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State Agreement-In-Principle Program Guidance Memorandum

United States Government Department of Energy


DATE: December 22, 1995
SUBJECT: State Agreement-in-Principle Program Guidance
TO: Manager, Albuquerque Operations Office
       Manager, Chicago Operations Office
       Manager, Idaho Operations Office
       Manager, Nevada Operations Office
       Manager, Oak Ridge Operations Office
       Manager, Ohio Field Office
       Manager, Richland Operations Office
       Manager, Rocky Flats Field Office
       Manager, Oakland Operations Office
       Manager, Savannah River Operations Office

The purpose of this memorandum is to provide you with guidance on the State Agreement-in-Principle (AIP) program. The guidance includes a collection of questions and answers describing the principles underlying the management of the AIP program and provides mandatory and non-mandatory AIP language for use in new and renegotiated AIPs. A brief description of the contents of this guidance is set forth below.

Questions and Answers on AIP Principles and Mandatory Provisions

Attachment A contains twelve questions and answers that discuss the mandatory AIP provisions that all new and renegotiated agreements must include. This question and answer format also describes the rationale underlying the mandatory requirements. Attachment A.1 provides a quick reference list of mandatory provisions.

AIP Program Policy Provisions

Attachment B contains eleven questions and answers regarding AIP program policies. In response to State concerns over the past year, this section documents current program policy. This section also restates program policy from past guidance.

Optional AIP Provisions

Attachment C contains sample language for optional provisions. The use of optional provisions is not mandatory. If a site chooses to modify any of the sample language, the sample language should nevertheless be used as a guideline for the creation of appropriate site-specific language.

Mandatory Provisions That May Be Applicable

Attachment D contains three AIP provisions that are mandatory for certain sites. The first provision relates to the handling of state-generated waste and is mandatory if it is anticipated that a state's sampling activities will generate hazardous waste mixed with radioactive materials.

The second provision addresses the allocation of costs for emergency response activities. It is mandatory if emergency response activities will be included in a new or renegotiated agreement, and the AIP does not incorporate the Attachment E suggested model provisions related to state allocation of program costs.

The third provision distinguishes AIP activities from State activities conducted under the Comprehensive Environmental Response, Compensation and Liability Act (CERCLA), and is mandatory if a state has a CERCLA grant and an AIP grant for a given site.

Suggested Language for Emergency Response Provisions

Not all AIP states will choose to include emergency response activities in their AIPs. However, for states that do, Attachment E contains suggested model provisions related to emergency response. The decision to include this language in a particular agreement is left to the discretion of the parties. The sample language can be modified to suit site-specific needs.

Summary Checklist of Model AIP Provisions and Policy Provisions

Attachment F provides a three-page summary checklist of the model AIP provisions and delineates those provisions that are: 1) mandatory, 2) policy, 3) optional language, 4) mandatory provisions that may be applicable at some sites, and 5) suggested language related to emergency response activities.

This guidance is intended to assist sites by providing direction on AIP program policy, while still allowing sites adequate flexibility to develop AIP programs that appropriately meet site needs.

Guidance on Headquarters Approval of State Agreements-in-Principle

Attachment G provides guidance on Headquarters approval of new and renegotiated state AIPs.

If you have further questions, please contact Ms. Cameo Smoot, Office of Environmental and Regulatory Analysis Activities at (202) 586-2352.

Thomas P. Grumbly
Assistant Secretary for
Environmental Management


cc: D. Berkowitz, EM-20
C. Kelly, EM-20
G. Pesyna, EM-10
S. Cowan, EM-30
J. Owendoff, EM-40
C. Frank, EM-50
J. Lytle, EM-60
W. Bixby, EM-70