information may
be received or generated that could affect the implementation of the remedy
selected in the ROD, or could prompt the reassessment of that remedy.
A fundamental change involves an appreciable change or changes in the
scope, performance, and/or cost or may be a number of significant changes
that together have the effect of a fundamental change. When a fundamental
change is made to the basic features of the remedy selected in a ROD with
respect to scope, performance, or cost, the lead agency is required to
develop and document the change consistent with the ROD process.
The focus of the amendment is to document the rationale for the amendment
and provide assurances that the proposed remedy satisfies the statutory
requirements.
20.99 Other
;If
the needed keyword code is not available, then code to 20.99.