&EPA
United States
Environmental Protection
Agency
Office of
Solid Waste and
Emergency Response
EPA540-R-97-010
Publication 9200.3-14-1D-P
PB97-963219
February 3, 1998
Superfund
Superfund/Oil Program Implementation Manual
Fiscal Year 1998
Program Implementation Guidance for OERR, OSRE, FFRRO,
FFEO and the Oil Program
Program Goals and Planning Requirements
Program Implementation Procedures
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
JUNE 1, 1998
OFFICE OF
SOLID WASTE AND EMERGENCY
RESPONSE
MEMORANDUM
SUBJECT: REVIEW REQUEST: Change 2, FY 1998 Superfund Implementation
Manual(SPIM).
FROM:
_
Robin Richardson, Director
Planni/ng Aal/sis & Resource Management, OERR
0 A\
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Keidan (703 603 8852)/John Smith (703 603 8802); Appendix C, Sharon
Cullen, (202 564 60370 or Appendix D, or Renee Wynn (202 260 8366.
Attachment
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DISTRIBUTION LIST
Addressees
TO: Superfund Branch Chiefs (Regions 1 - X)
Office of Regional Counsel (Regions 1 -X)
CC: Superfund National Policy Managers (Regions I - X)
Information Management Coordinators (Regions I - X)
Budget Coordinators (Regions I - X)
Steve Luftig
Barry Breen
Susan Bromm
OERR Center Directors and Senior Process Managers
Linda Garczynski (5101)
Ben Hamm (5101)
Linda Boornazian
Sandra Connors
Charles Breece
Fredrick Stiehl (OECA)
James Woolford
Dan Dickson
Dana Stalcup
Walt Johnson
Will Bowman (5103)
Eric Burman
Lance Elson
Terry Eby
Randy Hippen
Dottie Pipkin
Renee Wynn
Angelo Carasea
Sharon Blandford
Kenneth Lovelace
Terry Keidan
Richard Jeng
Angelo Carasea
Sharon Cullen
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Superfund Program Implementation Manual (SPIM)
FY 98 Changes
CHANGE LOG SUMMARY*
Change 1 - September 1997
Discard:
x i - xxxii;
August 21, 1997
p. A-13
August 21, 1997
Appendix B;
August 21, 1997
Replace with:
?. i - xxxi;
September 16, 1997
p. A-13
September 16, 1997
Appendix B;
August 21, 1997
(with changes dated
September 16, 1997)
Requestor
Robert White/
Delores Enslen
Robert White
Ken Lovelace
Change Description
The overall table of
contents, list of exhibits,
manager's schedule,
acronyms list,
organizational charts, and
the regional map have been
repaginated due to request
by the Documents Center.
The overall table of
contents was modified to be
consistent with the
Appendix A & B table of
contents modifications.
OERR Organizational
Chart: Corrected
misspelling of name and
deleted (A) after David
Bennett's name.
Corrected text so that ESI
definition Action Name
equals "Expanded Site
Inspection."
Added Limited Remedial
Actions to RA Starts
(Refer to pp. B-8, B-9)
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Superfund Program Implementation Manual (SPIM)
FY 98 Changes
CHANGE LOG SUMMARY*
Change 1 - September 1997
Discard:
Appendix B;
August 21, 1997
Appendix B;
August 21, 1997
Appendix B;
August 21, 1997
Appendix B;
August 21, 1997
Replace with:
Appendix B;
August 21, 1997
(with changes dated
September 16, 1997)
'
Appendix B;
August 21, 1997
(with changes dated
September 16, 1997)
Appendix B;
August 21, 1997
(with changes dated
September 16, 1997)
Appendix B;
August 21, 1997
(with changes dated
September 16, 1997)
Requestor
Ken Lovelace
Ken Lovelace
Ken Lovelace
Ken Lovelace
Change Description
Added limited remedial ' . •
actions to ACT-5, Start of
Response Actions/
Activities.
Moved the Groundwater
Monitoring measure under
ACT-5.
(Refer to pp. B-10, B-13,
B-14)
Added Limited Remedial
Actions to ACT-6,
Completion of Response
Actions/ Activities.
(Refer to p. B-14, B-17)
ACT-7, NPL Site
Construction Completions
through Early 'Actions, ,
Long-Term Actions, or
RODs was modified to
clarify language for
groundwater monitoring
and Limited Action RODs.
Deleted Groundwater
Monitoring in Limited
Action RODs construction
completion tables. (Refer
to pp. B-18-B-25)
NPL Site Completions
Measure was modified to
clarify groundwater
monitoring as a No Action
ROD.
(Refer to p. B-27).
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Superfund Program Implementation Manual (SPIM)
FY 98
CHANGE LOG SUMMARY* (Continued)
Change 2 - June 1998
Discard:
3. i-XV
September 16, 1997
Appendix A; ,
February 3, 1998
'.
Appendix A;
September 16, 1997
B-37;
September 16, 1997
*
Replace with:
D. i-XV
June 1,1 998
Appendix A;
April 23, 1998
Appendix A;
Februarys, 1998
(redlined text
indicates change)
Appendix B;
(Reissued June 1 ,
1998)
Requestor
Robert White
'
Robert-White/
Randy Hippen
Robert White/
Terry Keidan/
Randy Hippen
Robert White/
Terry Keidan/
Angelo Carasea/
Sharon Cullen
Change Description
The overall table of
contents was modified to be
consistent with the
Appendix A & B table of
contents modifications.
Modified Appendix A
based on the comments on
the FY 99/00 SPIM given
by the regions. Also
modified SPIM to be in
sync with the FY 98 SCAP-
13 report.
Added new measure NPL
Listing
HQ is responsible for entry
of the Partial Deletion from
the NPL Action and dates
into CERCLIS.
HQ is responsible for entry
of the Final Deletion from
the NPL Action and dates
into CERCLIS.
Added Non-NPL Site
Completion to Appendix B.
Added language in ACT-5
and ACT-6 headers stating
that the Definition of
Voluntary Removal is
under revision.
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Superfund Program Implementation Manual (SPIM)
FY98
CHANGE LOG SUMMARY* (Continued)
Change 2 - June 1998
Discard:
C-34;
August 21, 1997
D-26;
August 21, 1997
D-27;
August 21, 1997
Replace with:
C-34;
Februarys, 1998
D-26;
Februarys, 1998
D-27;
Februarys, 1998
Requestor
Sharon Cullen
Robert White/
Terry Keidan
Robert White/
Terry Keidan
Change Description
Deleted parenthetical
language from the second
objective from the
definition of
accomplishment
HQ is responsible for entry
of the Partial Deletion from
the NPL Action and dates
into CERCLIS.
HQ is responsible for entry
of the Final Deletion from
the NPL Action and dates
into CERCLIS.
*SPIM text is darkened or "red-lined" to indicate changes or additions.
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DISCLAIMER
The policies and procedures established in this document are intended solely for the guidance of employees of the
U.S. Environmental Protection Agency. They are not intended and cannot be relied upon to create any rights, substantive
or procedural, enforceable by any party in litigation with the United States. EPA reserves the right to act at variance with
these policies and procedures and to change them at any time without public notice.
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USE AND STRUCTURE OF THE MANUAL
The information in this Manual is targeted to Information Management Coordinators (IMCs), Remedial Project
Managers (RPMs), and On-Scene Coordinators (OSCs). Its primary purpose is to provide guidance to this audience on,
management of the Superfund program.
The FY 1998 Superfund Program Implementation Manual contains information on:
• Manager's Schedule of Significant Events;
• Program goals and priorities;
• Program planning and reporting requirements; and
• Financial management.
In addition, the appendices at the end of the manual contain pipeline specific planning and reporting definitions.
• Appendix A presents measure definitions for Site Screening and Assessment and Regional Decisions;
• Appendix B provides measure definitions for Early and Long Term Actions;
• Appendix C presents measure definitions for Enforcement;
• Appendix D contains program priorities arid measure definitions for Federal Facilities;
• Appendix E provides information on Superfund Information Systems;
• Appendix F contains program priorities, measures, definitions, planning and reporting requirements, and financial
information for the Oil Program; and
• Appendix G contains Superfund Reforms Measures of Success.
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This Page Left
Intentionally Blank
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OSWER Directive 9200.3-14-1D
Superfund Program Implementation Manual
Fiscal Year 1998
Table of Contents
MANAGERS SCHEDULE OF SIGNIFICANT EVENTS xvi
ACRONYMS xxi
ORGANIZATIONAL CHARTS
OSWER xxvii
OERR xxviii
OECA xxix
OSRE ". xxx
REGIONAL MAP xxxi
PROGRAM GOALS AND PLANNING REQUIREMENTS
CHAPTER I PROGRAM GOALS AND PRIORITIES 1-1
Introduction 1-1
Superfund and its History 1-1
Reauthorization 1-2
Government Performance and Results Act (GPRA) of 1993 1-2
Strategic Plan Requirements 1-3
Comprehensive Mission Statement . . 1-3
General Goals and Objectives 1-4
Description of How General Goals and Objectives Will Be Achieved 1-4
Relationship Between Goals in the Annual Performance Plan and in a Strategic Plan . 1-4
Key Factors Affecting Achievement of General Goals and Objectives 1-4
Program Evaluations 1-5
Annual Performance Plan 1-5
Performance Goals 1-5
Resources 1-5
Performance Indicators 1-5
Verification and Validation 1-5
Program Performance Reports 1-6
GPRA Goals ..'... 1-7
September 16, 1997
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OSWER Directive 9200.3-14-1D
Superfund Program Implementation Manual
Fiscal Year 1998
Table of Contents
CHAPTER I (cont'd) :
Superfund 1-7
Oil 1-8
Overarching Memorandum of Agreement .•. 1-8
Headquarters/Regional MOA Process 1-8
Current Program Priorities 1-10
Protect Public Health and the Environment .-•••. ..1-10
Construction Completions '.., .'..I............ 1-10
Innovative Technologies I-11
Promoting a Fundamentally Fairer Superfund Program , I-11
Enforcement First/Cost Recovery .:..... 1-13
Maximizing Program Effectiveness and Efficiency . ....'.' 1-13
Reinventing Site Assessment .-•••. 1-13
Base Closures • • • 1-14
Environmental Indicators 1-14
Environmental Indicators and CERCLIS 3 1-15
Effective Contract Management 1-16
Building Superfund Partnerships 1-16
Brownfields .-f"^
History .'.' 1-17
Brownfields Pilots 1-17
Brownfields National Partnership Action Agenda 1-17
Brownfields Tax Incentive/Prospective Purchaser Agreements 1-17
Enhancement of State/Tribal Role 1-18
Superfund Block Funding/EPA Performance Partnership Grants 1-18
Clarifying Policy for NPL Listings 1-18
Piloting State Remedy Selection 1-19
Encouraging a Customer Orientation 1-19
Superfund Reforms (Previously Known as Administrative Reforms) .-.•••- I"20
Risk Based Priorities for Contaminated Sites 1-22
September 16, 1997
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OSWER Directive 9200.3-14-1D
Superfund Program Implementation Manual
Fiscal Year 1998
Table of Contents
CHAPTER II PROGRAM PLANNING AND REPORTING REQUIREMENTS II-1
INTRODUCTION II-l
INTEGRATED PLANNING : II-l
INTRODUCTION TO THE SUPERFUND COMPREHENSIVE ACCOMPLISHMENT PLAN (SCAP) . II-2
RELATIONSHIP OF SCAP TO OTHER MANAGEMENT TOOLS II-2
Management Tools II-2
Superfund Information Systems II-5
OVERVIEW OF THE SCAP PROCESS II-5
SCAP CHANGE CONTROL REQUIREMENTS II-6
HQ/REGIONAL ROLES AND RESPONSIBILITIES II-6
Maintaining SCAP in CERCLIS H-6
Program Evaluation , II-8
PROCEDURES FOR ANNUAL TARGET SETTING II-9
WORK PLANNING II-9
Planning Process 11-10
CERCLIS Reports for SCAP Planning/Target Setting 11-10
REGIONAL ACCOMPLISHMENT REPORTING 11-12
CERCLIS Reports for Accomplishment Reporting 11-12
HQ EVALUATION OF REGIONAL PERFORMANCE 11-14
Mid-Year Assessment 11-14
End-of-Year Assessment • 11-14
Regional Reviews 11-16
Management Reporting 11-16
Superfund Management Reports 11-16
Annual Reporting Requirements 11-17
SCAP TARGET AND DEFINITION CHANGE REQUESTS '... 11-18
Maintaining the Planning Estimates/Targets 11-20
SPECIAL REPORTING TOPICS 11-20
Brownfields 11-20
Reinventing Site Assessment 11-21
iii September 16, 1997
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OSWER Directive 9200.3-14-1D
Superfund Program Implementation Manual
Fiscal Year 1998
Table of Contents
CHAPTER II (cont'd)
GENERAL WORK PLANNING AND REPORTING REQUIREMENTS 11-21
Action Lead Codes 11-21
Lead Changes 11-23
Action Qualifiers for Screening and Assessment Actions 11-24
Record of Decision (ROD) 11-25
Non-Significant Changes 11-25
Significant Changes to a Component of a Remedy 11-26
Fundamental Changes to the ROD 11-26
RODs Requiring No Physical Construction 11-26
Anomalies and Phased Projects 11-27
CHAPTER III SUPERFUND FINANCIAL MANAGEMENT III-l
Introduction III-l
Brownfields III-l
Reinventing Site Assessment Ill-1
Outyear Budget Development III-2
FY 99 Budget Development III-2
Development of the FY 98 National Budget III-5
FY 98 Regional Budget III-6
Response Budget III-6
Enforcement Budget III-7
Federal Facilities Budget III-8
Site-Specific Travel '. III-8
Regional Analytical Budgets III-9
Relationship Between SCAP and the Annual Regional Budget III-9
Initial Annual Regional Budget Development III-9
AOA Utilization 111-10
Advice of Allowance Procedures and Financial Reporting Requirements III-l 1
Regional Allowances Ill-11
The AOA Process 111-12
AOA Flexibility 111-14
RA Allowance 111-16
Flexibility in the Other Allowances Ill-16
AOA Change Request Procedures IIM7
September 16, 1997 iv
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OSWER Directive 9200.3-14-1D
Superfund Program Implementation Manual
Fiscal Year 1998
Table of Contents
CHAPTER III (cont'd)
Relationship Between SCAP and the AOA 111-19
Superfund Financial Management 111-26
Financial Management Tools and Systems 111-28
"ZZ", "WQ", and "00" Accounting Information '. m-30
Regional Financial Management Responsibilities ; 111-30
HQ Financial Management Responsibilities 111-30
Financial Management and Funding Processes 111-30
Financial Management Funding Mechanisms 111-30
Contracts 111-30
Interagency Agreements (lAGs) 111-31
Cooperative Agreements (CAs) 111-31
Superfund State Contracts (SSCs) ni-31
Cost Recovery/Cost Documentation 111-45
Handling Financial Data in the CERCLIS Environment 111-48
Entering Response and Federal Facility Data into CERCLIS 111-48
Entering Enforcement Extramural Budget Data into CERCLIS 111-48
Correcting Financial Data 111-48
INDEX A
PROGRAM IMPLEMENTATION PROCEDURES
APPENDIX A
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
FY 98 TARGETS AND MEASURES A_l
Reinventing Site Assessment A-!
Overview of FY 98 Site Screening and Assessment/Regional Decision Targets and Measures A-l
Superfund Durations A_2
Site Screening and Assessment/Regional Decision Definitions A-5
SSA-3 • Sites Archived ; A-5
Pre-Cerclis Screening Assessments A_6
Site Discovery A-6
Brownfields Assessment A_7
Preliminary Assessments (PA) at Non-Federal Facility Sites A-7
Federal Facility Preliminary Assessments Review A-9
v September 16, 1997
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OSWER Directive 9200.3-14-ID
Superfund Program Implementation Manual
Fiscal Year 1998
Table of Contents
APPENDIX A (cont'd)
Site Inspections (SI) A"10
Site Inspection Prioritizations (SIPs) • A'12
Expanded Site Inspections (ESI) A'13
Integrated Expanded Site Inspection/remedial Investigation (ESI/RI) A-14
Hazard Ranking System Package (HRS) A-15
Integrated Removal/Remedial Evaluation A-16
Regional Decisions A-l 8
Engineering Evaluation/Cost Analysis (EE/CA) A-19
Community Involvement A-19
Support Agency Assistance A-20
Technical Assistance A-20
Technical Assistance Grants (TAGs) ' A'21
Remedial Investigation (RI) Starts A-21
Feasibility Study (FS) Starts A-22
Combined RI/FS Start A'24
Start of Public Comment Period (Proposed Plan to Public) A-25
RI/FS Duration A'26
RDT-1 • Decision Document Signed A-26
ROD Amendments and Explanation of Significant Differences (ESDs) A-27
APPENDIX B
EARLY AND LONG-TERM ACTION FY 98 SCAP TARGETS AND MEASURES B-l
Overview of FY 98 Early and Long-Term Action Targets/Measures B-l
Superfund Durations B"l
Early and Long-Term Action Definitions B-4
Community Relations (CR) B'4
Support Agency Assistance B-4
Technical Assistance • B-5
Technical Assistance Grants (TAGs) B'5
Treatability Studies • • • • B'6
Pre-Design Assistance B~6
Remedial Design (RD) Start B-?
RD Completion B"8
Remedial Action (RA) Start B'8
RA Contract Award • B'10
ACT 5 • Start of Response Actions/Activities E-\0
ACT-6 • Completion of a Response Action B-14
ACT-7 • NPL Site Construction Completions Through Early Actions, Long-Term
Actions, or RODs B'18
September 16, 1997 vi
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OSWER Directive 9200.3-14-ID
Superfund Program Implementation Manual
Fiscal Year 1998
Table of Contents
APPENDIX B (cont'd)
Operational and Functional (O&F) B-26
Long Term Response Action (LTRA) B-26
NPL Site Completions , , ... B-27
Operation and Maintenance (O&M) B-35
Five-Year Reviews B-36
Partial NPL Deletion B-37
Final NPL Deletion B-38
EI-1A • Populations Protected ,.. B-38
El-IB • Progress Through Environmental Indicators
(Achieving Permanent Cleanup Goals) B-40
El-1C • Technologies Used and Volumes Handled at NPL and Non-NPL Sites ...... B-41
APPENDIX C
FY 98 ENFORCEMENT TARGETS AND MEASURES , C-l
Overview C-l
Enforcement Target And Measure Definitions C-3
Potentially Responsible Party (PRP) Search Starts C-4
PRP Search Completions C-4
Section 104(e) Letters Issued C-5
Section 104(e) Referrals And Orders Issued • >..;.< C-5
Issuance of General Notice Letters (GNLS) •. C-6
Issuance of Special Notice Letters (SNLS) .-••'•. • • • • •• • • C-6
Expanded Site Inspection/Remedial Investigation/Feasibility Study (ESI/RI/FS) Negotiation Starts ... C-7
Remedial Design/Remedial Action (RD/RA) Negotiation Starts C-7
RD/RA Negotiation Completions C-8
Cleanup Negotiation Completions C-9
State Order for ESI/RI/FS C-l 1
State Consent Decree For RD/RA ., C-12
Total Response Settlements (including dollar value) , C-12
De Minimis Settlements and Number of Parties C-14
Section 106, 106/107, 107 Case Resolution ..: C-15
Compilation of Administrative Record for Selection of Response Action C-l 6
Issue Demand Letter C-16
Total Cost Recovery Settlements (including dollar value) ,•••••, C-17
Past Costs Addressed > $200,000 ."..... C-18
FY 98 ENFORCEMENT REFORMS .=.. C-20
Overview of Enforcement Reforms C-20
Enforcement Reforms Definitions C-20
Use of Alternative Dispute Resolution (ADR) C-20
vii September 16, 1997
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OSWER Directive 9200.3-14-1D
Superfund Program Implementation Manual
Fiscal Year 1998
Table of Contents
APPENDIX C (cont'd)
Settlements Where EPA Settled Based on Ability-to-Pay Determinations C-21
Recoverable Past Costs That Have Been Addressed Program to Date C-22
Prospective Purchaser Agreements (PPAs) C-23
Number And Amount of CERCLA Penalties Assessed C-24
Number And Amount of Supplemental Environmental Projects (SEPs)
Agreed Upon Under CERCLA C-25
Noncompliance With Consent Decrees, Administrative Orders on Consent, and
Unilateral Administrative Orders C-25
Noncompliance With Consent Decrees, Administrative Orders on Consent, and
Unilateral Administrative Orders That Has Been Addressed C-27
Orphan Share - EPA Offer And Compensation C-28
Cashout Settlements '.' C-29
Use of Interest Bearing Special Accounts C-30
Issue Cleanup Orders to Parties in an Equitable Manner C-31
De Micromis Settlements and Number of Parties C-32
PRP Oversight Administration C-33
APPENDIX D
FEDERAL FACILITIES PRIORITIES D-l
Overview D-l
Superfund Federal Facility Goals and Priorities • D-l
Strategic Federal Facility Goals D-l
Streamlining Federal Facilities Cleanup and Oversight D-2
RCRA Activities at Federal Facility NPL Sites D-3
BRAC Budget and Financial Guidance D-3
Resources and Tracking Mechanisms D-3
Accountability for Resources D-4
FACILITIES FY 98 TARGETS AND MEASURES D-6
Overview of FY 98 Federal Facilities Targets and Measures D-6
Reporting of Non-NPL Federal Facilities Data at BRAC Fast Track Sites D-6
Federal Facilities Definitions D-8
FF-1 • Base Closure Decisions D-8
FF-2 • Federal Facility Agreement (FFA)/Interagency Agreement (IAG) Starts D-8
FF-3 • FFA/IAG Completion D-9
September 16, 1997 viii
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OSWER Directive 9200.3-14-1D
Superfund Program Implementation Manual
Fiscal Year 1998
Table of Contents
APPENDIX D (cont'd)
FF-4 • Federal Facility Dispute Resolution D-9
FF-5 • Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility
Investigation (RFI) Starts D-10
FF-6 • Feasibility Study (FS), Corrective Measure Study (CMS), or EE/CA Starts D-l 1
FF-7 • Timespan from Final NPL Listing to RI/FS or RFI Start D-l 1
FF-8 • Decision Documents D-12
FF-9 • RI/FS or RFI/CMS Duration D-12
FF-10 • Remedial Design (RD) or RCRA Corrective Measure Design (CMD) Starts D-l3
FF-11 • Remedial Design (RD) or Corrective Measure Design (CMD) Completions D-l3
FF-12 • Remedial Action (RA) or RCRA Corrective Measure Implementation (CMI) Starts D-14
FF-13 • Timespan from ROD Signature to RA Start D-14
FF-14 • RA or CMI Completions , D-15
FF-15 • RA Duration D-15
FF-16 • Timespan from RI/FS Start to RA Complete D-16
FF-17 • Removal, Early Actions (Remedial Authority), or RCRA Interim/Stabilization
Measure (ISM) — Starts and Completions ; D-16
ACT-7 • NPL Site Construction Completions Through Early Actions,
Long-term Actions, or RODs D-17
FF-18 * Federal Facility Five-Year Reviews D-25
FF-19 • Federal Facility Partial NPL Deletion D-26
FF-20 • Federal Facility Final NPL Deletion D-27
APPENDIX E
SUPERFUND INFORMATION SYSTEMS E-1
The Purpose of CERCLIS 3 (C3) E-1
Site Assessment E-1
Risk Assessment E-2
Remedy Selection E-2
Federal Facilities E-2
Community Involvement E-3
Removal E-3
Enforcement E-3
Project Management E-4
Program Management E-4
Reporting Superfund Information E-4
CERCLIS 3 Users .E-6
Applicability of the Freedom of Information Act ' E-6
CERCLIS Reports Releasable under Freedom of Information Act (FOIA) E-6
Sensitive Information Not Releasable under FOIA E-6
IX
September 16, 1997
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OSWER Directive 9200.3-14-ID
Superfund Program Implementation Manual
Fiscal Year 1998
Table of Contents
APPENDIX E (cont'd)
Ad Hoc Reporting • E-9
Accessing FOIA Information E-9
Data Owners/Sponsorship E-10
APPENDIX F
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM PRIORITIES F-l
Overview .....:' F-l
Oil Program Initiatives • F-l
Addressing Above-Ground Storage Facility (ASF) Leakage and Contamination F-l
Implementing FRPs ' F-l
Implementing the NCP •. F-2
Developing and Maintaining Data Systems • • • • F-2
Improving the SPCC Program F-3
Coordinating with Other Agencies '..-.- F-3
Oil Spill Prevention and Cleanup Activities F-3
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM PLANNING AND
APPENDIX F
REPORTING REQUIREMENTS F-5
Overview F-5
National Oil and Hazardous Substances Pollution Contingency Plan F-5
Regional Contingency Plans • F-5
Area Contingency Plans F-5
Federal Response Plan F-5
Communications Requirements Associated with a Release F-7
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM FINANCIAL MANAGEMENT F-9
Overview F-9
Budget Formulation ' F-9
Operating Plan Development F-9
Budget Execution • F-9
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM FY 98 MEASURES F-l 1
Overview F-11
Oil Pollution Prevention and Response Program Definitions F-12
Prevention/preparedness Measures: F-12
Oil-1 • Spill Prevention, Control, and Countermeasure (SPCC) Inspections and Plan Reviews F-12
Oii-2 • Oil Facility Response Plans Reviewed arid Approved F-12
Oil-3 • Area Contingency Plans F-13
September 16, 1997 x
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OSWER Directive 9200.3-14-ID
Superfund Program Implementation Manual
Fiscal Year 1998
Table of Contents
APPENDIX F (cont'd)
Oil-4 • Preparedness for Response Exercise Program (PREP) Area Drills F-13
Response Measures F-14
Oil-5 Oil Spill Notifications F-14
Oil-6 Oil Spill Investigations/Preliminary Assessments F-14
Oil-7 Oil Spill Cleanups F-15
Oil-8 Oil Spill Monitoring/Directing ; F-15
Oil-9 Cost Documentation F-15
Enforcement Measures F-16
Oil-10 • Administrative Penalty Enforcement Actions for Spill Violations and
Prevention Regulation Violations .' F-16
Oil-11 • Judicial Penalty Enforcement Actions for Spill Violations and
Prevention Regulation Violations '. F-16
Oil-12 * Orders for Removal Issued to a Responsible Party F-17
APPENDIX G
SUPERFUND REFORMS MEASURES OF SUCCESS (OERR & OSRE)
G-1
September 16, 1997
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OSWER Directive 9200.3-14-1D
Superfund Program Implementation Manual
Fiscal Year 1998
Table of Exhibits
PROGRAM GOALS AND PLANNING REQUIREMENTS
CHAPTERI
EXHIBIT 1-1 GUIDELINES FOR OVERARCHING MOA 1-9
EXHIBIT 1-2 TIMELINE FOR DEVELOPMENT OF THE OVERARCHING MOA I-10
CHAPTER II
EXHIBIT II. 1 FLEXIBILITY SCALE FOR BUDGETING/PLANNING II-3
EXHIBIT II.2 HQ/REGIONAL INTEGRATED PLANNING RESPONSIBILITIES II-4
EXHIBIT II.3 HQ/REGIONAL SCAP AND CERCLIS RESPONSIBILITIES ". II-7
EXHIBIT II.4 EVALUATION RESPONSIBILITIES II-8
EXHIBITII.5 PROCEDURES FOR ANNUAL TARGET SETTING 11-11
EXHIBIT II.6 SCAP PLANNING/TARGET SETTING CERCLIS REPORTS 11-12
EXHIBIT II.7 PROGRAM EVALUATION CERCLIS REPORTS 11-13
EXHIBITII.8 THE REGIONAL EVALUATION PROCESS 11-15
EXHIBITII.9 CFO PERFORMANCE MEASURES 11-17
EXHIBIT II. 10 CHANGES AND ADJUSTMENTS 11-18
EXHIBITII.l 1 SCAP CHANGES AND ADJUSTMENTS 11-19
EXHIBIT II. 12 ACTION LEAD CODES IN CERCLIS 11-22
EXHIBITII.13 CODING OF TAKEOVERS 11-24
EXHIBIT II. 14 REMEDIAL EVENTS, ANOMALIES, AND PROJECT PHASING 11-28
September 16, 1997 xii
-------
OSWER Directive 9200.3-14-ID
Superfimd Program Implementation Manual
Fiscal Year 1998
Table of Exhibits
CHAPTER III
EXHIBIT III.l BUDGET TIMELINE III-4
EXHIBIT III.2 OPERATING PLAN BUDGET AND ADVICE OF ALLOWANCE CATEGORIES Ill-10
EXHIBIT III.3 THE ADVICE OF ALLOWANCE PROCESS 111-13
EXHIBIT III.4 ACTIONS REQUIRED FOR REPROGRAMMING OF ALLOWANCES Ill-15
EXHIBIT III.5 CHANGE REQUEST REQUIRED 111-18
EXHIBIT III.6AOA CHANGE PROCESS PROCEDURES HI-19
EXHIBIT III.7 BUDGET SOURCES 111-20
EXHIBIT III.8 WHO PAYS FOR WHAT 111-21
EXHIBIT III.9 FINANCIAL MANAGEMENT CONTACTS 111-27
EXHIBIT III. 10 FINANCIAL MANAGEMENT TOOLS AND SYSTEMS 111-28
EXHIBIT III.l 1 ACCOUNT NUMBER STRUCTURE 111-29
EXHIBIT III. 12 REGIONAL FINANCIAL MANAGEMENT RESPONSIBILITIES 111-32
EXHIBIT III. 13 DESCRIPTION OF REGIONAL PROGRAM OFFICE
FINANCIAL MANAGEMENT STAFF ' 111-33
EXHIBIT III. 14 RESPONSIBILITIES OF REGIONAL PROGRAM OFFICE
FINANCIAL STAFF HI-34
EXHIBIT III. 15 FINANCIAL RESPONSIBILITIES OF HQ MANAGEMENT OFFICES 111-35
EXHIBIT III. 16 FINANCIAL MANAGEMENT AND FUNDING PROCESSES Hl-36
EXHIBIT III. 17 HANDLING FINANCIAL DATA IN THE CERCLIS ENVIRONMENT 111-38
EXHIBIT III. 18 EPA FORMS COMMONLY USED FOR SUPERFUND PROCUREMENTS 111-39
EXHIBIT III. 19 FINANCIAL MANAGEMENT OF SITE-SPECIFIC CONTRACTS 111-40
EXHIBIT 111.20 FINANCIAL MANAGEMENT OF NON-SITE SPECIFIC CONTRACTS 111-41
Xlll
September 16, 1997
-------
OSWER Directive 9200.3-14-ID
Superfund Program Implementation Manual
Fiscal Year 1998
Table of Exhibits
CHAPTER III (cont'd)
EXHIBIT 111.21 DISBURSEMENT IAG FINANCIAL MANAGEMENT 111-42
EXHIBIT 111.22 ALLOCATION TRANSFER IAG FINANCIAL MANAGEMENT 111-43
EXHIBIT 111.23 OPERATIVE AGREEMENT FINANCIAL MANAGEMENT HI-44
EXHIBIT III.24SSC FINANCIAL MANAGEMENT ... HI-46
EXHIBIT 111.25 COST RECOVERY REFERRAL DEVELOPMENT PROCESS .......... 111-47
EXHIBIT 111.26 CORRECTIONS TO FINANCIAL INFORMATION HI-49
PROGRAM IMPLEMENTATION PROCEDURES
APPENDIX A
EXHIBIT A.1 SITE SCREENING AND ASSESSMENT/REGIONAL DECISION ACTIVITIES A-3
EXHIBIT A.2 SITE SCREENING AND ASSESSMENT/REGIONAL
DECISION PLANNING REQUIREMENTS A-28
APPENDIX B
EXHIBIT B.I EARLY AND LONG-TERM ACTION ACTIVITIES B-3
EXHIBIT B.2 LONG-TERM ACTION FLOW CHARTS B-41
EXHIBIT B.2 LONG-TERM ACTION FLOW CHARTS (continued) B-42
EXHIBIT B.3 EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS B-43
APPENDIX C
EXHIBIT C.I ENFORCEMENT ACTIVITIES C-2
EXHIBIT C.2 ENFORCEMENT PLANNING REQUIREMENTS C-36
September 16, 1997 xiv
-------
OSWER Directive 9200.3-14-ID
Siiperfund Program Implementation Manual
Fiscal Year 1998
Table of Exhibits
APPENDIX D
EXHIBIT D.I FEDERAL FACILITIES ACTIVITIES '. D-7
EXHIBIT D.2 FEDERAL FACILITIES PLANNING REQUIREMENTS . D-28
APPENDIX F
EXHIBIT F. 1 RELATIONSHIP OF OIL POLLUTION PREVENTION AND '
RESPONSE PROGRAM PLANS F-6
EXHIBIT F.2 FY 98 OIL POLLUTION PREVENTION AND RESPONSE PROGRAM ACTIONS F-l 1
xv
September 16, 1997;
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OSWER Directive 9200.3-14-lD
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Intentionally Blank
September 16, 1997
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OSWER Directive 9200.3-14-ID
Superfund/Qil Program Implementation Manual FY 98
Manager's Schedule of Significant Events
September 16, 1997
-------
OSWER Directive 9200.3-14-ID
MANAGERS SCHEDULE OF SIGNIFICANT EVENTS
OCTOBER 1997 QUARTER 1 (FY 98)
3* The AAs and OC approve the first quarter AOA
7 HQ pulls national Environment Indicators (El) data from CERCLIS '
7 HQ pulls 4th Quarter FY 97 accomplishment data from CERCLIS and provides for:
1) Special program reports; and
2) Initial FY 97 end-of-year assessment
24 HQ pulls 4th quarter FY 97 accomplishment data from CERCLIS for review of end of year
accomplishments
NOVEMBER 1997
3 Enforcement extramural budget carryover calculated
4-6 HQ/Regional Superfund Focus Forum Meeting
14 OMB passback of FY 99 budget request
17 HQ pulls accomplishment data on key accomplishments from CERCLIS
18 HQ distributes FY 97 El analysis to HQ/Regional managers
DECEMBER 1997
5 HQ pulls CERCLIS data for second quarter AOA
5 HQ pulls accomplishment data on key accomplishments from CERCLIS
15 HQ appeal of the OMB FY 99 budget passback
23 HQ submits second quarter AOA request to AAs and places it in CERCLIS
30 Regions input AOA to IFMS
JANUARY 1998 QUARTER 2 (FY 98)
2 The AAs and OC approve the second quarter AOA
8 HQ pulls national Environmental Indicators (El) data from CERCLIS
* Dependent on approval of final appropriations.
September 16, 1997 xvi
-------
OSWER Directive 9200.3-14-ID
JANUARY 1998 (cont'd)
8 HQ pulls accomplishments data from CERCLIS and provides for special reports
8 Enforcement provides:
1) Special program reports; and
2) First quarter performance evaluations
9 HQ submits FY 99 budget request to the President
FEBRUARY 1998
6 HQ pulls accomplishment data on key accomplishments from CERCLIS
20 HQ distributes FY 97 El analysis to HQ/Regional managers
MARCH 1998
6 HQ pulls data from CERCLIS for enforcement extramural budget and third quarter AOA
6 HQ pulls accomplishment data on key accomplishments from CERCLIS
24 HQ submits 3rd quarter AOA request to the AAs and places it in CERCLIS
31 Regions input AOA to IFMS
APRIL 1998 QUARTER 3 (FY 98)
3 The AAs and OC approve the third quarter AOA
6 HQ pulls accomplishment data from CERCLIS and provides for:
1) Special program reports; and
2) Mid-Year performance evaluation
7 HQ pulls national Environmental Indicators (El) data from CERCLIS
22 Regions review FY 99/00 SPIM
24 HQ distributes FY 97 El analysis to HQ/Regional managers
MAY 1998
6 HQ analysis of Regional pipeline
6 HQ allocates 90 percent of FY 99 budget to Regions
xvii September 16, 1997
-------
OSWER Directive 9200.3-14-1D
MAY 1998 (cont'd)
6 HQ pulls accomplishment data on key accomplishments from CERCLIS
12 HQ program offices characterize and submit their FY 99 program initiatives
19 HQ distributes FY 97 El analysis to HQ/Regional managers
25 HQ prepares preliminary Regional FY 99 operating plan based on projected budgets in CERCLIS
29 HQ program offices meet with the Administrator to review FY 99 program goals
JUNE 1998
1 -26 Regions generate their plans for FY 99 by updating schedules and financial information in
CERCLIS
5 HQ pulls planning information from CERCLIS:
1) for fourth quarter AOA; and
2) to support FY 99 and FY 00 budget request
5 HQ pulls accomplishment data on key accomplishments from CERCLIS
5 HQ pulls financial data for analysis of Regional obligation/commitment rate
8 HQ presents FY 99 Superfund goals and priorities and FY 00 investments to the Administrator and
Regional Administrators
12 Administrator and OC provide HQ program offices and Regions with policy for FY 00 budget
formulation
22 HQ submits 4th quarter AOA request to the AAs and places it in CERCLIS
29 Regions input AOA to IFMS
JULY 1998 QUARTER 4 (FY 98)
2 The AAs and OC approve the fourth quarter AOA
8 HQ pulls national Environmental Indicators (El) data from CERCLIS
8 HQ pulls 3rd Quarter FY 98 accomplishments data from CERCLIS and provides for special
program reports
September 16, 1997 xviii
-------
OSWER Directive 9200.3-14-ID
JULY 1998(cont'd)
8 Enforcement provides:
1) Special program reports; and
2) Third quarter performance evaluations
8 HQ submits FY 00 Superfund investment summaries to the Administrator and Budget to OC
8 HQ pulls data from CERCLIS to review and analyze:
1) SCAP and pipeline workload and FY 99 budget request;
2) Past Regional accomplishments and planned durations/dollars; and
3) Regional request for 10 percent FY 99 budget reserve
13-17 HQ program offices and lead Regions make presentation to Administrative/Deputy Administrator
on FY 00 program priorities
20-24 Regional conference call on HQ analyses
23 Limited copies of FY 99/00 SPIM distributed to Regions
31 Administrator passback of FY 00 budget request
AUGUST 1998
3-18 HQ develops FY 00 budget for submission to the Office of Management and Budget (OMB)
7 HQ pulls accomplishment data on key accomplishments from CERCLIS
7 HQ pulls CERCLIS data to assist in preparation of the FY 00 budget
10-21 HQ/Regions conduct negotiations on the final FY 99 SCAP targets and measures and budget
19 HQ distributes FY 97 El analysis to HQ/Regional managers
28 HQ develops strategy for presenting the FY 00 budget to OMB
28 HQ sends memorandum to Regions on final budgets and targets and measures
SEPTEMBER 1998
2 Distribute limited number of advanced copies of FY 99 SPIM
4 HQ submits FY 00 budget to OMB
8 Regions revise CERCLIS to reflect final negotiated budgets and targets and measures
8 HQ pulls data from CERCLIS for first quarter FY 99 AOA
xix
September 16, 1997
-------
1
OSWER Directive 9200.3-14-1D
SEPTEMBER 1998(cont'd)
8 HQ pulls accomplishments data on key accomplishments from CERCLIS
15 HQ performs final FY 99 Full Time Equivalent (FTE) distribution
21 HQ submits FY 99 first quarter AOA request to the AAs and places it in CERLIS
29* Regions input AOA to IFMS
OCTOBER 1998 QUARTER 1 (FY 99)
2* The AAs and OC approve the 1st quarter AOA
6 HQ pulls 4th quarter FY 98 accomplishment data from CERCLIS and provides for:
1) Special program reports; and
2) Initial FY 98 end-of-year assessment
20 HQ pulls 4th quarter FY 98 accomplishment data from CERCLIS for review of end of year
accomplishments
30 Distribute final FY 99/00 SPIM
NOVEMBER 1998
2 Enforcement extramural budget carryover calculated
18 OMB passback of FY 00 budget request
DECEMBER 1998
7 HQ pulls CERCLIS data for 2nd quarter AOA
7 HQ pulls accomplishment data on key accomplishments from CERCLIS
14 HQ appeal of the OMB FY 00 budget passback
21 HQ submits 2cd quarter AOA request to AAs and places it in CERCLIS
28 Regions input AOA to IFMS
* Dependent on approval of final appropriations.
September 16, 1997
xx
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OSWER Directive 9200.3-14-ID
Acronyms
September 16, 1997
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OSWER Directive 9200.3-14-ID
This Page Left
Intentionally Blank
September 16, 1997
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OSWER Directive 9200.3-14-1D
AA —
A/B-
AA OE —
AASWER —
AA OECA —
AAU —
AC —
ACP —
ADCR —
ADR —
AHRC —
ALT —
AN —
AO —
AOA —
AOC —
AOG —
APR —
AR —
ARAR —
ARCS —
ARIP —
ARM —
ASF —
AST —
ASTM —
ASTSWMO —
ASTW —
ASU —
ATSDR — .
ATSDRHAZDAT-
BC/AOA —
BLM —
BRAG —
BTAG —
BUREC —
CA —
CADD —
CAS No. —
CBD —
CD —
CEPP —
CEPPO —
CERCLA—
CERCLIS —
CERFA —
CFO —
CIAO —
CIOC —
CLP —
CN —
CO —
COI —
Assistant Administrator
Architect/Engineer
Assistant Administrator for the Office of Enforcement
Assistant Administrator for the Office of Solid Waste and Emergency Response
Assistant Administrator for the Office of Enforcement and Compliance Assurance
Administrative Assistance Unit
Area Committee
Area Contingency Plan
Automated Document Control Register
Alternative Dispute Resolution
Allowance Holder/Responsibility Center
Alternate
Account Number
Administrative Order
Advice of Allowance
Administrative Order on Consent
Agency Operating Guidance
Approved
Administrative Record
Applicable or Relevant and Appropriate Requirements
Alternative Remedial Contracting Strategy
Accidental Release Information Program
Administration and Resources Management
Above-ground Storage Facility
Above-ground Storage Tank
American Society for Testing and Materials
Association of State and Tribal Solid Waste Management Organizations
Above-ground Storage Tank Workgroup
Administrative Support Unit
Agency for Toxic Substances and Diseases Registry
Agency for Toxic Substances and Diseases Registry Hazardous Data System
Budget Control/Advice of Allowance
Bureau of Land Management
Base Realignment or Closure
Biological Technical Assistance Group
Bureau of Reclamation
Cooperative Agreement
Corrective Action Decision Document
Chemical Abstract Number
Commerce Business Daily
Consent Decree
Chemical Emergency Preparedness and Prevention Program
Chemical Emergency Preparedness and Prevention Office (OSWER)
Comprehensive Environmental Response, Compensation, and Liability Act of 1980
Comprehensive Environmental Response, Compensation, and Liability Information
System
Community Environmental Response Facilitation Act
Chief Financial Officer
Citizen Information and Access Offices
Community Involvement & Outreach Center (OERR)
Contract Laboratory Program
Commitment Notice
Contracting Officer
Conflict of Interest
xxi
September 16, 1997
-------
OSWER Directive 9200.3-14-1D
CPCA —
CR —
CRCR —
CRP —
CWA —
CWG —
DA —
DAS —
DCN —
DNAPL —
DOD —
DoD —
DOE —
DOI —
DOJ —
DOT —
DPO —
DRG —
EBS —
EE/CA —
El —
EMSL —
ENRD —
EPA —
EPA-ACH —
EPA ID —
EPCRA —
EPI —
EPIC —
EPS —
ERA —
ERGS —
ERNS —
ERRS —
ERT —
ESAT —
ESC —
ESD —
ESF —
ESI —
ESI/RI —
ESS —
FCO —
FE —
FEMA —
FFA —
FFCA —
FFEO —
FFRRO —
FFIS —
FFS —
FINDS —
FMC-Ci—
FMD —
Core Program Cooperative Agreement
Community Relations
Cost Recovery Category Report
Community Relations Plan
Clean Water Act
Community Work Groups
Deputy Administrator
Delivery of Analytical Services
Document Control Number
Dense Non-Aqueous Phase Liquids
Deputy Office Director
Department of Defense
Department of Energy
Department of the Interior
Department of Justice
Department of Transportation
Deputy Project Officer
District Response Group
Environmental Baseline Survey
Engineering Evaluation/Cost Analysis
Environmental Indicators
Environmental Monitoring Systems Laboratory
Environment and Natural Resources Division (DOJ) :
Environmental Protection Agency
EPA Automated Clearing House
EPA Identification Number
Emergency Planning and Community Right to Know Act of 1986
Environmental Priorities Initiative
Environmental Photographic Interpretation Center
Environmental Protection Specialist
Expedited Response Action
Emergency Response Cleanup Services
Emergency Response Notification System
Emergency and Rapid Response Services
Environmental Response Team
Environmental Services Assistance Team
Enforcement Support Contract
Explanation of Significant Differences
Emergency Support Function
Expanded Site Inspection
Expanded Site Inspection/Remedial Investigation
Enforcement Support Services
Funds Certifying Officer
Federal Enforcement
Federal Emergency Management Agency
Federal Facility Agreement
Federal Facility Compliance Agreement
Federal Facilities Enforcement Office
Federal Facilities Restoration and Reuse Office
Federal Facilities Information System
Focused Feasibility Study
Facility Index System
Financial Management Center - Cincinnati
Financial Management Division
September 16, 1997
xxn
-------
OSWER Directive 9200.3-14-ID
FMFIA —
FMO —
FOIA —
FOSL —
FOST-
ER—
FRP —
pc
J. O
FTE —
FUDS —
FY —
FY/Q —
GAD —
GAO —
GFO —
GIGS —
GIS —
GNL —
GPRA —
HAZDAT —
HHS —
Ki-
ng—
HRS —
HSWA —
HWC —
IAG —
IFMS —
IG —
IMC —
IMPM —
IMS —
IOTV —
IRM —
ISIF —
LAN —
LEPC —
LERP —
LOG —
LOE —
LTCS —
LTRA —
MARS —
MBO —
MM/DD/YY —
MMS —
MOA —
MOHR —
MORR —
MOU —
MSCA —
NAPL-
NBAR —
Federal Managers Financial Integrity Act
Financial Management Office
Freedom of Information Act
Finding of Suitability to Lease
Finding of Suitability to Transfer
Federal Register
Facility Response Plan
Feasibility Study
Full-time Equivalent
Formerly Used Defense Sites
Fiscal Year
Fiscal Year/Quarter
Grants Administration Division
Government Accounting Office
Good Faith Offer
Grants Information Control System
Geographic Information System
General Notice Letter
Government Performance and Results Act
Hazardous Data System
Health and Human Services
Hazard Index
Headquarters
Hazard Ranking System
Hazardous and Solid Waste Amendments
Hazardous Waste Collection
Interagency Agreement
Integrated Financial Management System
Inspector General
Information Management Coordinator
Information Management/Program Measurement Center (OERR)
Integrated Management Strategy
Interoffice Transfer Voucher
Initial Remedial Measure
Integrated Site Information Form
Local Area Network
Local Emergency Planning Committee
Local Emergency Response Plan
Letter of Credit
Level of Effort
Long Term Contracting Strategy
Long Term Response Action
Management and Accounting Reporting System
Management by Objectives
Month/Day/Year
Minerals Management Service
Memorandum of Agreement
Magnitude of Hazard Reduction
Magnitude of Risk Reduction
Memorandum of Understanding
Multi-Site Cooperative Agreement
Non-Aqueous Phase Liquid
Non-Binding Allocation of Responsibility
XXlll
September 16, 1997
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OSWER Directive 9200.3-14-ID
NCP —
NEEPPS —
NFRAP —
NOAA —
NPL —
NPM —
NRC —
NRS —
NRT —
NSEP —
NSFCC —
NTC —
NTIS —
OAM —
OARM —
OC —
OD —
OE —
OECA —
OERR —
O&F —
OFFE —
OIG —
O&M —
OMB —
OPA —
OPAC —
OPC —
OPPE —
OPRP —
ORC —
ORD —
OSC —
OSPS —
OSRE —
OSW —
OSWER —
OU —
OUST —
PA —
PAH —
PARM —
PC —
PCB —
PECB —
PNRS —
PO —
POD —
POLREP-
POS —
PPED —
PPG —
PQOP —
National Oil and Hazardous Substances Pollution Contingency
Plan or National Contingency Plan
National Environment Performance Partnership System
No Further Remedial Action Planned
National Oceanic and Atmospheric Administration
National Priorities List
National Program Manager
National Response Center
National Response System
National Response Team
National Security Emergency Preparedness
National Strike Force Communication Center
Non-Time Critical
National Technical Information Services
Office of Acquisition Management
Office of Administration and Resources Management
Office of the Comptroller
Office Director
Office of Enforcement
Office of Enforcement and Compliance Assurance
Office of Emergency and Remedial Response (OSWER)
Operational and Functional
Office of Federal Facilities Enforcement (OE)
Office of the Inspector General
Operation and Maintenance
Office of Management and Budget
Oil Pollution Act of 1990
On-line Payment and Collections
Oil Program Center
Office of Policy, Planning, and Evaluation
Oil Pollution Response & Prevention Center (OERR)
Office of Regional Counsel
Office of Research and Development
On-Scene Coordinator
Outreach/Special Project Staff (OSWER)
Office of Site Remediation and Enforcement
Office of Solid Waste
Office of Solid Waste and Emergency Response
Operable Unit
Office of Underground Storage Tanks (OSWER)
Preliminary Assessment
Polyaromatic Hydrocarbons
Program Analysis & Resources Management Center (OERR)
Personal Computer
Polychlorinated biphenyl
Program Evaluation & Compliance Branch (OSRE)
Preliminary Natural Resource Surveys
Project Officer
Program Operations Division (OFFE)
Pollution Report
Program Operations Staff (OSRE)
Program Policy & Evaluation Division (OSRE)
Performance Partnership Grants
Pre-Qualified Officers Procurement
September 16, 1997
xxiv
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OSWER Directive 9200.3-14-ID
PR —
PPA —
PREP —
PRP —
PRSC —
PSO —
QA —
QAPP^-
QAT —
RA —
RAC —
RADS —
RAGS —
RCMS —
RCP —
RCRA —
RCRC —
RD —
RDT —
REMT —
RESAT —
RFP —
RI —
RI/FS —
RME —
ROC —
ROD —
RPM —
RPO —
RRT —
RTP —
SAGA —
SACM—
SAM —
SARA —
SAS —
SB/RTC —
SCAP —
SCORES —
SEP —
SERC —
SERP —
SFO —
SI —
SIB AC —
SIP —
SITE —
SMOA —
SMP —
SMSA —
SNAP —
SNL —
SOL —
SOW —
Procurement Request
Prospective Purchaser Agreement
Preparedness Response Exercise Program
Potentially Responsible Party
Post Removal Site Controls
Program Support Office
Quality Assurance
Quality Assurance Project Plan
Quality Action Team
Remedial Action
Response Action Contract
Risk Assessment Data System
Risk Assessment Guidance for Superfund
Removal Cost Management System
Regional Contingency Plan
Resource Conservation and Recovery Act
Regional Cost Recovery Coordinator
Remedial Design
Regional Decision Team
Regional Emergency Preparedness Team
Regional Environmental Services Assistance Team
Request for Proposal
Remedial Investigation
Remedial Investigation and Feasibility Study
Reasonable Maximum Exposure
Remedial Oversight Contract
Record of Decision
Remedial Project Manager
Regional Project Officer
Regional Response Team
Research Triangle Park
Site Assessment Cooperative Agreement
Superfund Accelerated Cleanup Model
Site Assessment Manager
Superfund Amendments and Reauthorization Act of 1986
Special Analytical Services
Statement of Basis/Response to Comments
Superfund Comprehensive Accomplishments Plan
Superfund Cost Organization and Recovery Enhancement System
Supplemental Environmental Project
State Emergency Response Commission
State Emergency Response Plan
Servicing Finance Office
Site Inspection
Simplified Interagency Billing and Collection
Site Inspection Prioritization
Superfund Innovative Technology Evaluation
State Memorandum of Agreement
Site Management Plan
Standard Metropolitan Statistical Area
Superfund National Assessment Program
Special Notice Letter
Statute of Limitations
Statement of Work
xxv
September 16, 1997
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OSWER Directive 9200.3-14-ID
Spec-
s'—
SRIS —
SSA —
SSAB —
SSC —
S/S ID —
SSP —
START —
STSI —
TAG —
TAT-
TED—
TDD —
TSCA —
TQM —
TRC —
TRW —
TSD —
UAO —
USCG —
USAGE —
USFWS —
USGS —
VRP —
WA —
WAM —
ZPO —
Spill Prevention Control and Countermeasure
Superfund Reform Act
Superfund Report Information System
Site Screening and Assessment
Site Specific Advisory Board
Superfund State Contracts
Site/Spill Identification Number
Site Safety Plan
Superfund Technical Assistance and Response Team
State, Tribal, & Site Identification Center (OERR)
Technical Assistance Grants
Technical Assistance Team
To Be Determined
Technical Direction Document
Toxic Substances Control Act
Total Quality Management
Technical Review Committee
Technical Review Workgroup
Treatment, Storage, Disposal Facility
Unilateral Administrative Order
United States Coast Guard
U.S. Army Corps of Engineers
United States Fish and Wildlife Service
United States Geological Survey
Vessel Response Plan
Work Assignment
Work Assignment Manager
Zone Project Officer
September 16, 1997
xxvi
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OSWER Directive 9200.3-14-lD
Organizational Charts
September 16, 1997
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OSWER Directive 9200.3-14-ID
This Page Left
Intentionally Blank
September 16, 1997
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Office of Solid Waste and Emergency Response
Technology Innovation
Office
Chemical Emergency
Preparedness and
Prevention Office
Office of the Assistant
Administrator (AA, DAA,
DAA, Ombudsman,
Superfund Reauthorization)
Federal Facilities
Restoration and Reuse
Office
Outreach and Special
Projects Staff
Office of Program
Management
Office of Emergency
and Remedial
Response
I
Office of
Underground
Storage Tanks
Office of Solid
Waste
00
i
CD
O"
O
00
3
PI
*)
q
3'
O
r*
<'
CD
VO
to
VO
VO
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•§
cr
ct
vo
VO
U.S. EPA
Office of Emergency and Remedial Response
X
X
Region 3/8
lerated Response Center
omSheckells 603-8916
Tracy Hopkins, Dep. 603-8788
OFFICE DIRECTOR
&
DEPUTY OFFICE DIRECTORS
Community Involvement & Outreeach Center
Suzanne Wells 603-8863
O
CV3
tn
D
§'
o
I'
VO
p
u>
OERR Immediate Office
Director:
Deputy Djrector:
Deputy Director:
Special Assistant:
Attorney-Advisor:
Stephen Luftig
Larry Reed
Elaine Davies
Jan Baker
Gershon Bergeisen
Phyllis Anderson
Senior Process Managers
Superfund Reform Advocate: William Ross 603-8798
Risk: David Bennett 603-8759
Response Decision: Bruce Means 603-8815
Pipeline Integration: John Smith 603-8802
Emergency Response: Phyllis Anderson 603-8727
-------
Office of Enforcement and Compliance Assurance
X
X
Administration and
Resource Management
Support Staff
Enforcement Capacity I
and Outreach Office |
Office of
Compliance
Office of
Criminal
Enforcement
Assistant Administrator for
Enforcement and
Compliance Assurance
Federal Facilities
| Enforcement Office
1 : : — i
and Compliance Staff
Site Remediation and
Office of
Federal
Activities
National
Enforcement
Investigations
Center
Enforcement Staff
Office of
Regulatory
Enforcement
Office of Site
Remediation
Enforcement
Go
CD
T3
5T
cr
o>
vo
vo
O
oo
o
ft
VO
p
Lo
-------
GO
•s
f?
cr
o\
VO
Office of Site Remediation Enforcement
X
X
X
Regional Support Division
Office of Site Remediation
Enforcement
Policy and Program
Evaluation Division
Regions 1,2,6 & 9
Branch
Regions 5, 7, & 10
Branch
Regions 3,4, & 8
Branch
Program Evaluation
and Coordination
Branch
Program Evaluation
Team
Program Coordination
Team
Policy and Guidance
Branch
Policy and Guidance
Development Team
Policy Integration
Team
Remediation
Enforcement
Management Team
1
w
JO
q
I
ct
VO
10
o
p
Lo
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OSWER Directive 9200.3-14-ID
Regional Map
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XXXI
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Superfund/Oil Program Implementation Manual FY 98
Chapter I: Program Goals and Priorities
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Chapter I
Program Goals and Priorities
Table of Contents
CHAPTER I PROGRAM GOALS AND PRIORITIES I-l
Introduction I-l
Superfund and its History I-l
Reauthorization 1-2
Government Performance and Results Act (GPRA) of 1993 1-2
Strategic Plan Requirements 1-3
Comprehensive Mission Statement 1-3
General Goals and Objectives 1-4
Description of How General Goals and Objectives Will Be Achieved .' 1-4
Relationship Between Goals in the Annual Performance Plan and in a Strategic Plan . 1-4
Key Factors Affecting Achievement of General Goals and Objectives 1-4
Program Evaluations 1-5
Annual Performance Plan 1-5
Performance Goals 1-5
Resources .1-5
Performance Indicators 1-5
Verification and Validation 1-5
Program Performance Reports 1-6
GPRA Goals 1-7
Superfund 1-7
Oil 1-8
Overarching Memorandum of Agreement 1-8
Headquarters/Regional MOA Process 1-8
Current Program Priorities 1-10
Protect Public Health and the Environment 1-10
Construction Completions I-10
Innovative Technologies I-11
Promoting a Fundamentally Fairer Superfund Program I-l 1
Enforcement First/Cost Recovery 1-13
Maximizing Program Effectiveness and Efficiency 1-13
Reinventing Site Assessment 1-13
Base Closures '. 1-14
Environmental Indicators 1-14
Environmental Indicators and CERCLIS 3 1-15
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Chapter I
Program Goals and Priorities
Table of Contents
Effective Contract Management 1-16
Building Superfund Partnerships • • • • • • • • H6
Brownfields 1-17
History ... , , 1-17
Brownfields Pilots '• 1-17
Brownfields National Partnership Action Agenda 1-17
Brownfields Tax Incentive/Prospective Purchaser Agreements 1-17
Enhancement of State/Tribal Role 1-18
Superfund Block Funding/EPA Performance Partnership Grants 1-18
Clarifying Policy for NPL Listings 1-18
Piloting State Remedy Selection 1-19
Encouraging a Customer Orientation 1-19
Superfund Reforms (Previously Known as Administrative Reforms) 1-20
Risk Based Priorities for Contaminated Sites 1-22
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Chapter!
Program Goals and Priorities
List of Exhibits
EXHIBIT I-l GUIDELINES FOR OVERARCHING MOA '..... 1-9
EXHIBIT 1-2 TIMELINE FOR DEVELOPMENT OF THE OVERARCHING MOA : 1-10
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CHAPTER I
PROGRAM GOALS AND PRIORITIES
INTRODUCTION
The focus of the Superfund program is to maximize the protection of human health and the environment through
fast, effective cleanup of priority hazardous waste sites and releases. In order to leverage the number of cleanups that
can be accomplished, maximizing PRP participation is a priority. The most essential principle of the Superfund program
is that the worst sites are cleaned up first. In addition, the acceleration of site cleanup and National Priority List (NPL)
construction completion is integral to the success of the program. Implementation of the program also will be facilitated
by a strong collaboration with the States and Indian Tribes. Partnerships are an integral part of the Brownfields program.
Furthermore, collaboration with the Department of Defense will be necessary as the Agency continues to assist in
assessing base closure properties. Finally, the Superfund program will continue to employ Environmental Indicators
(Els) as a crucial tool for evaluation and communication and, this year, the Superfund and Oil programs will implement
the Government Performance And Results Act (GPRA) of 1993.
Superfund and its History
The Superfund program began when Congress passed the Comprehensive Environmental Response, Compensation,
and Liability Act (CERCLA) in 1980. Prior to this, there was no authority for direct Federal response to hazards posed
by abandoned and uncontrolled hazardous waste sites. Existing environmental laws, such as the Resource Conservation
and Recovery Act (RCRA), provided regulatory requirements to address present activities and prevent future
catastrophes, but lacked authority to allow Federal emergency and long-term responses to past disposal problems.
CERCLA is unique in that it provided the first Federal response authority to address the problem of uncontrolled
hazardous waste sites. CERCLA, for the first time, required EPA to step beyond its traditional regulatory role and
provide response authority to clean up hazardous waste sites.
In October 1986, Congress reauthorized CERCLA by enacting the Superfund Amendments and Reauthorization Act
(SARA). The enactment of SARA resulted in the following changes to the Superfund program:
• Increased the size of the Trust Fund to $8.5 billion and refined its finances;
(Note: The Fund is financed by a tax on crude oil and 42 commercially used chemicals.)
• Stressed the development and use of permanent remedies;
• Provided enforcement and settlement tools as well as increased State involvement in the Superfund
Program; and
• Included Title III, a free standing statute, that created the Emergency Planning and Community Right-to-
know Act (EPCRA). EPCRA is designed to help communities prepare to respond in the event of a
chemical emergency, and to increase the public's knowledge of the presence and threat of hazardous
chemicals.
The National Oil and Hazardous Substances Pollution Contingency Plan (NCP) was revised based on SARA and
is the major regulatory framework that guides the Superfund response effort. The NCP outlines a step-by-step process
for implementing Superfund responses and defines roles and responsibilities of EPA, other Federal agencies, States,
private parties, and the communities in response to situations in which hazardous substances are released into the
environment.
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In 1992, EPA introduced the Superfund Accelerated Cleanup Model (SACM). SACM was responsible for
expediting the cleanup of uncontrolled waste sites and redefining the way Superfund progress is measured.
Fiscal Year (FY) 98 is a critical year for the Superfund program as CERCLA, as amended by SARA, is being
considered for reauthorization.
The Superfund program is comprehensive, yet flexible and innovative. Its mission is both immediate and long-range.
Its focus is specific enough to handle individual site cleanup with precision, yet broad enough to encourage advances
in a relatively new scientific and technical field. Today the hazardous waste problem in the United States remains large,
complex and long-term.
Reauthorization
The Omnibus Reconciliation Act of 1990, which extended Superfund authority from FY 90, expired in 1994.
Currently, discussions of Superfund reauthorization are on-going in sub-committees in both the U.S. Senate and the U.S.
House of Representatives. Through the act of appropriations, SARA authority for the Superfund Program has been
extended. Additional information will be provided following enactment of a revised Superfund law.
GOVERNMENT PERFORMANCE AND RESULTS ACT (GPRA) OF 1993
"The Law... requires that we chart a course for every endeavor...see how well we are progressing, tell the public
how we are doing, stop the things that don't work, and never stop improving..."
President William Clinton, 3 AUG 93
Superfund's program planning and reporting requirements have evolved and matured from intricate, internally
focused measures, to aligning and measuring resources with activities and reporting the environmental outcomes of the
work undertaken at hazardous waste sites. The National Goals Project of 2005 and the Chief Financial Officers (CFO)
Act are legislative and administrative initiatives that have guided the evolution of Superfund program management by
gradually shifting the focus from administrative program success to a results-oriented future (e.g., Superfund'
Environmental Indicators) in which the program is held accountable for its actions. These various initiatives will be the
starting point for finalizing the Congressionally-mandated GPRA, which provides the overarching principles for
Superfund program management now and in future years. For additional information regarding GPRA, please see
Appendix G: Superfund Reforms Measures of Success.
In 1993, Congress enacted the Government Performance and Results Act of 1993 (Public Law 103-62) based on
its findings that:
• Waste and inefficiency in Federal programs undermine the confidence of the American people in the
government and reduces the Federal government's ability to address adequately vital public needs;
• Federal managers are seriously disadvantaged in their efforts to improve program efficiency and
effectiveness because of insufficient articulation of program goals and inadequate information on program
performance; and
• Congressional policy making, spending decisions, and program oversight are seriously handicapped by
insufficient attention to program performance and results.1
1 Public Law 103-62, section 2(a)
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The purposes of the Act are to:
Improve the confidence of the American people in the capability of the Federal government, by
systematically holding Federal agencies accountable for achieving program results;
Initiate program performance reform with a series of pilot projects in setting program goals, measuring
program performance against those goals, and reporting publicly on their progress;
Improve Federal program effectiveness and public accountability by promoting a new focus on results,
service, quality, and customer satisfaction;
Help Federal managers improve service delivery, by requiring that they plan for meeting program
objectives and by providing them with information about program results and service quality;
Improve Congressional decision making by providing more objective information on achieving statutory
objectives, and on the relative effectiveness and efficiency of Federal programs and spending; and
• Improve internal management of the Federal government.2
To carry out the provisions of GPRA, agencies are required to generate strategic plans, annual performance plans
and program performance reports. '
Strategic Plan Requirements
Agencies are required to submit the strategic plan no later than September 1997. The strategic plan must be updated
•once every three years or when there are significant policy, programmatic, or other changes to any element of the current
plan. Minor changes to the strategic plan can be incorporated in advance of the three-year cycle by including the changes
in the annual performance plan.3 °
The strategic plan covers a period of six years — the current fiscal year (FY) and the five fiscal years following the
current fiscal year. For example, if the strategic plan is submitted for FY 1998, the plan would cover the fiscal years
1998 through 2003. The elements of the strategic plan required by GPRA are as follows:
Comprehensive Mission Statement
The mission statement is a brief statement which defines the basic purpose of the agency. It focuses on the core
programs and activities, including a brief discussion of the enabling or authorizing legislation and issues Congress
specifically charged the agency to address.5
Public Law 103-62, section 2(b)
OMB Circular A-l 1 (revised 1995), part 2, section 200.4
OMB Circular A-l 1 (revised 1995), part 2, section 200.5
OMB Circular A-l 1 (revised 1995), part 2, section 200.8
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General Goals and Objectives
The strategic plan documents'the long-term programmatic, policy, and management goals of the agency, including
the planned accomplishments and the schedule for their implementation. The general goals and objectives elaborate
how the agency is carrying out its mission. Often this will be in the form of outcome-type goals. •
The criteria for the general goals and objectives are as follows: (a) the goals/objectives need to be precise in order
to direct and »uide the staff to fulfill the mission of the agency; (b) the goals/objectives should be within the
agency's span of influence; and (c) the goals/objectives should be defined in a manner that allows future assessment
to be made on whether the goals/objectives were or are being achieved.8
Description of How General Goals and Objectives Will Be Achieved
This section describes the means the agency will use to meet the general goals and objectives. This includes, when
applicable: (a) operational processes; (b) skills and technologies; and (c) human, capital, information and other
resources/'
Relationship Between Goals in the Annual Performance Plan and in a Strategic Plan
The strategic plan should briefly outline: (a) the type, nature, and scope of performance goals to be included in a
performance plan; (b) the relationship between the performance goals and the general goals and objectives; and (c)
the relevance and use of performance goals in helping determine the achievement of general goals and objectives.
Key Factors Affecting Achievement of General Goals and Objectives
The strategic plan identifies key external factors" that are beyond the Agency's control that could significantly affect
the achievement of the general goals and objectives. The external factor needs to be linked to a goal(s) and describe
how the achievement of the goal could be affected by the factor.12
6 An outcome goal is defined as a description of the intended result, effect, or consequence that
occur from carry out a program or activity.
7 OMB Circular A-11, (revised 1995), part 2, section 200.9
* OMB Circular A-l 1, (revised 1995), part 2, section 200.9
9 OMB Circular A-11, (revised 1995), part 2, section 200.10
10 OMB Circular A-l 1, (revised 1995), part 2, section 200.11
11 External factors may be economic, demographic, social or environmental and the factors may
remain stable or change within a predicted rate or vary to an unexpected degree. Achievement of
goals can also depend on the action of Congress, other Federal agencies, States, local governments,
Tribes, or other non-Federal entities.
12 OMB Circular A-l 1, (revised 1995), part 2, section 200.12
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Program Evaluations
Program evaluations that were used in preparing the strategic plan should be briefly described. Also, a schedule for
future program evaluations needs to be included.13 The development of the strategic plan is considered to be an
inherently governmental function; therefore, it can only be performed by Federal employees.14
Annual Performance Plan
Agencies are required to submit a performance plan to OMB by September 1997. Beginning with fiscal year 1999
the performance plan must be submitted to Congress. The plan must be submitted annually thereafter, and it must be
consistent with the agency's strategic plan.15 The performance plan includes the following:
Performance Goals
Objective, quantifiable, and measurable performance goals should be established that define the level of
performance to be achieved by a program activity. If it is not feasible to express the goals in an objective,
quantifiable, and measurable form, then OMB may authorize an alternate form.
Resources
A brief description of the operational processes, skills and technology, and the human, capital, information, or other
resources required to meet performance goals.
Performance Indicators
Performance indicators to assess the relevant outputs, service levels, and outcomes of each activity.
Verification and Validation
A basis for comparing actual program results with the established performance goals, and a description of the
methodology to be used to verify and validate measured values.16
The development of the annual performance plan is considered to be an inherently governmental function; therefore
it can only be performed by Federal employees.17 '
OMB Circular A-l 1 (revised 1995), part 2, section 200.13
Public Law 103-662, section 306(e)
Public Law 103-62, section 4(a)(29)
Public Law 103-62, section 1115(a)
Public Law 103-662, section 1115(e)
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Program Performance Reports
Agencies are required to submit the program performance report to the President and Congress no later than
March 31,2000.'8 The performance report includes:
• The performance indicators in the agency performance plan with a comparison of the program performance
achieved against the performance goal(s) that were set;
• A review of the success in achieving the performance goals;
• An assessment of the performance plan for the current fiscal year relative to the performance achieved in the
preceding fiscal year;
• An explanation and description where a performance goal was not met, of: (a) why the goal was not met; (b)
plans and schedules for achieving the performance goal; or (c) recommended action if the performance goal
is impractical or infeasible (e.g., current or future funding is inadequate, an unforeseen occurrence impedes
achievement);
• A description of the use and effectiveness of a managerial flexibility waiver in achieving the performance goal.
- An indication of any individual or organizational consequences resulting from a failure, after using the
waiver, to maintain the previous level of performance.
- A brief explanation of the reasons for suspending or ending prematurely any waiver that was in effect for
the fiscal year;
• The summary of the program evaluations completed during the fiscal year;
• Performance trend data for the three preceding fiscal years. This is phased in (e.g., for FY 2000, FY 1999 data;
for FY 2001, FY 1999 - FY 2000 data; for FY 2002, FY 1999 - 2001 data; for FY 2003, FY 2000 - 2002 data);
and
• An acknowledgment of the role, and a description of the contributions made by non-Federal entities in the
preparation of the report.19
Agencies may elect to report on program performance under GPRA, using the annual financial statement required
by the Chief Financial Officer's Act, but the report must be submitted by March 31 of the year following the FY covered
by the report.20 The development of the program performance report is considered to be an inherently governmental
function; therefore, it can only be performed by Federal employees.21
18 Public Law 103-62, section 1116(a)
19 Public Law 103-62, section 1116(d)
-° Public Law 103-62, section 1116(e)
21 Public Law 103-662, section 1116(f)
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GPRA GOALS
The Agency has created 10 strategic goals under GPRA. The Superfund and Oil programs' subobjectives as of
August 15 are categorized under the following Agency goals:
• Better Waste Management and Restoration of Abandoned Waste Sites: America's wastes will be stored
treated, and disposed of in ways that prevent harm to people and to the natural environment. EPA will work
to clean up previously polluted sites and restore them to uses appropriate for surrounding communities.
• Decreased Pollution in Communities, Homes, Workplaces and Ecosystems: Pollution prevention strategies,
along with other approaches aimed at cost-effectively eliminating, reducing, or minimizing emissions and
contamination, will result in cleaner and safer environment in which Americans can live, work, and enjoy. EPA
will safeguard ecosystems and promote the health of natural communities that are so important to human life.
The 15 Superfund and Oil Programs' subobjectives are as follows:
Superfund
• Site Assessment — By 2005, EPA and its partners will decide whether Federal Superfund cleanup is needed
at 85 percent of waste sites listed in CERCLIS, using a Hazard Ranking System that incorporates tribal cultural
and subsistence values.
• Prevention. Minimization or Mitigation of Significant Threats — Each year through 2005, EPA and its partners
will conduct 335 Superfund emergency, time critical and non-time critical removal response actions or EPA
will assist state and local responders to prevent, minimize or mitigate significant human health and
environmental threats posed by releases or potential releases of hazardous substances, pollutants or
contaminants. EPA will maximize PRP participation in conducting/funding response actions based on the
urgency of the situation and/or the capabilities of the PRP in order to leverage resources.
* Construction Completion — By 2005, EPA and its partners will complete construction at 1,200 sites on the
NPL in a cost effective and timely manner. EPA will appropriately leverage PRP resources in this initiative.
Also, the Superfund Federal facilities program will meet statutorily mandated deadlines for various Superfund
activities.
* Enforcement Fairness/Reduce Transaction Cost — By 2005, EPA will continue to maximize the participation
of potentially responsible parties in conducting/funding response actions at Superfund sites while promoting
fairness during the enforcement process. More than 70% of the long-term cleanup actions are now financed
by PRPs, and EPA's goal is to maintain or increase that level of participation. EPA will do this through orphan
share compensation, de minimis settlements, cash-outs, mixed funding, mixed work, alternative dispute
resolution, ability-to-pay settlements, reduced oversight, and interest bearing special accounts where applicable.
At sites where EPA decides to issue Unilateral Administrative Orders (UAOs), EPA will issue or document
non-issuance of UAOs, to 100 percent of non-settling parties (except UAOs for time critical or emergency
removal actions).
• Cost Recovery — By 2005, EPA will address cost recovery at 100 percent of all NPL and non-NPL sites with
total past costs equal to or greater than $200,000 which need to be addressed prior to the expiration of the
Statute of Limitations (SOL).
• Federal Facility lAGs — By 2005, EPA will have in place Interagency Agreements at all current Federal facility
NPL sites.
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. Community Involvement — By 2005, EPA will improve the participation as well as the perception held by
communities and tribes impacted by contaminated waste problems of their direct involvement in every phase
of the waste management and cleanup process and will also improve citizen understanding of site risks at 50
percent of the Superfund sites surveyed. If needed, we will take corrective actions to meet community and tribal
needs.
. State/Tribe Capabilities — By 2005, EPA will further enhance the role of States and Tribes in the
implementation of the Superfund programs, reduce unnecessary overlap between the federal program and the
associated state and tribal programs, and aid in the economic redevelopment of Brownfields sites.
. Brownfields Assessment Cooperative Agreements — By 2005, EPA will sign 200 cooperative agreements for
assessments at brownfields properties and will perform targeted site assessments in 100 cities at brownfields
properties.
. Cooperative Agreements to Capitalize Revolving Loan Fund — By 2005, EPA will sign 240 cooperative
agreements to capitalize revolving loan funds to cleanup approximately 1,000 brownfields properties.
. Federal Facilities Property Transfer — By 2005, the Federal facility program will respond to 100 percent of
all known requests to facilitate and assist with the transfer of Federal properties for use, reuse or redevelopment.
Oil .
. Oil Pollution Prevention — Each year through 2005, 200 additional facilities will be in compliance with the
spill prevention, control, and countermeasure provisions of the oil pollution prevention regulation.
. Oil Spill Response Preparedness — Each year through 2005, 200 additional facilities will be adequately
prepared to respond to oil spills. This subobjective will be measured by the number of approved response plans
prepared in compliance with statutory and regulatory requirements, and to the maximum extent practicable,
tribal traditions and customs.
• Oil Spill Response — Each year, all significant oil spills in the inland zone will be responded to in an effective
manner by the responsible party, the state or local spill responders, or if necessary, EPA.
. Area Contingency Planning — By 2005, EPA will demonstrate significant improvements in area contingency
planning for oil spills.
OVERARCHING MEMORANDUM OF AGREEMENT
In October 1996, the participants of the Regional Accountability Demonstration Pilot developed a proposal for an
Agency guidance process that included the concept of an Overarching Memorandum of Agreement (MOA). The concept
provides a flexible process that will facilitate efforts to identify the top Agency priorities for Headquarters and the
Regions and raise to the forefront the cross-media priorities to which a Regional Administrator may need to direct
resources. In February 1997, the Deputy Administrator sent a memo to the Assistant Administrators (AA) and Regional
Administrators requesting that they begin developing and implementing this new approach. The goal is to finalize the
FY 98 Overarching MOAs by October 31, 1997.
Headquarters/Regional MOA Process
The Overarching MOA is an agreement between all media AAs, each National Program Manager (NPM), and each
Regional Administrator. The document highlights one to three issues identified as priorities for the fiscal year for each
AA as well as the most important regional priorities. The Overarching MOA will address only the top NPM priorities,
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with particular emphasis on an agreement between the NPMs and each Regional Administrator on how media-specific
resources would be directed to cross-media Regional priorities. Exhibit I-l summarizes the guidelines for developing
the Overarching MOA.
EXHIBIT I-l
GUIDELINES FOR OVERARCHING MOA
Between a specific Regional Administrator and all AAs
Includes the most important Regional priorities and the most significant national priorities
A written document that includes discussion of resources: the top priorities and disinvestments from media
resources used for Agency cross-cutting initiatives
Articulates what will and will not be done
Addresses resolution of conflicts across media
Includes RA and NPM agreement on specific prioritization of Regional resources and trade-offs to achieve
Regional/NPM/Agency priorities
Articulates focus of attention for Regional senior management/Regional Administrators/ Deputy Regional
Administrators
The Overarching MOA procedures should be both a "top down" and "bottom up" process, recognizing the need for
political leadership at the "top" to weigh in on special initiatives. It also recogni'zes there is a need for discussions
between NPM-specific MOAs and the overarching "cross cut" agreements. The proposed procedures for developing
the Overarching MOA and NPM-specific MOA includes the following:
• NPMs issue guidance reflecting core measures;
• NPM-specific MOAs are developed within a similar timeframe as the Overarching MOA;
• AAs/Regional Administrators meet to establish top priorities. Regional Administrators identify where they
would need to shift resources to accomplish AA priorities;
"Cross cut" agreement (Overarching MOA) is formulated from the AA/Regional Administrator discussion; and
• Regional Administrators report back to AAs annually on their delivery of MOA commitments.
The MOA process is a three part system consisting of the following:
• Overarching MOA - One overarching MOA will be developed for each Region. It will contain the top three
NPM priorities and Regional cross-media priorities. The overarching MOA will also contain a limited number
of major commitments and provide a rough estimate of resource allocations.
• NPM-specific MOAs/Management Agreements - One management agreement will be developed for each
NPM. It will contain the NPMs directions and priorities, and the core performance measures and associated
commitments. Special Regional arrangements or projects, including unique resource 'allocations, will be
outlined in these MOAs. Reporting requirements will also be discussed.
• Program-specific Technical Guidance - The program-specific technical guidance will provide "how to"
information for programs or initiatives. It does not create new requirements or commitments beyond those
established in NPM-specific or Overarching MOAs. Until further guidance is issued, the FY 98 Superfund
Program Implementation Manual will supply the necessary information to fulfill MOA requirements.
The proposed timing for development of the FY 98 Overarching MOA is outlined in Exhibit 1-2. Though the current
schedule for development of the FY 98 Superfund Program Implementation Manual does not meet what is suggested in
the new process, every effort will be made to transition the development of the FY 99 Manual to meet these dates.
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EXHIBIT 1-2
TIMELINE FOR DEVELOPMENT OF THE OVERARCHING MO A
Activity
Final draft of NPM guidance distributed to Regions
Regions begin discussions with States
Final NPM guidance distributed to Regions
Semi-annual reporting mechanism on current year performance
Regions continue State discussions
Discussions of overarching MOA priorities and NPM MO As
Regions submit proposed program-specific MOAs ,
Date
January 1997
January - March 1997
March 31, 1997
TBD
March - September
January 1 - October
1997
1, 1997
August 1, 1997
October 31, 1997
CURRENT PROGRAM PRIORITIES
The continued focus of the Superfund program in FY 98 is to maximize the protection of human health and the
environment through fast, efficient cleanup of priority hazardous waste sites and releases. Protecting public health
and the environment, promoting a fundamentally fairer Superfund program, maximizing program effectiveness and
efficiency, building Superfund partnerships, and encouraging a customer orientation are Superfund's highest
priorities for FY 98. Superfund also shall work for reauthorization and show progress through Superfund Reforms
and compliance with GPRA.
Protect Public Health and the Environment
EPA is committed to increasing the number of NPL construction completions. To accomplish this objective, the
Agency will ensure that available resources are disbursed in a fiscally sound manner—according to the risk prioritization
scheme, and that appropriate contract vehicles (including performance based contracts and lAGs) are available. In
addition, the Superfund program will provide real time policy calls to promote efficient clean up. Maximizing potentially
responsible party (PRP) involvement will be imperative to meeting this goal.
are
Construction Completions
The goal established by the President is 900 construction completions by the end of calendar year 2000. There are
a sufficient number of sites with final RODs signed to meet this goal. 'Sites in the RD/RA stages will be efficiently
managed to ensure work continues in a timely manner through to construction completion. Regions and States must
continue to work together to identify opportunities for expediting construction completions and response actions.
The primary mission of the Superfund Federal facilities program is to ensure that the hazardous waste sites owned
or operated by the Federal government are addressed and cleaned up as quickly as possible. Regional efforts should
be focused on getting to completion of construction activities at Federal facilities whether they are accomplished
under remedial or removal authority. Meeting these goals will help build the program's credibility, which is vital
to Superfund's long-term success.
4ft
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Innovative Technologies '
Environmental technology development and commercialization are a top national priority for this Administration.
EPA is committed to encouraging the use of new or innovative technologies for contaminated soils and ground
water. Over the next decade, the Superfund program will spend millions of dollars each year to clean up sites
contaminated with hazardous wastes. This commitment will require the use of a wide range of site remediation
processes. While existing technologies to characterize and remediate contaminated sites have ben successful, the
investment in site clean up offers new opportunities for the development of less expensive and more effective
solutions.
The Agency has made considerable progress using new technologies in Superfund. More than half of the recent
remedial clean-up decisions for source control call for technologies that were not available when the law was
reauthorized in 1986. The large cleanup needs remaining in EPA programs, as well as the formidable future
requirements for State and other Federal agencies, provide a continuing impetus to find more effective and less
costly solutions.
The unique and varying problems posed by contaminated sites present a challenge which requires knowledge and
techniques from different technical disciplines. The solutions to these problems are not to be found in existing
design manuals or standards of practice. Rather, EPA is developing procedures as it goes along by creatively
'applying technologies from various industrial applications to unique site conditions. This field of hazardous site
remediation is rapidly evolving and requires considerable effort to remain informed of recent developments.
EPA is attempting to expand the participation of responsible parties in technology development by altering the
Agency's historical role and working more closely with the private sector as a partner with shared objectives.
Conventionally, EPA has been viewed primarily as a regulator, permit issuer, and enforcer. These functions have
kept them at arms length from industry, which tended to view the Agency with a negative bias. EPA has been
working to build new relationships with the private sector which are based on other EPA roles including technology
broker, researcher, and grant maker. These cooperative efforts are expected to result in better directed research and
more joint demonstration projects. A number significant collaborative endeavors in the areas of technology
development and evaluation are currently underway.
The Agency is also very committed to the dissemination of information on technology development, evaluation and
deployment. Electronic information resources offer the best hope for keeping pace with the rapid developments in
this field. The Clean-Up Information (CLU-IN) web site at http://clu-in.com offers waste professionals a rich source
of current information on technologies and markets. The TechDirect monthly electronic-mail service offers
subscribers up-to-date information on new remediation technology products and services developed by EPA.
Federal facility sites provide an excellent testing ground for assessing and demonstrating the use of innovative
technologies. Many Federal facilities offer a number of benefits: sole responsible party; acknowledged liability;
controlled sites; funding; and willingness. For these reasons, the Agency expects to see more public-private
partnerships established at Federal facility sites.
Promoting a Fundamentally Fairer Superfund Program
EPA must assure fair treatment of all PRPs, especially small volume contributors and parties with a limited ability
to pay, who will be targeted for early and prompt settlements. PRP searches to pursue parties identified by other PRPs
will be emphasized, as will Alternative Dispute Resolution (ADR). Allocation of response costs will be emphasized
through pilots and mixed funding will be used where possible. Steps will be taken to reduce private sector transaction
costs associated with cleanup of contaminated sites.
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OSWER Directive 9200.3-14-1D
EPA has initiated several reforms to address enforcement .fairness and reduce transaction costs, including
compensating settlors for a portion of the orphan share, adopting private party allocations, and using special accounts
in order to dedicate settlement funds to specific sites. These initiatives are now a part of the way the Agency does
business.
The initiatives fall roughly into two categories: some are intended to reduce the transaction costs paid by PRPs as
part of the settlement process; others are designed to ensure that PRPs are only asked to assume a fair portion of the
response costs for the sites where they are involved. Specific initiatives include:
• Orphan Share Compensation — EPA will help fund a portion of the Superfund cleanup costs attributable to
parties that are financially insolvent as a way to ensure that remaining viable PRPs are not asked to pay for
substantially more than their share of the site cost.
• Reducing Oversight for Capable and Cooperative PRP's — At Superfund sites where PRPs perform
cleanup, EPA conducts oversight and recovers it costs. As the Superfund program matures, some parties
performing cleanup work have developed a considerable body of experience in conducting response activities
at sites. In recognition of this acquired expertise, and where PRPs have acted cooperatively with EPA
throughout the cleanup and enforcement process, EPA can reduce its oversight (and hence costs to EPA and
PRPs) without compromising the quality of response actions.
• "De Micromis" Settlements — EPA has doubled the threshold amount of waste a party may have contributed
to a Superfund site without being held liable for cleanup costs. The new policy relieves these small contributors
of having to pay for a portion of the cleanup at a site, virtually eliminates their transaction costs, and protects
them from "third-party" suits from larger waste contributors. While EPA will enter into "de micromis"
settlements when requested, the ultimate measure of success of this policy change will be that "de micromis"
parties are no longer pursued and there is no need to enter into such settlements.
• Alternative Dispute Resolution — EPA is expanding its use of ADR as a way to reduce the costs of achieving
settlement with PRPs. PRPs who choose this alternative should see dramatically reduced transaction costs
compared to what would have been encountered during litigation.
• Equitable Issuance of UAOs — EPA will issue UAOs to the maximum manageable number of PRPs wherever
there is sufficient basis to include them. Issuance of these UAOs will compel those PRPs to participate in, and
share the cost of, the specific response actions. The participation of these PRPs, even if only through a financial
contribution, will reduce the portion of the cleanup cost that is borne by PRPs who have settled with EPA.
• PPAs and Comfort/Status Letters — EPA will evaluate all appropriate request for prospective purchaser
agreements and comfort/status letters to assist in the removal of liability barriers for. sustainable
development/Brownfields initiatives.
• Interest Bearing Special Accounts — As a result of a special agreement between OMB, the Treasury
Department and EPA, EPA Special Accounts will now accrue interest. Special, Accounts are created when
PRPs settle their liability at a site with a cash payment toward the future costs of the response. All funds in a
Special Account must be applied to the direct costs of the response covered by the settlement. Now that these
accounts will accrue interest, the total amount of money available from the accounts will increase, providing
EPA with more money to: 1) pay for part of an EPA led response; 2) defray costs EPA incurs at a PRP led site
(e.g., past costs or oversight costs); 3) or help pay the costs of a PRP led response.
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OSWER Directive 9200.3-14-ID
Enforcement First/Cost Recovery
In order to leverage the number of cleanups that can be accomplished, maximizing PRP participation is a priority.
Key areas of emphasis are early initiation of PRP searches, negotiations to secure PRP-lead cleanup activities,
maximizing PRP response leads, addressing cost recovery at all sites with total costs greater than $200,000 prior
to the expiration of the Statute of Limitations (SOL), using ADR to resolve costs owed, and compliance monitoring
to ensure violations are documented. As a result to this approach, PRPs have lead the majority of new cleanup
actions in past years, accelerating the pace of cleanup far beyond what could be done if only Superfund resources
were used. Early involvement by PRPs ensures that their transaction and cleanup costs are kept to a minimum.
Maximizing Program Effectiveness and Efficiency
To maximize the effectiveness and efficiency of the Superfund program, during FY 98, EPA HQ and Regions will
work to:
• Develop appropriate long-term contract strategies;
• Implement fully the CERCLIS 3 system to improve project, program, and enforcement management of
Superfund, and ensure that there are data sponsors for key areas;
• Enhance resource management controls; \
• Adjust administrative and communication processes to suit the new organization;
• Strengthen the program by incorporating quality assurance, peer review, and program evaluation components
into rulemakings, guidances, and policies;
• Make changes in the implementation of the program based on these processes; and
• Enhance the Agency's approaches to post cleanup site management.
Reinventing Site Assessment ,
EPA is considering alternatives to the current site assessment approach (PA, SI, ESI, HRS and integrated
assessment). However, until that review is complete, Regions may use site assessment resources to explore
innovative approaches. Among these are the review of readily available information to "prescreen" sites for
potential CERCLIS entry, conduct streamlined assessments of non-CERCLIS sites in support of Brownfields, and
streamlined risk assessments of CERCLIS sites. Past guidance limited assessments at non-CERCLIS sites.
However, in FY 98 flexibility is appropriate, given the direction and needs of the program. Though a cost limit will
not be specified, those limited but more expensive assessments at non-CERCLIS sites (i.e., those where costs exceed
a PA or ASTM Phase I), will require a greater accounting and tracking, sufficient to justify expenditures under audit
. conditions. At a minimum, there needs to be a description of the assessment work being conducted and the expected
benefits of this work available for review upon request. Given the various priorities and constrained site assessment
resources, a careful balancing of activities is important.
Priorities for site assessment include listing appropriate sites on the NPL, evaluating the backlog of sites in the
CERCLIS inventory to determine high-priority sites and those not requiring Federal response action, and assessing
non-CERCLIS sites in conjunction with EPA's Brownfields initiatives. The percentage of site assessment funding
devoted to each of these priority areas will not be established given variations in Regional workloads; however,
careful balancing of these priorities is important given constrained site assessment resources. Regions and States
with significant CERCLIS backlogs need to ensure steady progress is being made addressing them. Regions and
States without such backlogs can give higher priority to non-CERCLIS sites. In general, ten percent of the site
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OSWER Directive 9200.3-14-1D
characterization funds distributed to the Regions may be used for site assessment activities at sites not in CERCLIS.
EPA Headquarters must approve expenditure of funds beyond this amount.
Base Closures
Under the Base Realignment and Closure Acts of 1988, 1991, 1993, and 1995, 113 military installations are
scheduled for closure or realignment. Of this total, 21 sites are on the National Priorities List (NPL), and there are
a number of non-NPL sites requiring some degree of decontamination. The Agency must continue to assist the
Department of Defense (DoD) in assessing these properties, accelerating cleanup actions wherever possible, listing
sites on the NPL where appropriate, and ensuring that remedies selected at NPL sites meet Superfund criteria. HQ
and Regional managers must work with DoD, State/local governments, and private interests to expedite cleanup and
support responsible transfers of Federal property to non-Federal parties for reuse and economic development.
Environmental Indicators
In 1989, EPA's Administrator directed all EPA programs, including Superfund, to develop Environmental Indicators
(Els) of program progress. Superfund-related indicators were intended to document and communicate incremental
environmental progress towards cleaning up and restoring abandoned hazardous waste sites. Substantial site cleanup
progress towards reducing adverse effects to human health and the environment was not properly communicated
by simply stating the number of sites deleted from the NPL. Superfund Els are designed to communicate that the
true measure of the program's success is tangible progress in protecting human health and the environment through
incremental site cleanup activities. Today, El data are fundamental to the effectiye evaluation and communication
of the Superfund program. Els are the preeminent means for EPA to show how, and to what extent, Superfund
cleanups are reducing risks to people and the environment.
Els are program-based indicators that measure efforts at each stage of Superfund's "cleanup pipeline" toward
addressing hazardous waste problems and achieving established goals. These measurements are achieved by totaling
the following site data:
• Indicator A: Populations Protected quantifies efforts to protect people and the environment from immediate
threats—including supplying safe water, securing sites, and relocating threatened populations.
• Indicator B: Achieving Permanent Cleanup Goals qualitatively and quantitatively delineates efforts to clean up
sites permanently and to fully address persistent threats.
• Indicator C: Bringing Technology to Bear characterizes the volumes of waste handled and the application of
appropriate treatment and containment technologies to hazardous site cleanup.
Data collected via these three indicators shows how Superfund cleanup activities are continually and incrementally
reducing the threats that hazardous waste poses to people and the environment. This incremental environmental
progress reporting is critical to Superfund's efforts to move evaluations of the program away from total site cleanup
and "deletion" from the NPL as being the only measure of Superfund's progress and success.
Therefore, Els serve a number of important purposes for the Superfund program, including:
• A mechanism to improve understanding of site characteristics and cleanup activities on the part of the
community, media, elected officials, and other stakeholders, and to encourage community interest and
involvement in site decisions;
• A data source to produce an extensive informational packet for ongoing Congressional testimony towards
Superfund Reauthorization—based on the compilation of national and regional data reports and a general
overview of current Environmental Indicators;
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OSWER Directive 9200.3-14-1D
• A compendium of technical data on Superfund sites that supplements administrative and budgetary data to
enhance program management capabilities;
• Data points for consolidation into the larger Superfund and OSWER GPRA reporting structures. National and
Regional data are incorporated as an important element in overall Agency planning, measuring, and reporting;
and
• Current Els have served as a baseline for on-going discussions with the Association of State and Tribal Solid
Waste Management Organizations (ASTSWMO) Workgroup to develop a consistent and precise set of metrics
that can be used for all State and Tribal solid waste programs across the country.
In addition to the three current Els, the Superfund program is developing three new Els. These are based on data
currently entered into CERCLIS or data fields that will be included in CERCLIS 3. Indicators being reviewed as
prototypes include the following:
• Indicator D assesses the reduction in human health risks and the elimination of exposure pathways by Superfund
actions. A primary focus of Indicator D—documenting the protection of human health—is accomplished
through site-specific risk reduction case studies. Indicator D assesses the degree to which health threats have
been reduced by the actions taken at hazardous waste sites in terms of cancer risk reduction and non-cancer
hazard reduction.
• Indicator E is being developed to account for the progress being made towards protecting ecological resources.
Indicator E reports the effects of hazardous wastes on flora and fauna surrounding and within Superfund sites,
the remedial actions taken to mitigate ecological stressors, and the actions Superfund has taken to restore critical
ecological resources.
• Indicator L provides a metric of land that is returned—or potentially ready to be returned—to productive use
through site cleanup. Because of the incremental stages inherent in site cleanup, land or acreage returned
potentially can fall into one of four categories: (1) deleted from the NPL; (2) construction completion; (3)
partial deletions (fully remediated parcels of land at sites that otherwise have not yet been entirely cleaned up);
and (4) sites potentially ready to return to productive use. It is expected that this Indicator will not only show
acreage returned, but will also be used in conjunction with Indicator B, medium goal attainment, to indicate
future partial deletion sites.
Environmental Indicators and CERCLIS 3
With the implementation of CERCLIS 3, a number of system and architecture improvements have occurred that
facilitate the update of El and reflect the program's increased understanding of environmental progress tracking.
Improvements to CERCLIS 3 include:
• El data entry aligned with quarterly SCAP reporting, and El audit reports (Site 12) provided to the Regions
semi-annually;
• Reduced El reporting requirements on the Regions due to increased sharing of data between functionally-
linked areas in the new database;
• All data, including goal attainment, tracked for non-NPL as well as NPL sites;
• In some instances (for example, at the site level), goal attainment is automatically calculated;
• Risk data is used to support Indicator D reporting;
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OSWER Directive 9200.3-14-1D
• On-line El reports are available to Remedial Project Managers (RPMs) and Information Management
Coodinators (IMCs) — for example, the national, Regional, and State-level El data compilation reports,
and an El data quality report; and
• An improved El Audit Report (Site-12), to be provided to the Regions semi-annually, is expected to
increase the precision and accuracy of El data by allowing RPMs and IMCs to automatically review data
points outside two statistical deviations, edit El data errors, and include El data omissions regarding their
sites.
Effective Contract Management
Good contract management is a Superfund priority, as well as an Agency-wide priority. The Agency is completing
the final phase of implementation of the Superfund Long Term Contracting Strategy (LTCS).
The LTCS provides the mechanisms for greater contractor flexibility and improved oversight and cost management
by giving Regions full responsibility for contract management. For example, the national Special Analytical Service
(SAS) contract has been totally decentralized. Each Region has implemented their own strategy by taking over the
management of the SAS contract. In addition, Regional contracting officers and project officers are currently
managing a new stable of Regional Superfund contracts in the following areas: Superfund Technical Assistance and
Response Teams (START); Emergency and Rapid Response Services (ERRS); Response Action Contracts (RACs);
and Enforcement Support Services (ESS).
The Agency has established a national workgroup to develop a new Superfund acquisition strategy for the year 2000
and beyond. The group's goal is to develop a new strategy that will continue to ensure the integrity of the Superfund
contracting program while, at the same time provide adequate flexibility to meet program needs and accommodate
changing program directions.
At Federal facility sites, particular attention must be paid to potential or actual conflicts of interest involving EPA
contractors who also may be working for another Federal agency. OECA is developing a strategy for improving
the government's procurement process, addressing inter-agency Conflicts of Interest, and the issue of contractor
indemnification.
Building Superfund Partnerships
FY 98 goals to support building Superfund partnerships and leveraging existing resources are:
• Provide tools for regions to use to promote early community involvement in key clean-up decisions, specifically
regarding land use, risk assessment, and RODs;
• Work with State, Tribal, and business associations to determine ways to improve their capabilities to clean up
hazardous substances and respond to spills; and
• Implement a cooperative program with oil companies to prevent and respond to leaking above ground tanks.
Initiatives include continuing the implementation of the Brownfields Economic Redevelopment Initiative, enhancing
the State/Tribal role, providing States/Tribes with increased funding allocation decision authority, clarifying the policy
for NPL listings, and providing States with an increased role in remedy selection.
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OSWER Directive 9200.3-14-1D
Brownfields
History
EPA's Brownfields Economic Redevelopment Initiative is a comprehensive approach to empower states,
communities, and other stakeholders to prevent, assess, safely clean-up, and sustainably reuse brownflelds.
EPA defines brownflelds as abandoned, idled, or under-used industrial or commercial facilities where
expansion or redevelopment is complicated by real or perceived environmental contamination. Through
the Brownflelds Action Agenda announced by EPA Administrator Carol Browner in January 1995, EPA and
other federal agencies are focusing on clarifying environmental liability and clean-up issues through issuance
of Prospective Purchaser Agreements and Comfort Status Letters, providing funding for demonstration pilot
projects and other search efforts, initiating partnerships with key stakeholders, conducting outreach activities,
implementing job development and training programs, and addressing environmental justice concerns.
The Agency has worked with States, cities, Federally recognized Indian Tribes, community representatives,
other Federal Agencies, and other stakeholders to implement the many commitments made in January 1995.
In mid-June, the Agency accomplished 100 percent of the commitments with the announcement of the last
awards for Brownfields pilots and the signing of the Soil Screening Level guidance. Some of the remaining
issues on liability will require a new Superfund law.
Brownflelds Pilots
As part of the Brownfields Action Agenda, the Agency has awarded 115 Brownfields Assessment
Demonstration Pilots that are funded through cooperative agreements of up to $200,000 each for a two-year
period. Of the 115 pilots, 64 are national pilots selected and funded through EPA HQ. The Brownfields pilot
program is intended to provide EPA, states, local governments, and federally recognized Indian tribes with
useful information and new strategies for promoting a unified approach to environmental assessment, clean-up,
and reuse.
Brownflelds National Partnership Action Agenda
EPA convened an interagency working group of more than 20 Federal departments and agencies to coordinate
brownflelds activities. The workgroup has developed the National Partnership Action Agenda, which includes
specific commitments of resources and activities supporting brownflelds from EPA and its Federal partners
(HUD, HHS, DOC, GSA, DOT and others). The National Partnership demonstrates how coordinated action
on brownfields cleanup and redevelopment can help support efforts at the local level.
Brownflelds Tax Incentive/Prospective Purchaser Agreements
In his January 23, 1996, State of the Union address, the President announced a brownfields tax incentive.
Currently, tax expenditures which increase the value or extend the useful life of the property must be capitalized
for tax purposes, and the costs recovered over the life of the property. This capitalization treatment contrasts
with repair and maintenance expenditures, which are generally deducted in the year incurred. The time frame
for the deducibility of environmental remediation expenditures has long been disputed between taxpayers and
the Internal Revenue Service (IRS). In 1994, the IRS passed a ruling that enables current owners to
immediately write off environmental remediation costs. On August 5, 1997, President Clinton signed the new
tax incentive into law. It provides the same tax incentive for prospective purchasers, allowing them to
"expense" their cleanup costs at brownfields sites over a relatively short period of time rather then "capitalize"
them over the useful life of the property. The brownfields tax incentive sunsets after five years, thereby
covering eligible costs incurred or paid from the date of enactment until December 31, 1999.
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OSWER Directive 9200.3-14-1D
Enhancement of State/Tribal Role
The Superfund program places a very high priority on empowering States and Indian Tribes to play a greater role
in the Superfund program's implementation. The Administration's Superfund reauthorization position and several
Superfund reforms are evidence of this.
During FY 97, EPA HQ, Regions and States/Tribes have been working collaboratively to develop a comprehensive
plan to enhance the role of States and Tribes in Superfund's implementation. This work is coordinated by the
Leadership Integration Team, which includes the leaders of four HQ/Region/State-Tribal workgroups: (1) Readiness,
(2) Assistance, (3) Agreements, and (4) Tribal programs. A State/Tribal Superfund Management Council (SMC)
has met several times to provide executive direction and input to this effort.
Work is geared toward developing a comprehensive plan for enhancing State/Tribal role for review and
consideration by the SMC in September 1997. Based on the SMC's input, broader input from stakeholders will be
solicited and the plan will be presented to the Assistant Administrators (AAs) for OSWER and OECA. Based on
the decisions made by EPA's senior managers, implementation actions will be pursued during FY 98. Among these
actions would be work by EPA Regions and State/Tribes to assess current levels of readiness for various Superfund
program functions, identification and negotiation of financial and technical assistance to enhance readiness, and
development of new program agreements to foster increased State/Tribal responsibilities in Superfund
implementation.
Superfund Block Funding/EPA Performance Partnership Grants
EPA has developed an Agency-wide system for providing States/Tribes with increased funding allocation decision
authority. The National Environmental Performance Partnership System (NEPPS) establishes a structure for
Performance Partnership Grants (PPG), a single grant made to a State or Tribe from grant funds allocated and
otherwise available for existing categorical grants programs. PPGs are voluntary and provide States and Tribes with
the option to combine funds from two or more categorical grants into one or more PPG(s).
The purposes of the PPG are to (1) increase State and Tribal flexibility to address their highest environmental
priorities across all media and establish resource allocations based on those priorities, while continuing to address
core program commitments; (2) more effectively link program activities with environmental goals and program
outcomes; (3) develop innovative pollution prevention, ecosystem, and community based strategies; and (4) develop
partnerships between EPA and the States and Tribes where all parties share the same environmental and program
goals, and deploy their unique resources and abilities to jointly accomplish those goals.
By statute, Superfund monies cannot be included in PPGs, because these funds may not be expended for purposes
other than Superfund. Nonetheless, several States are including their Superfund programs in NEPPS agreements
and, in time, it may be feasible to include Superfund resources in PPGs. In the near-term, Superfund is exploring
the feasibility of Superfund Block Funding awards to move in a direction consistent with PPGs; initial block funding
awards have been made to Minnesota and Colorado. EPA will be working to encourage further progress toward
the goals of flexible funding within the context of strong program commitments to Superfund outcomes.
Clarifying Policy for NPL Listings
During FY 97, OSWER issued two policy statements for listing sites on the NPL. These policies clarify the
program's approach to coordinating these actions with States and Tribes. The November 14, 1996, policy
memorandum entitled "Coordinating with the States on National Priorities List Decisions" provided information
on OSWER's expectations that Regions consult with States and Tribes on sites the Region believes warrant
consideration for listing on the NPL. It required Regions to query States/Tribes regarding their support for NPL
listing as early as practical, ideally prior to initiating a Hazard Ranking System (HRS) package.
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OSWER Directive 9200.3-14-1D
A follow-up memorandum was issued on July 25, 1997, entitled "Coordinating with the States on National Priorities
List Decisions — Issue Resolution Process." This policy clarified the process to resolve any cases where the Region
advocates listing a site on the NPL, but the affected State or Tribe is not supportive of NPL listing. It calls for
formal correspondence and high-level negotiations between the Region and State, and provides a process for the
AA SWER to decide any cases that can not be resolved directly between the Region and State/Tribe.
Both of these policies will remain in effect in FY 98. Current plans are to publish three combined Proposed and
Final NPL Listing rules during the fiscal year. The preliminary schedule calls for combined rules in January, May,
and September, 1998. Also, HQ is available to provide any early technical assistance Regions may desire for NPL
listing actions. Any questions regarding NPL listing policies or technical assistance should be directed to the State,
Tribal and Site Identification Center of OERR.
Piloting State Remedy Selection '
State remedy selection is a Superfund reform that will allow some States, through pilots to select remedies consistent
with CERCLA and the National Contingency Plan (NCP) for some operable units. The goal of this reform is to
provide States with an increased role in remedy selection at NPL sites in certain circumstances. State remedy
selection allows States to take the lead in selecting remedies while ensuring that the cleanup approach will be
consistent with the CERCLA and the NCP. Under this pilot project, the State determines the cleanup approach for
the ROD.
EPA and selected States will enter into agreements through which the States will conduct the remedy selection
process, consistent with applicable laws and regulations, at certain NPL sites. Participating States supervise the
entire remedy selection process with minimal EPA oversight or involvement, giving States significantly more control
over NPL site cleanup.
An EPA HQ and Regional workgroup has developed criteria and a process to solicit new pilot proposals from States,
and a standard evaluation approach to assess the results of previous and new State remedy selection pilots. The
criteria and process will be communicated to the Regions in a pending memorandum from the director of OERR.
During FY 98, Regions will be working with interested States to review and approve new State remedy-selection
pilots, to monitor ongoing pilots, and evaluate previous experiences. This Superfund reform initiative will provide
important lessons for implementation of a more broadly enhanced role for States and Tribes in the Federal Superfund
program.
Encouraging a Customer Orientation
To provide superior customer service, the following priorities have been established in FY 98:
• Enhance service to internal and external EPA Superfund customers, as well as to Regional customers by
providing timely, accurate information;
• Promote effective team performance by mentoring and providing leadership which adapts to the person and the
situation, and by providing tools for teams to use in becoming more effective and in solving performance
problems; and
• Enhance the readiness of Regional staff in dealing with emergency situations.
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OSWER Directive 9200.3-14-1D
SUPERFUND REFORMS (PREVIOUSLY KNOWN AS ADMINISTRATIVE REFORMS)
The Superfund program has achieved substantial progress in cleaning up hazardous waste sites and protecting human
health and the environment during its more than 16 year existence. In addition, there have been serious proposals for
improvement of the statute and the program to make it faster, fairer, and more efficient. Since 1993, EPA has launched
three rounds of reforms to Superfund to address criticisms raised by affected parties and to improve the pace, cost, and
fairness of the program. Each set of reforms consists of various initiatives and pilots focusing on changes to the program
that can be implemented within the existing statutory framework. These reforms were intended to accomplish different
goals, ranging from strengthening of the program prior to reauthorization to testing concepts developed during
Congressional debate on actual legislation. As a result of all the new and continuing reforms, Superfund is a dramatically
different program today than it was at its inception.
EPA and other Superfund stakeholders have worked since the inception of the program to reduce risks, posed by
abandoned and uncontrolled hazardous waste sites. Since 1980, EPA has evaluated more than 40,000 sites, conducted
over 4,600 early actions, and completed construction at over 425 of the more than 1,300 sites on the NPL in an effort
to protect human health and the environment. Much has changed in the Superfund program since 1980. Not only did
SARA, produce significant legislative changes, but EPA also instituted a substantial number of administrative changes.
On June 23, 1993, EPA Administrator Carol Browner announced 17 initiatives aimed at: (1) increasing enforcement
fairness and reducing transaction costs; (2) improving cleanup effectiveness and consistency; (3) expanding meaningful
public involvement; and (4) enhancing the State role in the Superfund program. On September 30, 1994, EPA issued
the "Superfund Administrative Reforms Closeout Report," which identified lessons learned from the first round of
reforms. It also closed out several of the initiatives and identified a group of continuing initiatives to be integrated into
the Superfund program.
In February 1995, EPA announced an additional 12 initiatives designed to improve the Superfund program. This
second round of reforms encompassed six general areas: enforcement; economic redevelopment; community involvement
and outreach; environmental justice; consistent program implementation; and State and Tribal empowerment. Many of
these initiatives included pilots which are continuing to furnish information on the operation and changes in the program.
The specific reforms in Round 2 are:
1. PRP Search Pilots;
2. Expedited Settlements;
3. Allocation Process; . •
4a. Brownfields Pilot Projects;
4b. Community Outreach;
4c. Refining CERCLIS;
4d. Clarifying NPL Sites;
4e. Removing Liability Barriers;
5a. Community Advisory Groups (CAGs);
5b. Technical Assistance Grants (TAGs); , •
6. Community Involvement in the Enforcement Process;
7a. Training and Health Service Assistance to Communities;
7b. Job Training and Development;
8. Guidance for Remedy Selection;
9a. Risk-Sharing: Implementing Innovative Technology;
9b. Risk-Sharing: Identifying Obstacles to Using Innovative Technology;
10. Voluntary Cleanup Program;
11. Integrated Federal/State/Tribal Site Management Program; and
12. State/Tribal Superfund Block Funding.
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OSWER Directive 9200.3-14-1D
In October 1995, EPA Administrator Carol Browner announced the third and final round of "Superfund Reforms."
This third round of "common sense" reforms was intended to assist State and local governments, communities, and
industries involved in cleanups to more easily: (1) make cost-effective cleanup choices that protect public health and the
environment; (2) reduce litigation so more time and money can be spent on cleanup and less on lawyers; and (3) help
communities become more informed and involved so that cleanup decisions make the most sense at the community level.
The specific reforms in Round 3 are:
la. Establish National Remedy Review Board;
Ib. Establish New Remedy Selection Management Flags ("Rules of Thumb");
2. Update Remedy Decisions at Select Sites;
3a. Clarify the Role of Cost in the Remedy Selection Process;
3b. Directive on National Consistency in Remedy Selection;
4. Clarify Information Regarding Remedy Selection Decisions;
5a. Community Participation in Designing Risk Assessments;
5b. PRP Performance of Risk Assessments;
6a. Establish National Criteria on Superfund Risk Assessments;
6b. Standardize Risk Assessments;
6c. Utilize Expert Workgroup on Lead;
7. Establish Lead Regulator for Federal Facilities;
8. Consider Response Actions Prior to NPL Listing;
9. Delete Clean Parcels from the NPL;
lOa. Promote Risk-Based Priority Setting at Federal Facility Sites;
lOb. Promote Risk-Based Priority for NPL Sites;
11. Orphan Share Compensation;
12. Site Specific Special Accounts;
13. Equitable Issuance of UAOs;
14. Revised De Micromis Guidance:
15. Adopting Private Party Allocation;
16. Reduced Oversight for Capable and Cooperative PRPs;
17. Authorize Remedy Selection by States and Tribes;
18. Pilot Community-Based Remedy Selection Process;
19. Establish Superfund Ombudsman in Every Region; and
20. Improve Communication with Superfund Stakeholders.
The FY 98 priorities for Superfund reforms are: (1) consistent implementation of reform initiatives in HQ and the
Regions; (2) refinement of the reforms based on experience to date; and (3) further evaluation of reforms and enhanced
communication of impacts and results to stakeholders. EPA will assure nationally consistent implementation of the
reforms through the following measures: aggressive efforts to assure that program implementers and their managers are
familiar with each reform; increased understanding of the circumstances giving rise to the reforms; and enhanced
management accountability based on appropriate monitoring of results and program accomplishments. EPA will
establish mechanisms to share reform experiences from site-to-site and Region-to-Region, as it continues to refine and
improve the ways the Superfund program is implemented.
The reforms of the second and third rounds have been implemented at various times over the last four years. For
many of the reforms, sufficient time has elapsed to involve the Regions and HQ in collecting and evaluating information
in FY 98. Among other things, EPA will look at the impact of the reforms on the program. The Agency .must assure that
reforms result in a fundamentally different program at the site level. EPA HQ and the Regions must effectively
communicate with stakeholders to increase their understanding of: why the initiatives were developed; what they are
designed to accomplish; and how they have changed the way we implement the program in communities. [For additional
information on this topic, please see the Superfund Reform and Measures of Success section of Appendix C (OECA)and
Appendix G].
1-21
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OSWER Directive 9200.3-14- ID
Risk Based Priorities for Contaminated Sites
EPA considers risk to be a major factor when establishing priorities and allocating resources to contaminated sites.
In order to develop this priority-setting system for funding cleanups, the Superfund program has established a National
Risk-Based Priority Panel for reviewing new start construction activities and for recommending funding strategies for
Fund-lead response actions based upon the principle of "worst problems first."
The panel consists of representatives from the ten Regions and HQ. Panel members are chosen based upon
experience and expertise in construction cleanup and resource management. The panel ranks projects using various
factors such as human health risk, contaminant stability and characteristics, ecological risk, and program management
considerations. Risks to human population exposed and contaminant stability are given the greatest weights. A
cumulative score is tallied for each construction activity reviewed by the panel, and a prioritized list is developed for new
construction activities initiated during the FY. Funds are provided for new cleanup work during the FY based primarily
on the project evaluations and recommendations of the National Risk-Based Priority Panel.
August 21, 1997 1-22
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OSWER Directive 9200.3-14-1D
Superfund/Oil Program Implementation Manual FY 98
Chapter II: Program Planning and Reporting Requirements
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OSWER Directive 9200.3- 14- ID
Chapter II
Program Planning and Reporting Requirements
Table of Contents
CHAPTER II PROGRAM PLANNING AND REPORTING REQUIREMENTS ........................ II- 1
INTRODUCTION .................................. n j
INTEGRATED PLANNING ............................. '..'.'.'.'.'.'. ........................ n"l
INTRODUCTION TO THE SUPERFUND COMPREHENSIVE ACCOMPLISHMENT PLAN (SCAP) ' ' II-2
RELATIONSHIP OF SCAP TO OTHER MANAGEMENT TOOLS ............................. [ H-2
Management Tools
Superfund Information Systems
OVERVIEW OF THE SCAP PROCESS .............................. n 5
SCAP CHANGE CONTROL REQUIREMENTS ............... '.'.'.'. .......................... n"6
HQ/REGIONAL ROLES AND RESPONSIBILITIES ....... ..................... ..... ..... ..^ H-6
Maintaining SCAP in CERCLIS ................................................ n_6
Program Evaluation .............................................. jj_o
PROCEDURES FOR ANNUAL TARGET SETTING n o
WORK PLANNING ............................................... '.'.'.'.'.'.'.'.'.'.'.'. ......... H-9
Planning Process ......... , ...................................... • H-10
CERCLIS Reports for SCAP Planning/Target Setting ....................... '.'.'.'.'.'.'.'.'.'.'.'.'.'.'. 11-10
REGIONAL ACCOMPLISHMENT REPORTING .......................................... n.12
CERCLIS Reports for Accomplishment Reporting ................................... 11-12
HQ EVALUATION OF REGIONAL PERFORMANCE ....................................... H-14
Mid-Year Assessment .......................................... jj _j /
End-of-Year Assessment ............................................. 11-14
Regional Reviews ........................................... . ..... U-16
Management Reporting .......................................... 11-16 '
Superfund Management Reports ...................................... E-16
Annual Reporting Requirements ......................................... jj_jy
SCAP TARGET AND DEFINITION CHANGE REQUESTS .................................. H-18
Maintaining the Planning Estimates/Targets ....................................... jj.2o
SPECIAL REPORTING TOPICS .................................................. n.20
Brownfields ..........
Reinventing Site Assessment
GENERAL WORK PLANNING AND REPORTING REQUIREMENTS ......................... H_2l
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OSWER Directive 9200.3-14-1D
Action Lead Codes [[[ D"^
Lead Changes [[[ •• ............... ""^
Action Qualifiers for Screening and Assessment Actions ................................... n'24
Record of Decision (ROD), ................. ............... ....... ; .................. H-25
Non-Significant Changes ................................. • ...................... n~25
Significant Changes to a Component of a Remedy ..................................... n~26
Fundamental Changes to the ROD ................................................. n'26
RODs Requiring No Physical Construction ...................... ..................... n'26
Anomalies and Phased Projects
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OSWER Directive 9200.3-14-1D
Chapter II
Program Planning and Reporting Requirements
List of Exhibits
EXHIBIT II. 1 FLEXIBILITY SCALE FOR BUDGETING/PLANNING '..-., H-3
EXHIBIT II.2 HQ/REGIONAL INTEGRATED PLANNING RESPONSIBILITIES , '.. H-4
EXHIBIT II.3 HQ/REGIONAL SCAP AND CERCLIS RESPONSIBILITIES II-7
EXHIBIT II.4 EVALUATION RESPONSIBILITIES . H-8
EXHIBIT II.5 PROCEDURES FOR ANNUAL TARGET SETTING H-l 1
EXHIBIT II.6 SCAP PLANNING/TARGET SETTING CERCLIS REPORTS 11-12
EXHIBIT II.7 PROGRAM EVALUATION CERCLIS REPORTS IMS
EXHIBIT II.8 THE REGIONAL EVALUATION PROCESS ; H_15
EXHIBIT II.9 CFO PERFORMANCE MEASURES n-17
EXHIBIT II. 10 CHANGES AND ADJUSTMENTS H-18
EXHIBITII.l 1 SCAPCHANGES AND ADJUSTMENTS ;. . n_i9
EXHIBIT 11.12 ACTION LEAD CODES IN CERCLIS .' H-22
EXHIBIT 11.13 CODINGOFTAKEOVERS H-24
EXHIBIT II. 14 REMEDIAL EVENTS, ANOMALIES, AND PROJECT PHASING II-28
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OSWER Directive 9200.3-14-lD
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OSWER Directive 9200.3-14-ID
CHAPTER II
PROGRAM PLANNING AND REPORTING REQUIREMENTS
INTRODUCTION
The Government Performance and Response Act (GPRA) formalizes the process by which the Agency plans. It
focuses the Agency on planning strategically, developing goals that are outcome-focused, consulting with both internal
and external customers when developing the Agency's strategic plan, and developing performance plans that look toward
intended results, not just inputs and outputs.
The Office of Emergency and Remedial Response (OERR), Office of Site Remediation Enforcement (OSRE), the
Federal Facilities Enforcement Office (FFEO), the Federal Facilities Restoration and Reuse Office (FFRRO), and the
Outreach/Special Project Staff (OSPS) are responsible for overall program planning, including implementing the
requirements of GPRA and reporting on Superfund program accomplishments. The Superfund Comprehensive
Accomplishment Plan (SCAP) is the mechanism used by the Superfund program to plan, budget, track, and evaluate
progress toward site cleanup and report the results to Congress as required under GPRA. The SCAP process serves as
the foundation upon which changes in direction (e.g. Administrative Reforms) and the parameters within which the
program operates, and will operate in the future, will be reflected.
Successful planning requires the reflection and accurate costing of program priorities in the budget and workload
model, and translation of the priorities and resource requirements into specific output commitments in SCAP. Candid
evaluation of performance against these commitments is essential to assess the viability of program priorities, resource
requirements and overall program effectiveness.
INTEGRATED PLANNING
Integrated planning is the responsibility of HQ and Regional program offices, Regional finance offices, the States,
the Office of Regional Counsel (ORC), and DOJ. Information on planned activities should also be coordinated with the
Natural Resources Trustees and the Agency for Toxic Substances and Disease Registry (ATSDR). To provide adequate
resources to achieve Superfund's GPRA objectives and subobjectives, HQ allocates resources within and between
response and enforcement actions. Regions are responsible for providing data on the level of resources needed to
accomplish those priority activities and negotiate commitments consistent with realistic site planning. Regions should
not accept targets that require completion of activities that cannot be funded or staffed within the resources provided.
This requires Regions to reconcile FY 98 targets and their Superfund pipeline with the financial operating plan proposed
by HQ.
Flexibility is greatest in the budget planning years. Realistic outyear planning data (milestones and funding needs)
allows HQ to prepare requests for resources based on Regional needs. Exhibit II. 1 summarizes levels of flexibility as
the operating year is entered. Major phases in the decision making continuum include:
• Formulation of the outyear GPRA annual performance plan and budget occurs 12 to 18 months prior to the FY.
The GPRA annual performance plans includes objective, results-oriented, quantifiable and measurable performance
goals; resources necessary to meet goals; performance indicators to assess outputs, services, and outcomes; and
verification and validation procedures. Development of the budget includes identification of major program issues,
analysis of program costs, and alignment of resources among competing priorities. These activities receive resource
allocations that are established by the Administrator and the Assistant Administrator for the Office of Solid Waste
and Emergency Response (AA SWER) or the Assistant Administrator for the Office of Enforcement and Compliance
Assurance (AA OECA). These allocations balance the needs of the Superfund program with the needs of other
Agency programs.
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OSWER Directive 9200.3-14-ID
• Development of the initial operating plan occurs six months prior to the FY and is finalized before the start of the
FY. The proposed response and enforcement operating plans are developed based on the average amount of money
obligated/tasked by the Region over the past three years. The Federal facility budget is based on Regional requested
needs and an evaluation of prior year expenditures. OSWER and OECA negotiate the final operating plan based
on Regional response to the initial operating plan, the Regional pipeline, past Regional accomplishments and
planned durations/dollars, Regional requests for the budget reserve, and associated SCAP output commitments.
OSWER and OECA provide resources to support the program through the Advice of Allowance (AOA) and
workload process. Regions are expected to work within the annual Regional budgets established at the start of the
year until the mid-year evaluation. Regions have flexibility within the general budget and AOA structure to shift
funds as needed to meet priority activities. (See Chapter III for additional information on shifting funds.) Once the
operating plan is established at the start of the year, additional resources generally can be shifted to a Region only
at the expense of resources from other Regions. However, HQ may shift funds among the Regions depending on
the level of use and need.
• Use of the mid-year evaluation to realign resources in the current FY. Current year resource adjustments focus on
changes needed due to cost and project schedule modifications. Changes may result in shifts within program areas
and among Regions, and revised annual funding levels. Estimates developed in April/May for the upcoming FY
represent the first formal opportunity for changing resources among program areas at a national level. The revised
resource estimates also serve as a "baseline" for examining program needs in the budget year.
Exhibit II.2 describes the information flow and HQ and Regional responsibilities associated with integrated planning.
INTRODUCTION TO THE SUPERFUND COMPREHENSIVE ACCOMPLISHMENT
PLAN (SCAP)
The SCAP process is used by the Superfund program to plan, budget, track, and evaluate progress toward achieving
Superfund GPRA objectives and subobjectives. The SCAP planning process is a dynamic, ongoing effort that has a
significant impact on Superfund resource allocation and program evaluation. Planned obligations and SCAP targets and
measures are generated through SCAP and influence the Superfund budget and evaluation process. SCAP planning is
a day-to-day responsibility of the Regions. An annual process has been established through which HQ and Regions
formally develop work plans for the future. CERCLIS serves as the conduit for the SCAP process by providing both
HQ and Regions with direct access to the same data. With the implementation of the new CERCLIS system, reports can
be produced allowing for daily interactive updates of planning and site cleanup progress information.
RELATIONSHIP OF SCAP TO OTHER MANAGEMENT TOOLS
The SCAP process is crucial to Superfund program planning, tracking, and evaluation. As the Superfund program's
central planning mechanism, it is interrelated with all Agency and Superfund program specific planning and management
systems, including the EPA and Superfund strategic and annual performance plans as required by GPRA, the Superfund
budget, Agency Operating Plan, Memorandum of Agreement/Management Agreements and the Superfund workload
models. SCAP targets/measures are designed to reflect the strategic plans and the Agency's goals, objectives, and
subobjectives for the upcoming year and, as such, is the Superfund Program's Memorandum of Agreement. In some
cases, new SCAP categories are developed, or the projections for SCAP activities are adjusted, to match these goals.
Management Tools
Most of the Superfund program's budget is based on SCAP. The operating year's budget is developed 18 months
prior to its beginning. For example, SCAP data existing in the third quarter of FY 98 will be used to formulate the FY
2000 budget. The site schedules reflected in SCAP serve as the foundation for determining outyear budget priorities,
such as the dollar levels to be requested in the budget and the total level of FTEs to be made available for distribution.
Because dollars for Fund-financed RAs, early actions (remedial authority), and RDs dominate the overall Superfund
budget, it is critical that SCAP identify RD, RA, and early actions (remedial authority) candidates and projected funding
August 21,1997 II-2
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OSWER Directive 9200.3-14-1D
needs. Cost estimates for RAs and early actions (remedial authority) should be derived using the draft FS or ROD
estimates. Brownfields budgets are based on decisions during selection of pilot sites. Progress tracking of the
Brownfields program is being led by the Institute for Responsible Management (IRM) with support from individual
Regions.
The Superfund budget provides the basis for the Agency Operating Plan. The Operating Plan, which is finalized
prior to the FY, establishes the funds available to the Regions for performing Superfund work. Enforcement operating
plans are adjusted in the first quarter of the FY based on Regional contract carryover.
EXHIBIT IL1
FLEXIBILITY SCALE FOR BUDGETING/PLANNING
' - , ' 8 '*'' ' ' 1 " " 'X _,'-," "** '•
«- Minimum ~:,U % V „ '^ '"* , *'- - ~ Mf ' < - , "' \ "/,",' /^Maximum '"^
Operating Year Budget '
. - * (FY98) : ^
1 . Operating Plan Establishes
Funding Ceiling ( 97/4)
1 . Semi-Annual Targets are Set -
Targets can be Changed Only through
Formal Regional Administrator
Request.
1 . Pricing Factors are Set - Cannot
Change Pricing on Actions
1 . Additional Funds can only be
Obtained through Special Requests
1 . Regions have flexibility within
General Budget and AOA Structure to
Shift Funds to Meet Priority Activities
1 . Mid- Year SC AP Evaluation Used
to Realign Current Year Resources
1 . Flexibility on Dollars much
Greater than FTEs through Reg.
Reprogramming
1 . Resources for response actions will
be funded based on the Priority Panel
decisions
Planning Year Budget
~, -3 ;-,,(FY99) * •~L"'" i~
2. Development of Operating Plan
Begins 6 Months Prior to FY; 90
percent of Operating Plan based on
Prior Years's Obligations (Begins
98/2)
2. SCAP Targets finalized in
September
2. Pricing Factors can be changed
through Regional/HQ Consensus
2. The Budget is Set but There is
More Leeway to Make Adjustments
based on Proven Need
2. Regions Request Funds to Meet
Regional Pipeline Goals and national
Program Priorities
2. Final SCAP Targets Set Final
Resource Levels (98/4)
2. Flexibility on Dollars and FTE
may be Constrained by President's
Budget
2. Candidate sites are identified for
the Priority Panel
'„, % Outyear Budget \
.(FY2000),
3. Formulations Begins 12-18
Months Prior to FY; Largely
Dependent on Regional Planning Data
in CERCLIS (Begins 98/3)
3. No Targets Set but Schedules and
Estimated costs for RA and Early
Action Under Remedial Authority Help
to Drive Budget Request
3. Pricing Factors are Subject to
Review
3. Budget is Constrained Based on
Resource Cap Imposed by AA and
Administrator Unless Exception can be
Justified
3. Maximum Flexibility to Design
Budget to Optimize Cross-Program
Priorities
3. N/A
3. N/A
3. N/A
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OSWER Directive 9200.3-14-1D
EXHIBIT 11.2
HQ/REGIONAL INTEGRATED PLANNING RESPONSIBILITIES
Regional Responsibilities
Manage projects to integrate Enforcement and Fund
milestones and to ensure schedules and timelines are met
Involve the State, ORC, and finance offices in the planning
process
Provide accurate, complete, and timely project planning data
in CERCLIS
Follow established planning procedures and requirements so
that HQ has a common basis with which to evaluate Regional
proposals (See Chapter III and the Appendices)
Assess Federal agencies cleanup needs identified as part of
the Office of Management and Budget (OMB) A-106 process
Identify multi-media planning and cleanup opportunities
Recognize that missed commitments severely impact
resource availability
Identify potential unused funds and return them to HQ within
reasonable timeframe for redistribution
HQ Responsibilities
Establish a combined Fund and Enforcement hierarchy of
program priorities in consultation with the Regions to be
used in workplanning and adjustment of targets
Review integrated operating plans and site commitments
proposed by the Regions prior to workplanning
Coordinate OSWER, OECA, DOJ, Financial Management
Division (FMD), and the Office of Administration and
Resources Management (OARM) activities throughout the
planning process
Work with Regional managers to formulate preliminary
resource requests and determine how resources should be
adjusted to meet program priorities
Communicate with the Regions on changes/additions to
SCAP schedules
Provide funding and FTE levels consistent with each
Region's active pipeline phases, shifting Regional resources
if needed to support priority activities
Develop policy and guidance in response to Congressional or
Agency initiatives
To meet the requirements of the Government Performance and Results Act (GPRA) discussed in Chapter I,
Superfund developed its strategic plan and annual performance plan during FY 97. Included in the annual performance
plan are objective, quantifiable, measurable performance goals. The goals established for GPRA supplement the SCAP
goals and will be reported annually by HQ and the Regions to the Office of Chief Financial Officer (OCFO). OCFO will
track Superfund's progress towards achieving GPRA goals as part of the overall Agency performance evaluation process.
GPRA accomplishments will be tracked through CERCLIS. Commencing March 30,2000, an annual performance report
will be submitted to Congress discussing the previous year's program successes and failures in meeting GPRA goals and
objectives.
In FY 98, each Region's FTE distribution continues to be frozen at the FY 90 distribution ratio. While the freeze
ensures that the total Regional Superfund resources are not affected, shifting of resources within the Region among the
different program areas to support Agency/Regional program priorities may occur. This includes shifts between the
response and enforcement programs. All shifts will be based on the national budget (see Chapter III) and program
priorities (see Chapter I). [Note: Shifts between program elements in excess of $500,000 require both HQ and Office
of Management and Budget (OMB) approval.}
Executive Order 12088, Federal Compliance with Pollution Control Standards, directs the head of each executive
agency to ensure that all necessary actions are taken for the prevention, control, and abatement of environmental pollution
with respect to all facilities and activities under control of the agency. The Executive Order directs that an annual plan
be developed and submitted to the EPA Administrator and specifies that in preparing its plan, each executive agency will
ensure that the plan provides for compliance with all applicable pollution control standards. The Federal Agency
Environmental Management Program Planning Guidance (FEDPLAN) is a major compliance assistance tool that
implements the Executive Order, and is used to identify, track, and report environmental projects that will enable an
agency to meet existing requirements or correct identified compliance problems. OMB Circular A-l 1 further requires
August 21, 1997
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OSWER Directive 9200.3-14-ID
that estimates for design and construction of Federal facilities or remedial environmental projects be submitted (for
funding) only after consultation with EPA. EPA will then review each agency's pollution abatement plan during a formal
update cycle, using newly designed computer software called FEDPLAN-PC, that provides direct feedback to each
Federal agency. -
Superfund Information Systems
Effective management of the Superfund program requires the availability of accurate information on Superfund sites
throughout the country. CERCLIS was developed in the mid-1980s as an integrated system to hold national site
assessment, remedial, removal, enforcement, and financial information. To facilitate Regional use of the information
in the centralized CERCLIS data base, a local area network (LAN) version of CERCLIS, called WasteLAN, was
implemented. Beginning in FY 98, all Regions will be using the third generation of CERCLIS, CERCLIS 3, to record
Superfund planning and accomplishment information. CERCLIS 3 has been designed to support the evolving business
needs of the Superfund program. (See Appendix E for more information on CERCLIS 3.)
OVERVIEW OF THE SCAP PROCESS
The SCAP process generates data that fulfill the following functions:
• Tracking of accomplishments against targets/measures;
• Updating planning assumptions (schedules and funds) for the current FY;
• Developing planning data for the upcoming FY; and
V Providing data for outyear budget planning purposes.
In FY 98, the SCAP process will resume a semi-annual work planning schedule. The SCAP planning cycle begins
in late March/April with a review of program progress and ends with a formal work planning session in
August/September. Therefore, it is essential that SCAP data remain current and up-to-date throughout the year and
accomplishments be reported as soon as they occur. Site schedules and financial planning information should be
reviewed and updated on an ongoing basis (at a minimum on a monthly basis).
Following is a summary of the revised SCAP cycle: '
• Late March/April - HQ prepares the response and enforcement Regional operating plan based on the past three years
of Regional obligations and tasking averages. The enforcement program will also consider unliquidated balances
in relation to current invoicing rates. The proposed operating plan will be coupled with an analysis of where each
Region is in the Superfund pipeline. HQ will distribute 90 percent of the budget, holding a 10 percent reserve until
work planning is complete in August/September.
• Mid-May/late June - Regions should do their site planning using CERCLIS as in years past. The Regions should
focus on their individual pipeline, the overall goals and priorities of the program (See Chapter I), and how they can
achieve their portion of the national effort given proposed resources.
• July - HQ generates each Region's proposed workload and budget, reviews past Regional accomplishments and
planned durations/dollars, and reviews Regional requests for the 10 percent reserve. A preliminary round of
Regional conference calls, are conducted to share the HQ analysis with the Regions.
• August/September - Final work planning meetings on Regional budgets and targets occur between HQ and the
Regions.
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OSWER Directive 9200.3-14-1D
• November - Enforcement extramural budget carryover amounts are calculated and the FY Regional enforcement
budget allocation is finalized. Regions revise their final targets based on commitments that were not met the
previous year.
Regions are required to manage their funds and operate within the annual budgets established. Non-RA funds within
the Region's budget must be reprogrammed to meet unexpected needs.
SCAP CHANGE CONTROL REQUIREMENTS
Stability in the SCAP process through the year is essential to the success of SCAP planning and accomplishment
reporting/evaluation procedures. The following procedures are used to control changes to items in SCAP:
• Changes (including additions or deletions) to SCAP targets, measures, definitions, methodologies, planning
processes, accomplishment reporting, financial management, or any other process described in this Manual must
be presented by the Office Director for the program office proposing the change, and receive the
comments/concurrence of OSRE, OERR, FFRRO, OSPS, and OFFE;
• All proposed changes must be sent to the Regions and all other program offices for review and comment prior to
implementation; and
• The decision on whether to proceed with the proposed change must be documented in writing. Copies of all final
decisions should be provided to all program offices and Regions. If the proposed change will be implemented, an
addendum to the Superfund Program Implementation Manual may be issued.
HQ/REGIONAL ROLES AND RESPONSIBILITIES
Maintaining SCAP in CERCLIS
Exhibit II.3 describes the HQ/Regional responsibilities for maintaining SCAP data in CERCLIS.
The Information Management Coordinator (IMC) is a senior position which serves as Regional lead for all
Superfund program and CERCLIS systems management activities. The following lead responsibilities for Regional
program planning and management rest with the IMC:
• Coordinate SCAP planning, development, and reporting;
• Ensure Regional planning and accomplishments are completely and accurately reflected in CERCLIS by working
with data sponsors and data owners;
• Provide liaison to HQ on SCAP and program evaluation issues;
• Coordinate Regional evaluations by HQ; and
• Ensure that the quality of CERCLIS data is such that accomplishments and planning data can be accurately retrieved
from the system.
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OSWER Directive 9200.3-14-1D
EXHIBIT II.3
HQ/REGIONAL SCAP AND CERCLIS RESPONSIBILITIES
Regional Responsibiliti
O_ Responsibilities
Planning and scheduling all actions from site assessment
and PRP search through NPL deletion
Keeping planning and accomplishment data in CERCLIS up
to date, including updating site schedules established at the
ESI/RI stage and cost estimates for long-term action and
early action (remedial authority) when better planning data
become available
Reporting accomplishments in CERCLIS as they occur
Entering and maintaining quarterly planning, budget, and
accomplishment reporting for non-site specific activities
Preparing SCAP amendments and change requests
Tracking and maintaining the enforcement extramural budget
and the Federal facilities budget
Negotiating final SCAP targets and measures
Entering the final budget into CERCLIS
Determining the AOA based on SCAP planned activities in
CERCLIS
Entering and maintaining AOA data in CERCLIS
Responding to Regional requests for changes in plans
through the amendment/change requests process
Utilizing CERCLIS to obtain SCAP, budget and other
Superfund site information to respond to special requests for
information and planning data
Communicating with Regions and HQ offices regarding
changes in budget, SCAP process, Superfund/Oil
Implementation Manual, and other program guidance that
will impact CERCLIS, and subsequently implementing these
changes in CERCLIS
The Budget Coordinator serves as the Regional lead for all Superfund program resource activities. The Budget
Coordinator:
• Coordinates the planning, development and reporting of resources;
• Coordinates the planning and execution of Rregional priorities;
• Communicates and implements national and Regional Superfund budget policies;
• Helps DVIC to ensure Regional resources associated with accomplishments are completely and accurately reflected
in CERCLIS; and
• Provides liason to HQ on SCAP and program issues.
With the implementation of CERCLIS 3, two new roles, Data Sponsor and Data Owners, were identified for
improving the quality of data stored in CERCLIS. Data Sponsors include the Senior Process Managers or program
offices in HQ. Both HQ and the Regions are Data Owners. Following are the responsibilities assigned to each of these
roles:
• Data sponsors
Identify data needs;
Oversee the process of entering data into the system;
Use data for reporting purposes;
Conduct focus studies of the data entered;
Provide definitions for data elements;
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OSWER Directive 9200.3-14-ID
Promote consistency across the Superfund program;
Initiate changes in CERCLIS as the program changes;
Provide guidance requiring submittal of these data; and
Support the development of requirements for electronic data submission.
• Data owners
Enter and maintain data CERCLIS; and
Assume responsibility for the accuracy of the data.
Program Evaluation
HQ and the Regions have different roles and responsibilities in Superfund program evaluation and management, as
shown in Exhibit II.4.
EXHIBIT H.4
EVALUATION RESPONSIBILITIES
Regional Responsibilities
Meet semi-annual SCAP targets and solve performance
problems when they arise
Provide quarterly SCAP data to HQ through CERCLIS
Maintain CERCLIS data quality at high levels for Superfund
program and project management
Negotiate performance standards that provide individual
accountability for targets
Assess Federal agency needs identified during the OMB A-
106 process
Participate in the Regional reviews
HQ Responsibilities
Provide guidance to the Regions for the quarterly reporting,
the mid-year assessment, the year-end assessment, and
Regional reviews
Implement and report on follow-up action items from the
Superfund quarterly and/or mid-year assessment and
Regional reviews
Review performance data reported by the Regions and assist
Regions having difficulties in meeting targets
Conduct Regional reviews
Continually assess program performance and analyze
timeliness and quality of work
Recommend resource reallocation based on Regional needs
and performance
Assure that all staff are informed of results of performance
reporting
Compare Federal agency budget authorities, obligations, and
outlays to monitor cleanup activities
The Superfund evaluation process provides managers with an opportunity to meet program objectives by:
• Examining program accomplishments;
• Analyzing and discussing issues that affect the successful operation of the Superfund program; and
• Initiating changes in program operations or reallocating/redirecting resources.
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OSWER Directive 9200.3-14-ID
The strategy for assessing the performance of the Superfund program is comprised of the following:
• Establishing semi-annual and annual targets and planning measures;
• Quarterly reporting of response and enforcement SCAP accomplishments based on CERCLIS data;
• Semi-annual reporting of response internal measures and Federal facility SCAP accomplishments based on
CERCLIS data;
• Quarterly evaluation of enforcement SCAP accomplishments against internal measures;
•, Semi-annual performance evaluation; and
• Regional reviews.
This strategy enables management to recognize high performance, concentrate Superfund resources in those Regions
that demonstrate success, and provide training and technical assistance to those Regions that are experiencing difficulties.
In addition to the program management and assessment tools traditionally used by OSWER, FFEO will also be
utilizing the A-106 Pollution Abatement Planning Process to ensure sufficient Federal agency funding of response
programs. Modifications to the A-106 process have been made to provide FFEO, Regions, OMB, other Federal agencies,
and Congress with improved information to evaluate accomplishments at Federal facilities.
PROCEDURES FOR ANNUAL TARGET SETTING
The process for developing SCAP targets/measures for a FY begins with the SCAP developed during the third
quarter of the previous FY, as shown in Exhibit II.5. All targets/measures are established in August/September only after
work planning sessions with OERR; OSRE, FFRRO, FFEO, and the Regions. In the Regions, a joint review of
commitments should be undertaken by the program office and ORC. The dates for pulling CERCLIS data that will be
used in developing the proposed Regional operating plan, generating the Regional workload and budget, and negotiations
can be found in the Manager's Schedule of Significant Events presented at the beginning of this Manual.
The Region's focus in work planning should be on its individual pipeline (i.e., more site assessments or more
construction completion oriented), the overall goals and priorities of the program, and how it can achieve its portion of
the national effort given proposed resources. HQ compares Regional plans with program goals and resource allocations.
In addition, HQ reviews past Regional accomplishments and planned durations/dollars to ensure that the Region is
planning the appropriate amount of work given the dollars it is requesting. This provides HQ with a benchmark going
into work planning on what the Region should be able to accomplish based on its unique pipeline status.
WORK PLANNING
Regions are required to keep the SCAP data in CERCLIS up-to-date and accurate. Changes in planning information
(schedules and funds) should be entered into CERCLIS within five days after the Remedial Project Manager (RPM)/On-
Scene Coordinator (OSC)/Site Assessment Manager (SAM) are aware of the need for the change.
II-9 August 21, 1997
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OSWER Directive 9200.3-14-ID
Planning Process
Exhibit II.6 outlines the steps a Region must go through as part of its work planning responsibilities.
As a final check to ensure that SCAP data are up-to-date, Regions should generate CERCLIS SCAP and Audit
reports routinely. At an absolute minimum, reports should be generated prior to HQ development of the proposed
operating plan and in late June for internal review of the planning data in CERCLIS. These planning data should reflect
any adjustments or approved amendments made to the annual plan.
As designated, HQ pulls SCAP reports from CERCLIS. The data in these reports serve as the basis for HQ/Regional
work planning. HQ will perform all work planning sessions based on the information in CERCLIS on these pull dates.
To ensure consistency, the CERCLIS data bases are frozen prior to pulling the reports used for work planning. As a
result, all parties (HQ and the Regions) will have identical data for use during the work planning process.
CERCLIS data quality problems that affect the SCAP update shall be resolved prior to the work planning meetings.
These problems are to be resolved on a Region-specific basis through telephone calls between HQ and the IMC or
program manager.
CERCLIS Reports for SCAP Planning/Target Setting
Exhibit II.6 presents the CERCLIS reports used by HQ and the Regions in the establishment of Regional
targets/measures. Following is a description of these reports:
• The Site Summary Report (SCAP-02) is used by EPA to display enforcement sensitive CERCLIS data for NPL and
non-NPL sites.
• The SCAP Response Financial Report (SCAP-04R), Federal Facility Financial Summary (SCAP-04F), and
Enforcement Financial Summary (SCAP-04E) aggregate dollars by program area and provide both site-specific and
non-site specific backup from CERCLIS. These reports should be used to compare the funding requests with the
Regional budgets. Regions are prompted for "APR," "ALT," "CON," and "TOTAL."
• The OPA Measures Report (SCAP-08) is used by EPA for tracking estimates and accomplishments for reporting
progress made toward achieving program goals under the Oil Pollution Act (OPA).
• The Site Assessment Report (SCAP-13) is used by EPA for reporting estimates, plans, and accomplishments for
SCAP measures. The information provided by this report is used in conjunction with the SCAP-14 and SCAP-18
reports to encompass the entire range of SCAP measures.
• The Superfund Accomplishments Report (SCAP-14) is used by EPA to track targeting, planning, and
accomplishment actions and SACM goals.
• The GPRA Report (SCAP-15) is used by EPA to track GPRA performance measures.
• The Response Budget Control Report (SCAP-21) and Financial Report for Enforcement (SCAP-21E) are similar
to the SCAP-04R and SCAP-04E. They are used by the Regions to track and balance their fiscal year budgets and
by HQ to issue the quarterly Advice Of Allowance (AOA). The report calculates the difference between the Regions
current planned budget and its negotiated budget for each line item category. The report also calculates the AOA
against the amount of funds actually obligated (including open commitments).
• The SOL Management Report (ENFR-17) identifies planned and actual completion dates and obligations for
response activities to assist in calculating the cost recovery Statute of Limitation (SOL).
August 21, 1997 II-10
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OSWER Directive 9200.3-14-ID
EXHIBIT II.5
PROCEDURES FOR ANNUAL TARGET SETTING
.Month \x\ %
April
April/May
May/June
July
August/September
November
Regional Responsibilities \ *
Consult with States and ORC on FY 99 activities
Update site schedules and funding needs based on
plan, Regional pipeline, and national goals and
priorities
Identify primary and alternate candidates for each
target/measure activity by checking the target icon
box on the Regional Planning screen.
• Primary projects have the greatest likelihood
of meeting schedules'and are used to
determine SCAP commitments.
• Alternates are projects that can be
substituted for primary targets that slip or are
deferred.
Participate in HQ conference calls on analysis of
Regional plan
Enter proposed SCAP committments for work
planning. Primary candidate counts become the
basis for committments once target lockout is
selected. These counts can be modified and non
site specific target/measure activity counts can be
added via the Regional Planning estimates/targets
screen.
Participate in work planning sessions to establish
final targets/measures and budget. ,
Update primary candidate designations and
budget data as necessary based on results of work
planning sessions.
Revise targets during open season based on
commitments missed in the prior year
<_ ,, \ s\ HQ ResRonsibilities ,^ -^/-? x
• Distribute draft SPIM for review and comment
• Prepare program and enforcement Regional
operating plan based on past three years
average Regional obligations/tasking
• Analyze Regional pipelines
• Allocate 90 percent of FY budget to Regions
(proposed operating plan)
• Distribute draft SPIM for review and
comment
• Distribute official "call memo" for upcoming
work planning
• Review Regional SCAP and pipeline
workload and budget
• Review past Regional accomplishments and
planned durations/dollars
• Review Regional requests for 10 percent
budget reserve
• Conduct Regional conference calls on the
results of the analyses
• Participate in work planning sessions to
establish final targets/measures and budget
• Send targets/measures and Regional budgets
to AAs for approval
• Update final target/measure committments
in CERCLIS.
• Revise Regional Enforcement operating
plans
11-11
August 21, 1997
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OSWER Directive 9200.3-14-1D
SCAP-2:
SCAP-4E:
SCAP-4F:
SCAP-4R:
SCAP-08:
SCAP-13:
SCAP-14:
SCAP-15:
SCAP-21:
SCAP-21E:
ENFR-17:
EXHIBIT II.6
SCAP PLANNING/TARGET SETTING CERCLIS REPORTS
Site Summary Report
Enforcement Financial Summary
Federal Facility Financial Summary
SCAP Response Financial Report
OPA Measures Report
Site Assessment Report
The Superfund Accomplishments Report
The GPRA Report
Response Budget Control Report
Financial Report for Enforcement
SOL Management Report
REGIONAL ACCOMPLISHMENT REPORTING
Accomplishments data are entered into CERCLIS by the IMC, RPM, OSC, SAM, or other designated program staff
(i.e., PRP search, cost recovery). Data on accomplishments should be entered into CERCLIS within five working days
of the action occurring. Only accomplishments correctly reported in CERCLIS will be recognized by HQ. If a Region
feels that it has correctly recorded an accomplishment that is not showing in the Superfund Accomplishments Report
(SCAP-14), the GPRA Report (SCAP-15), or Site Assessment Report (SCAP-13), please contact the appropriate HQ
office.
Regions should perform data quality checks and make adjustments to CERCLIS if the data base does not reflect
actual accomplishments. In any event, Regions need to be sure the information reflected in CERCLIS is up-to-date and
accurate.
On the fifth working day of each month, HQ will pull data from CERCLIS on a selected number of key indicators
of progress in the Superfund program (e.g., construction completions, early action completions, site characterization
Starts, negotiations, RODs, on-site construction starts, response settlements and referrals, cost recovery
actions/decisions). These numbers will be the official numbers used in any reports of progress given to the
Administrator, the AA SWER, the AA OECA, Congress, and the news media.
On the fifth working day of each quarter, HQ pulls SCAP reports from CERCLIS. Preliminary end-of-year
accomplishments will be pulled on the fifth working day of September; it is the starting point for preparing for the end-of-
year assessment in November. Since many senior managers and Congress request final accomplishments immediately
following the end of the year, CERCLIS accomplishment reports will be pulled on the fifth and the tenth working days
of October and reported in late October to mid-November (see Manager's Schedule of Significant Events at the beginning
of this Manual for specific dates). This allows the Regions ample opportunity to review end-of-year financial data,
ensure that all accomplishments are accurately reflected in CERCLIS, and determine which commitments were not met.
CERCLIS Reports for Accomplishment Reporting
Exhibit II.7 presents the CERCLIS reports HQ uses to evaluate Regional accomplishments. All are used for
reporting and crediting accomplishments for SCAP targets and internal reporting measures. Following is a description
of these reports:
August 21, 1997
II-12
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OSWER Directive 9200.3-14-ID
The SCAP Response Financial Report (SCAP-04R), Federal Facility Financial Summary (SCAP-04F), and
Enforcement Financial Summary (SCAP-04E) aggregate dollars by program area and provide both site-specific and
non-site specific backup from CERCLIS. These reports should be used to compare the funding requests contained
in CERCLIS to the Regional budgets. Regions are prompted for "Primary" or "Alternate."
The Site Assessment Report (SCAP-13) is used by EPA for reporting estimates, plans, and accomplishments for
SCAP measures.
The Super/and Accomplishments Report (SCAP-14) is used by EPA to track both event information reflecting
targeting, planning, and accomplishment actions.
The GPRA Report (SCAP-15) is used by EPA to track GPRA performance measures for which data are stored in
CERCLIS.
Settlements Master Report (ENFR-3) - This report lists all settlements to date. Data are divided by settlement
category and summarized by FY, Region, and remedy.
Litigation Master Report (ENFR-6) - This report lists all litigation cases to date. Data are divided by litigation type
and summarized by FY and Region.
Administrative/Unilateral Orders Issued (ENFR-25) - This report lists AOs and UAOs that have been issued.
Measures of Success Report (ENFR-62) - This report is intended to allow Regions to report progress on newly
developed measures of success relating to enforcement fairness and trust fund stewardship.
Environmental Indicators Report (ENVI-01) - This report provides EPA Regional management with a tool to easily
monitor environmental indicators (El) data.
EXHIBIT II.7
PROGRAM EVALUATION CERCLIS REPORTS
SCAP-4E:
SCAP-4F:
SCAP-4R:
SCAP-13
SCAP-14:
SCAP-15:
ENFR-3:
ENFR-6:
ENFR-25:
ENFR-62:
ENVI-01:
Enforcement Financial Summary
Federal Facility Financial Summary
SCAP Response Financial Report
Site Assessment Report
Superfund Accomplishments Report
GPRA Report
Settlements Master Report
Litigation Master Report
Administrative/Unilateral Orders Issued
Measures of Success
Environmental Indicators
11-13
August 21, 199,7
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OS WER Directive 9200.3-14-1D
HQ EVALUATION OF REGIONAL PERFORMANCE
Accomplishment data for SCAP are pulled from CERCLIS at the close of business of the fifth working day of the
quarter; therefore, it is necessary that the Regions update their accomplishments quarterly prior to the fifth
working day pull date. HQ management tracks and bases its evaluation of Regional program performance on
these data. The data are pulled on a selected number of key indicators of progress in the Superfund program (e.g.,
construction completions, early action completions, site characterization starts, response settlements and referrals, RODs,
on-site construction starts, and cost recovery activities). These numbers are the official numbers used in any reports of
progress given to the Administrator, Deputy Administrator (DA), AAs, Congress, and the media. Detailed HQ
management evaluation occurs at two points during the FY: after the second quarter (mid-year assessment) and after
the fourth quarter (end-of-year assessment). (See Exhibit II.8.) In addition, HQ will be conducting Regional reviews
inFY98.
Mid-Year Assessment
The purpose of the mid-year assessment is to:
• Track Regional progress toward accomplishing SCAP targets;
• Evaluate Regional accomplishments against internal planning and reporting measures;
• Identify and assess problems impacting performance;
• Work with Regions experiencing difficulty in meeting their targets;
• Provide both HQ and the Regions with an opportunity to assess performance;
• Consider the impact of Regional program performance on the Superfund pipeline; and
• Identify trends in program performance and adjust program management strategies accordingly.
On the fifth working day of April, second quarter SCAP data are pulled from CERCLIS. Prior to the mid-year
SCAP briefing (the second week in May), OERR, FFEO, FFRRO, OSRE, and OSPS Directors have briefed the AA
SWER on the steps being taken to ensure the accomplishment of annual targets. To ensure that these actions are
implemented, HQ will track follow-up items and reallocate resources. The results of the mid-year assessment can result
in increases or decreases to third or fourth quarter AOAs. The measure of a Region's ability to meet their targets will
be considered in August when final FY 99 SCAP commitments and Regional budgets are established.
End-of-Year Assessment
Before the end of the fourth quarter, there is a preliminary pull for end-of-year accomplishments (the first week of
September). This pull is used to project end-of-year accomplishments. It is important to stress that this is only a
projection and that the actual pulls, on the fifth and tenth working days of October, are likely to be somewhat different
than the projected numbers. Since many Superfund managers and Congress request final accomplishments immediately,
Regions should make every attempt to update CERCLIS at the earliest possible date and, in no event, any later than the
fifth working day after the end of the year.
August 21, 1997 11-14
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OSWER Directive 9200.3-14-ID
EXHIBIT II.8
THE REGIONAL EVALUATION PROCESS
1st Quarter
* PullCERCLIS
Reports on SCAP
Accomplishments
— ^
2nd Quarter
Mid-Year
Assessment
* Pull CERCLIS
Reports on SCAP
Accomplishments
and Internal
Measures
* Develop Senior
Management
Reports Package
* Evaluate
Program Status
* Distribute
Deputy
Administrator
(DA) Memo
* Brief Senior
Management
»,
3rd Quarter
* Pull CERCLIS
Reports on SCAP
Accomplishments
* Report on
Progress of
Regions Having
Difficulties
Meeting Targets
4th Quarter
End-of-Year
Assessment
* Pull CERCLIS
Reports on SCAP
Accomplishments
and Internal
Measures
* Develop Senior
Management
Reports Package
* Evaluate
Program Status
* Evaluate Annual
Performance and
Produce National
Progress Report
* Provide Input
Into Next FY
Resource
Allocation
Process
* Distribute DA
Memo
* Brief Senior
Management
In November, HQ conducts the official end-of-year assessment. This assessment is an integrated analysis of program
performance activities for the year. The purpose of the end-of-year assessment is to emphasize pipeline issues (e.g.,
slipped targets and their impact on commitments for the next year). The end-of-year review also notes progress toward
implementing strategies identified in the mid-year assessment, and identifies Regions that might require additional
assistance as the new FY begins.
HQ considers the end-of-year assessment in developing the final SCAP target and measures. In this way, the results
of the end-of-year assessment have a double impact.
11-15
August 21, 1997
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OSWER Directive 9200,3-14-lD
Regional Reviews
Before the beginning of the FY, the program offices and Regions identify key program areas and issues in the
strategic plans or individual program management guidance. Those issues that HQ program managers believe to be
important to the general success of the program's mission are selected for discussion during the Regional reviews.
Management Reporting
Periodically, reports are pulled from CERCLIS that provide national information on Superfund planning and
progress. These reports must be consistent with the SCAP data. It is essential that end-of-month CERCLIS data be up-
to-date as of the close of business on the fifth working day of the following month. (Specific dates are listed in the
Manager's Schedule of Significant Events found at the beginning of this Manual.) This is the day that data will be pulled
from CERCLIS. It is strongly recommended that planning and accomplishment data be entered into CERCLIS as actions
and slippage occur.
The following sections provide a brief description of the reports available to support Superfund program
management.
Superfund Management Reports
The implementation of an integrated CERCLIS data base and the improvement of CERCLIS data quality led to the
development of a series of senior management reports. These management tools are designed to supplement
conventional quarterly SCAP accomplishment reporting by providing a more comprehensive examination of
program activity. The format and content of the reports package has evolved over time to address a variety of
project needs, providing EPA senior managers with summary graphic reports and backup site detail information.
The FY 98 packages provide graphical representations of the, status of SCAP targets and accomplishments, as well
as analytic summaries of key aspects of the program including: status and duration of events; trend analysis of PRP
involvement; cost recovery candidates; and the current status of negotiations, settlements, and litigation.
The reports, produced semi-annually, illustrate the progress being made by the Agency in both the movement of
projects through the Superfund pipeline and in the trend toward increased involvement by PRPs. The semi-annual
packages produced by OERR are divided into three distinct sections:
• Report I: SCAP Estimates and Accomplishments - This section graphically displays specific SCAP
program targets and accomplishments by Region, the percent of annual targets achieved in the major
response and enforcement program areas, and annual target and accomplishment totals by SCAP activity
for each Region.
• Report II: Trends Analysis - These graphs present the duration analyses of pipeline events, including
RI/FS, RD, and RA durations, durations from proposed to final listing, and proposed listing to first RI/FS
start, first RD start, and first RA start, for both fund and enforcement. Users can request that the duration
reports be run for a given FY or Region.
• Report III: Superfund Historical Performance - These reports provide graphical presentations of progress
made at NPL and non-NPL sites. Various information, including site, enforcement, budget, and project
data, are used to present an overall picture of the Superfund program activities.
Additional management reports produced by OSRE include:
August 21, 1997 11-16
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OSWER Directive 9200.3-14-1D
• SOL Management Report (ENFR-I7) - This report lists all planned and actual completion dates for
removals, site assessments, and remedial activities by FY quarter. Planned and actual obligations for each
activity are linked with cost recovery actions.
• Negotiation Master Report (ENFR-59) - This report lists all negotiations to-date. Data are divided by
negotiation category and summarized by FY, Region, milestones, completed negotiations, and ongoing
negotiations.
Annual Reporting Requirements
Commencing March 31, 2000, and each year thereafter, the Agency is required to submit to the President and
Congress a GPRA program performance report that summarizes the program performance for the previous fiscal
year. Specifically, each report will (a) review the success of achieving the program's objectives and subobjectives
during the fiscal year, (b) evaluate the annual performance plan for the current fiscal year relative to the performance
achieved toward the performance objectives and subobjectives in the fiscal year covered by the report, (c) explain
and describe where a performance objective/subobjective has not been met, why it was not met, and those plans and
schedules for achieving it.
In addition, the Chief Financial Officer's (CFO) Act of 1990 requires all agencies with a trust fund program to
submit, in addition to an annual financial statement, a report on program performance measures. Agencies have been
directed to establish long-term goals and develop measures that are understandable to the general public. HQ relies
heavily on SCAP data to develop and report on these measures. The FY 98 measures are presented in Exhibit H.9.
EXHIBIT II.9
CFO PERFORMANCE MEASURES
Number of sites on the NPL where the first cleanup investigation has started compared to the total number of sites on the
NPL
Number of non-NPL sites with hazardous releases where EPA has begun a cleanup action
Number of sites on the NPL where a decision has been made about how to proceed with the cleanup of at least a
significant portion of the site compared to the total number of sites on the NPL
Number of sites on the NPL where remedial action has been completed for at least a significant portion of the site
compared to the total number of sites on the NPL
Number of sites on the NPL where cleanup construction is completed compared to the total number of sites on the NPL
Number of enforcement actions taken at NPL sites to have potentially responsible parties (PRPs) conduct or participate
in response activities compared to the total number of sites on the NPL, and the percentage and estimated value of PRP
commitments for response activities at non-Federal facilities sites on the NPL
The total value of cost recovery settlements and judicial actions achieved and past costs considered recoverable
The amount of money EPA has collected from PRPs compared to the total amount achieved in cost recovery settlements
and judicial actions
The estimated amount of money PRPs have committed legally to site cleanup compared to the total amount of funds
obligated by the Superfund enforcement program
The number of de minimis settlements, potential value of these settlements, and the estimated number of settlors
H-17 August 21, 1997
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OSWER Directive 9200.3-14-ID
SCAP TARGET AND DEFINITION CHANGE REQUESTS
After targets have been finalized and funding levels developed, the SCAP process provides the flexibility to modify
plans during the year. Modifications to planned targets are termed SCAP target and definition change requests. Regional
requests for target changes must be provided in writing to the appropriate HQ office.
Target changes require HQ concurrence and approval. Target adjustments do not require HQ approval,
but may require HQ notification. Any 'exceptions to the SCAP accomplishment definitions contained in the
Appendices to this Manual are considered target definition changes.
These exceptions will be reviewed on a case-by-case basis. Regions should note that changes made in CERCLIS
to site schedules and other planning data will not automatically result in changes to SCAP targets.
Target or definition changes that modify the Region's AOA require a financial change request. In these situations,
the financial change request becomes the SCAP target change request. Chapter III outlines the change request
procedures. Exhibit 11.10 lists the major types of Superfund changes and adjustments. Exhibit II. 11 describes the
procedures that must be followed when processing these changes.
EXHIBIT H.10
CHANGES AND ADJUSTMENTS
Situation
Increase Annual Budget
Decrease Annual Budget
Change Annual SCAP Target
Target Site Substitutions
Definition Exceptions
Changes or
Adjustment
Change
Adjustment
Change
Adjustment
Change
Change Request
Required
Yes, if Approved
No
No
No
No
Procedures
See Exhibit II. 1 1 or Chapter III,
Exhibit III.4
Revise CERCLIS; Notify HQ
FARM Staff, or OSRE/OECA or
OFFE or FFRRO
SeeExhibitII.ll
Revise CERCLIS
SeeExhibitII.ll
August 21, 1997
11-18
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OSWER Directive 9200.3-14-1D
EXHIBITII.il
SCAP CHANGES AND ADJUSTMENTS
SCAP CHANGES AND ADJUSTMENTS
SCAP Target
or Definition Exceptions
Increase
Annual Budget
E-mail from Regional
Branch Chief to HQ
Director FARM or Director
PPED, or Director FFRRO
or FFEO explaining
reason for change
E-mail from Regional Branch
Chief to Director FARM, or
Chief PECB, or Director
FFRRO or FFEO.
Copy sent to the Regional
finance office and HQ,
PARM, PPED, FFRRO
or FFEO staff
Director PARM or Director
PPED, or Director FFRRO or
FFEO approves/disapproves
amendment request
AA SWER or Director OSRE,
or Director FFRRO reviews
request and, if approved,
sends E-mail to Regional
program and finance offices
and HQ Office of the
Comptroller (OC)
Region is notified of
outcome
Regional finance office
updates IFMS
HQ OC approves revised
ADA in IFMS
11-19
August 21, 1997
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OSWER Directive 9200.3-14-1D
The Planning, Analysis, and Resource Management (FARM) coordinates these requests for the program office in
OERR. FARM, the Policy and Program Evaluation Division (PPED) of the Office of Site Remediation Enforcement
(OSRE) in OECA, FFEO (Federal facilities enforcement related issues), and FFRRO (Federal facilities non-enforcement
related issues) provide input on SCAP change approval decisions. ,
Although Regions have the flexibility to alter plans, they are still accountable for meeting the targets established at
the beginning of the FY. Changes to SCAP commitments should not be made simply because targets will not be met.
However, in some cases, changes to targets may be necessary and may be revised under the following conditions:
• Major, unforeseen contingencies arise that alter established priorities (i.e., Congressional action, natural disasters);
• Major contingencies arise to alter established Regional commitments (i.e., State legislative action);
• Measure or definition in system is creating an unanticipated negative impact;
• Major shifts in project approach associated with SACM and the need to conduct early response actions; or
• Need to address newly identified site which represents a significant human health or ecological risk.
OSWER and OECA require that all SCAP target and definition changes be submitted to HQ by April 15. SCAP
target changes must be approved by the Directors of PARM, FFEO, FFRRO, and the chief of PPED.
Regions should not initiate any obligations against change requests until the HQ Office of the Comptroller (OC) and
the Directors of the appropriate office approve the revised AOA in IFMS. The site back-up in CERCLIS should be
revised by the Region if the change is approved.
Maintaining the Planning Estimates/Targets
Regions are responsible for initiating the work planning process via the Planning Estimates/Target screen in
CERCLIS. HQ then is responsible for entering the preliminary and final SCAP targets into CERCLIS. Once final
targets are entered into CERCLIS, by HQ, the Regions will be "locked out" from making any changes. During the FY,
HQ will also be responsible for changing the targets if amendments are approved.
In general, HQ does not require site-specific targeting. The two exceptions are Cost Recovery actions at sites with
upcoming Statute of Limitations (SOLs) so that they will be addressed prior to the expiration of the SOL, and de minimis
settlements.
SPECIAL REPORTING TOPICS
Brownfields
The Brownfields Pilot Program is funded using Superfund money under EPA's CERCLA investigatory and removal
authorities. These properties are generally not traditional Superfund sites as they are not highly contaminated and present
lesser health risks. The Brownfields Pilot Program is intended to provide EPA, States, local governments, and Federally
recognized Indian Tribes with useful information and new strategies for promoting a unified approach to environmental
assessment, cleanup, and redevelopment. As such, this program leads to the cleanup of hazardous waste sites, but not
in the traditional context. Therefore, a traditional approach such as SCAP cannot capture the true benefits of the
program. To do this, EPA has signed a cooperative agreement with the Institute for Responsible Management (IRM)
to work with the pilots and track their progress. This progress tracking of the Brownfields program will not be done via
the CERCLIS database as all other Superfund progress is reported. IRM will have the responsibility for reviewing the
goals and objectives, measures of success, and progress of each pilot, and develop a pilot-specific matrix that will track
the progress at each pilot. Through this effort, EPA is capturing the progress at the Brownfields pilots and fulfilling the
spirit of the Government Performance and Results Act (GPRA) intention for financial accountability.
August 21, 1997 II-20
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OSWER Directive 9200.3-14-ID
Reinventing Site Assessment
As the nature of site assessments change, new reporting and accountability challenges to accurately portray the extent
of State, Federal, and local government site assessment activities need to be addressed. Traditional CERCLIS site
assessments, including integrated assessments, should continue to have accomplishments coded into CERCLIS on a
routine (i.e., quarterly) basis. As Regions provide States flexibility in Cooperative Agreement applications and work
plans by expanding the definition of types of assessment activities to be performed, the States also need to provide
accountability for the activities performed through quarterly or annual reporting of the number of sites assessed, types
or nature of assessments performed, and assessment results. Management systems at the State and probably Federal level
will be needed to provide the accountability necessary and, also, to identify program accomplishments.
GENERAL WORK PLANNING AND REPORTING REQUIREMENTS
The following section discusses some of general work planning and reporting requirements of the various Superfund
offices.
Action Lead Codes
Action lead codes identify the entity performing the work at the site. Exhibit 11-12 shows the valid project/action
lead codes in CERCLIS.
A lead code must be placed in CERCLIS for all Actions. Only the leads that are valid for the chosen Action can be
entered into CERCLIS. Leads are not required for SubActions. Regions have the ability to code the lead for project
support activities (i.e., community relations, support agency assistance, etc.) based on Regional preference. All
enforcement actions (i.e., orders, decrees, PRP searches, etc.) performed by EPA should have a lead of "FE", (Federal
Enforcement). All enforcement actions conducted by the State should have a lead of "SE" (State Enforcement).
CERCLIS should not contain planned obligations for projects with "SR" or "SN" leads. No funds will be provided for
activities with these leads. ' . • . •
The Agency acknowledges that States can and have assumed the lead role in reaching an agreement with the PRPs
for response activities at NPL sites without negotiating a cooperative agreement or other formal agreement with EPA
(SR-lead). However, the NCP has determined that in the absence of a formal agreement the State will not be officially
recognized as the "lead agency" for the project and EPA will not concur on the remedy selected.
11-21
August 21,19" 97
-------
OSWER Directive 9200.3-14-1D
EXHIBIT 11.12
ACTION LEAD CODES IN CERCLIS
Lead
Definition
F
RP
PS
SN
SR
CG
MR
SE
FE
EP
FF
TR
CO
OH
SD
Fund-financed response actions performed by EPA (applies to response actions)
PRP- financed response actions performed by the PRP under a Federal order/ CD (applies to response
actions)
Fund- financed response actions performed by a State. Money provided through a Cooperative Agreement
(CA) (applies to response actions)
PRP-financed response actions performed by PRP under a State order/ CD with PRP oversight paid for or
conducted by EPA through an EPA CA with the State, or, if oversight is not funded by EPA, a State
Memorandum of Agreement (SMOA) or other formal document between EPA and the State exists which
allows EPA review of PRP deliverables (applies to response actions)
State-financed (no Fund dollars) response actions performed by the State (applies to response actions)
PRP response under a State order/ CD and no EPA oversight support or money provided through a CA and
no other formal agreement exists between EPA and the State (applies to response actions)
Work performed by the Coast Guard - Limited to removals (applies to response actions)
Work performed by PRP under a Federal CD with an agreement that the Fund will provide some
reimbursement to the PRP preauthorization mixed work, (applies to response actions)
Enforcement actions performed by a State. Money provided through a CA or, if not funded by EPA, a
comparable enforcement document exists (applies to RODs and enforcement actions)
Enforcement actions performed by EPA or work done by enforcement program at private or Federal Facilities
sites (applies to RODs and enforcement actions). Historically (Pre-FY 89) applied to RI/FS and RD response
actions. . . ••
Response actions performed by EPA using in-house resources
Response actions performed by the Federal Facility with oversight provided by EPA and/or the State at sites
designated as Federal Facilities on the NPL (also applies to RODs at Federal Facilities)
Indian Tribal Governments
Community Organization (Only valid for Community Involvement Activities) . . .
Other
State Deferral is a PRP- or State-financed response action at an NPL caliber or proposed NPL site overseen
or conducted by the State pursuant to a deferral agreement with the Regibn.
August 21, 1997
11-22
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OSWER Directive 9200.3-14-ID
Lead Changes
A takeover or lead change occurs when the entity performing a response action changes after the action has started
and credit has been given. Typically, this occurs when a settlement with the PRP had been reached after the action
started. It may also occur when the Fund assumes an RP-lead project because of non-compliance with an Administrative
Order (AO) or Consent Decree (CD).
In order to avoid delays resulting from PRPs assuming the lead during a discrete phase of the project (a takeover),
a policy has been established that limits lead changes from EPA to PRPs in the middle of a phase of the Superfund
process, except in situations where the change will not cause undue delays (OSWER Directive 9800.1-01, Limiting Lead
Transfers to Private Parties During Discrete Phases of the Remedial Process, November 14, 1991). The policy applies
to lead changes from EPA to PRPs only, not EPA takeovers of PRP work or lead changes involving States.
It is expected that much of the early site assessment activities will be Fund-lead. However, response lead changes
(i.e., changeovers) can occur at any of the following points in the process:
• Prior to development of an EE/CA for a NTC removal action;
• Prior to the ESI/RI or RI/FS;
• Prior to the FS if the RI and FS are being done separately;
• After the ROD is signed and prior to beginning the RD or RA or early action (remedial authority); and
• Prior to RA contract solicitation, when funding the RA would have significant implications for the Fund and when
no significant delays will occur.
When circumstances warrant passing the lead to PRPs during a phase of cleanup, steps should be taken to minimize
potential causes of delay. For example, if PRPs assume the lead during the RI/FS, they should be given a limit of 60 days
to enter into an Administrative Order on Consent (AOC) for performing the work.
If a PRP is allowed to take over a response action after dollars have been obligated, the Region should retain the
funds needed for oversight of the entire PRP action and deobligate the rest. Funds that are deobligated may be replaced
in the Region's AOA and used in accordance with the flexible funding priorities outlined in Chapter III. Deobligated
RA or early action under remedial authority funds must be returned to HQ for funding of other priority RA or early
actions under remedial authority projects.
When dollars were originally obligated for Fund-financed actions and a'takeover occurs, Regions will have to
request a change in the account number through their Regional Financial Management Office (FMO). The action code
within the account number changes if the Agency is acting in an oversight role as opposed to performing the response
action.
RP-lead projects that are deficient or where the PRPs are recalcitrant may be addressed by the response program.
If the project requires substantial Fund involvement to correct, it should be coded as a takeover in CERCLIS. If a
takeover of an Action does occur, a new CERCLIS Action must be created. A takeover does not create a new OU. The •
completion date of the original Action must be the same as the start date of the new Action. Takeover/Phased Indicators
must be entered with both Actions. The "Original Action Takeover (TO)" indicator is used to flag the original Action
which has the change in lead, whereas a "New Action resulting from Takeover (TN)" indicator is used to flag the new
Action. Exhibit 11-13 provides an example of the coding takeovers.
11-23
August 21, 1997
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OSWER Directive 9200.3-14-1D
EXHIBIT 11.13
CODING OF TAKEOVERS
Event Takeover
OU
01
01
Action Seq.
Name
Combined 1
RI/FS
PRPRI/FS 1
Lead Actual Actual Takeover/
Start Comp. Phased
Indicator
F 8/1/97 9/1/97 TO
. RP 9/1/97 TN ;
Comments
Fund-financed
Action being taken
over by PRPs
PRP Action
initiated
Action Qualifiers for Site Screening and Assessment Actions ,
Site screening and assessment decisions are made upon completion of each site assessment action. These decisons
identify how the Region will proceed with site response and are recorded in CERCLIS as action qualifiers (Qualifiers).
These decisions include:
• No Further Remedial Action Planned (NFRAP)
No further Superfund remedial assessment work will be taken at a site with a NFRAP determination [Qualifier =
(N) No Further Remedial Action Planned] unless new information warranting such action is presented to EPA.
NFRAP decisions should not be confused with CERCLIS archiving. NFRAP decisions are made from a site
assessment perspective only; they simply denote that further Superfund assessment work is not required based on
currently available information. In contrast, the archival of CERCLIS sites is made only when no further Superfund
interest exists at a site. This means that sites are not archived if there are planned or ongoing removal or
enforcement activities, or if other Superfund interest still exists, even if a NFRAP decision was made at them during
site assessment activities.
• Further Evaluation
Upon completion of each site assessment action, the Region may determine that additional, more complex evaluation
activities are required to determine whether or not the site should be pursued for placement on the NPL. A decision
to conduct further evaluations at a site is recorded differently in CERCLIS depending on what site assessment
activity is being performed.
For PAs, Sis, and SIPs, further evaluation is denoted by either making a decision of higher priority [Qualifier = (H)
High], or lower priority [Qualifier = (L) Low] for further evaluation.
For ESIs and ESI/RIs, further evaluation is denoted by the decision to recommend the site for HRS scoring
[Qualifier = (G) Recommended for HRS Scoring].
Further evaluation activities upon completion of an HRS Package consist of HQ quality assurance and ultimately
a decision on whether to propose the site to the NPL [Qualifier = (0) Site is being considered for proposal to the
NPL]. .
August 21, 1997
11-24
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OSWER Directive 9200.3-14-1D
• Perform an Early Action
Upon completion of PAs, Sis, SIPs, ESIs or ESI/RIs, the Region may determine that a time-critical or non-time
critical (NTC) removal is necessary. The decision recorded for these actions are "Referred to Removal, Needs
Further Remedial (Qualifier = F)" or "Referred to Removal, No Further Remedial (Qualifier = W)."
• Aggregate the Site into Another "Parent" NPL Site
Upon completion of PAs, Sis, SIPs, ESIs, or ESI/RIs, the Region may decide to collapse or combine a site into an
existing "parent" NPL site. This would be done when contamination at a non-NPL site is being addressed by
cleanup actions at an existing NPL site. This most frequently occurs at Federal facilities and sites with an area-wide
groundwater contamination problem resulting from multiple sources. The decision to aggregate a site into an
existing NPL site requires the following information in CERCLIS:
Upon completion of the site assessment activity that led to the decision to aggregate the site, the Region should
enter a qualifier of Site Being Addressed as Part of an NPL Site (Qualifier = A);
The EPA ID number of the parent site must be entered into the Parent Site ID field (Site Parent ID) for the site
which has been aggregated; and "
The NPL Status (Site NPL Status) for the site being aggregated must be changed to 'A' (Addressed as part of
an existing NPL site). ...
After a site is aggregated into the parent site, no further work should be recorded at the aggregate site. Instead, any
further response work performed at the aggregated site should be recorded under the existing parent NPL site,
possibly as a separate operable unit.
• Defer the Site to RCRA (Subtitle C) or the NRC
Upon completion of PAs, Sis, or SIPs at non-Federal facilities, the Region may determine that the site is excluded
from Superfund consideration under policy, regulatory, or legislative restrictions and defer it to either the RCRA
program or to the NRC. [Qualifier = (D) Deferred to RCRA (Subtitle C) or NRC].
Record of Decision (ROD)
After completion of public comment period on the FS and proposed plan for an early action under remedial authority
or long-term action a ROD is prepared. The ROD identifies the Agency's selected remedy. Aftera ROD is signed, new
information may be generated that could affect the remedy selected. Three types of changes can occur:
• A non-significant or minor change;
• A significant change to a component of the remedy; or
• A fundamental change to the overall remedy.
Each of these change categories is discussed below.
Non-Significant Changes
Non-significant changes fall within the normal scope of changes occurring during the Remedial Design (RD)/ RA
or early action under remedial authority. These changes typically result from value engineering. This may cause
minor changes in the type/cost of materials, equipment facilities, services, and supplies. When such changes do not
significantly affect the scope, performance, or cost of the remedy, they are considered minor or non-significant.
11-25
August 21, 1997
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OSWER Directive 9200.3-14- ID
Minor changes should be documented in the post-ROD files. The documentation should not be a part of the
Administrative Record (AR) for the ROD.
Significant Changes to a Component of a Remedy
Significant-changes to a component of a remedy generally are incremental changes to the hazardous waste approach
selected for the site (i.e., a change in timing, cost and implementation). These changes do not fundamentally alter
the overall approach intended by a remedy. When significant changes are made to a component of a remedy, an
Explanation of Significant Differences (BSD) should be prepared.
The BSD is made available to the public and placed in the AR. A formal public comment period, public meeting,
and responsiveness summary are not required. While the BSD is being prepared and made available to the public,
response activities should continue. An BSD is not a new ROD and should not be coded as such in CERCLIS. It
should be entered as a SubAction to the ROD (Action Name = Record of Decision and SubAction Name =
Explanation of Significant Dif). ESDs are being tracked as an internal reporting measure.
Fundamental Changes to the ROD
When the hazardous waste management approach selected in the ROD is reconsidered, it is a fundamental change.
For example, the innovative technology originally selected in the ROD did not perform satisfactorily during the pilot
scale testing, and a decision is made to switch to another remedy. This would represent a fundamental change. If,
as a result of PRP negotiations, the remedy in the ROD is changed from incineration to bioremediation, this also
represents a fundamental change. When such fundamental changes or amendments are made to a remedy, the ROD
process (revised proposed plan, public comment period, public meeting, responsiveness summary, and amended
ROD) should be repeated. The amended ROD must be placed in the AR. A fundamental change to the ROD should
be recorded as a ROD amendment SubAction in CERCLIS (Action Name = Record of Decision and SubAction
Name = ROD Amendment). Regions must enter the actual completion date of the ROD Amendment along with the
Alternative Name, Media Name, Media Type and Selected Response Actions. ROD Amendments are being tracked
as an internal reporting measure.
RODs Requiring No Physical Construction
At some NPL sites, EPA determines through the remedial investigation/feasibility study (RI/FS) (or other means)
that no physical construction is necessary to protect human health and the environment. Such determination may
be documented in no action/no further action RODs and Limited Action RODs requiring natural attenuation,
institutional controls, and monitoring only.
These ROD events should be coded into CERCLIS as follows:
• Action Name = Record of Decision;
• Alternative Name
• Media Name
« Media Type (Air, Groundwater, Leachate, Liquid Waste, Other, Residuals, Sediment, Sludge, Soil, Solid
Waste, Surface Waste); and
August 21,1997 H-26
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OSWER Directive 9200.3-14-1D
• Selected Response Actions
No Action RODs:
• No Action
• No Further Action
Limited Action RODs:
• Monitoring
• Natural Attenuation
• Institutional Controls (Access Restriction, Access Restriction-Guards, Access Restriction-
Fencing, Deed Restriction, Drilling Restriction, Fishing Restriction, Institutional Controls Not
Otherwise Specified (N.O.S.), Land Use Restriction, Monitoring, Recreational Restriction,
Revegetation, Swimming Restriction, and Water Supply Use Restriction)
Anomalies and Phased Projects
Anomalies are those projects that do not fit the normal definitions of pipeline actions. Anomalies can be those
projects that 1) do not receive SCAP credit, but still need to be tracked, or 2) occur out of the ordinary pipeline
progression.
An example of a SCAP anomaly occurs when different entities conduct FS work simultaneously that lead to a single
ROD. Since it is inconsistent to give credit for more FS starts than completions (the Agency would have to explain why
FS work is not leading to a ROD), only one FS can be credited for starting. These projects are coded under the same
OU with multiple sequence numbers and a Takeover/Phased Indicator of "Other Completion Anomaly (OC)." Phased
Starts (PS) and Phased Completes (PC) are used to identify phased RDs and RAs under the same OU. (See Exhibit 14)
At the RD and RA stages, a project may be phased or time-sequenced to accelerate the cleanup effort. Phasing is
complementary to OUs. Whereas OUs break large, complex projects into smaller, more manageable work elements,
phasing is a method to accelerate the implementation of the OUs. Phasing manipulates the internal steps required to
complete each OU, thereby optimizing the overall schedule; for example, a RA that requires site clearing prior to
constructing an incinerator. The clearing would be one phase of the RA, while the construction of the incinerator would
be a second phase.
Regions enter a separate RA for each phase. Phases of each response action are shown in CERCLIS by the use of
the Takeover/Phased Indicator (See Exhibit 11-14). Funding required for each of the phases is tracked against the phase.
However, the duration of the project is calculated from the date the first phase started to the date the last phase is
completed.
H-27 August 21, 1997
-------
OSWER Directive 9200.3-14-1D
EXHIBIT 11.14
REMEDIAL EVENTS, ANOMALIES, AND PROJECT PHASING
o
ou
01
01
01
01
01
01
01
01
Action Seq.
Name
PRP 1
RI/FS
PRP 1
FS
PRP 2
FS
RO1 1
AN01
RD1
RD2
RA1
RA2
Lead
RP
RP
RP
FE
RP
RP
RP
RP
Plan
Start
96/2
97/3
97/3
99/1
99/2
00/3
00/3
Plan
Comp
98/3
98/3
98/3
98/3
00/2
00/3
01/1
04/1
Takeover/
Phased
Indicator
OC
OC
.PC ,
PS
PC
PS
Comment
No Credit for
Completion
No Credit for
Completion
PHASE!
PHASE II
PHASE I
PHASE II
August 21, 1997
11-28
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OSWER Directive 9200.3-14-1D
Superfund/Oil Program Implementation Manual FY 98
Chapter III: Superfund Financial Management
August 21, 1997
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OSWER Directive 9200.3-14-lD
This Page Intentionally
Left Blank
August 21, 1997
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OSWER Directive 9200.3-14-1D
Chapter III
Superfund Financial Management
Table of Contents
CHAPTER III SUPERFUND FINANCIAL MANAGEMENT HI-1
Introduction jjj_j
Brownfields jjj_,
Reinventing Site Assessment jjj_j
Outyear Budget Development jjj_2
FY 99 Budget Development jjj_2
Development of the FY 98 National Budget ni-5
FY 98 Regional Budget '.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'." IH-6
Response Budget jjj_g
Enforcement Budget jjj_7
Federal Facilities Budget III-8
Site-Specific Travel jjj_g
Regional Analytical Budgets jjj_9
Relationship Between SCAP and the Annual Regional Budget ni-9
Initial Annual Regional Budget Development jjj_9
AOA Utilization . . . 111-10
Advice of Allowance Procedures and Financial Reporting Requirements HI-11
Regional Allowances jjj_j j
The AOA Process 111-12
AOA Flexibility 111-14
RA Allowance III-l 6
Flexibility in the Other Allowances 111-16
AOA Change Request Procedures 111-17
Relationship Between SCAP and the AOA ni.19
Superfund Financial Management 111-26
Financial Management Tools and Systems 111-28
"ZZ", "WQ", and "00" Accounting Information 111-30
Regional Financial Management Responsibilities 111-30
HQ Financial Management Responsibilities 111-30
Financial Management and Funding Processes 111-30
Financial Management Funding Mechanisms 111-30
Contracts 111-30
Interagency Agreements (lAGs) 111-31
Cooperative Agreements (CAs) jjj_3 j
Superfund State Contracts (SSCs) 111-31
August 21, 1997
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OSWER Directive 9200.3-14-1D
Chapter III
Superfund Financial Management
Table of Contents
Cost Recovery/Cost Documentation • • 111-45
Handling Financial Data in the CERCLIS Environment 111-48
Entering Response and Federal Facility Data into CERCLIS : HI-48
Entering Enforcement Extramural Budget Data into CERCLIS • • • HI-48
Correcting Financial Data • • • m~48
August 21, 1997
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v OSWER Directive 9200.3-14-1D
Chapter III
Superfund Financial Management
List of Exhibits
EXHIBIT III.l BUDGET TIMELINE ffl-4
EXHIBIT III.2 OPERATING PLAN BUDGET AND ADVICE OF ALLOWANCE CATEGORIES III-IO
EXHIBIT III.3 THE ADVICE OF ALLOWANCE PROCESS ni-13
EXHIBIT III.4 ACTIONS REQUIRED FOR REPROGRAMMING OF ALLOWANCES HI-15
EXHIBIT III.5 CHANGE REQUEST REQUIRED HI-18
EXHIBIT III.6 AOA CHANGE PROCESS PROCEDURES HI-19
EXHIBIT III.7 BUDGET SOURCES m.20
EXHIBIT III.8 WHO PAYS FOR WHAT ni-21
EXHIBIT III.9 FINANCIAL MANAGEMENT CONTACTS IH-27
EXHIBIT III. 10 FINANCIAL MANAGEMENT TOOLS AND SYSTEMS m-28
EXHIBIT III.l 1 ACCOUNT NUMBER STRUCTURE HI-29
EXHIBIT III. 12 REGIONAL FINANCIAL MANAGEMENT RESPONSIBILITIES 111-32
EXHIBIT III. 13 DESCRIPTION OF REGIONAL PROGRAM OFFICE
FINANCIAL MANAGEMENT STAFF m_33
EXHIBIT III. 14 RESPONSIBILITIES OF REGIONAL PROGRAM OFFICE
FINANCIAL STAFF , ni_34
EXHIBIT III. 15 FINANCIAL RESPONSIBILITIES OF HQ MANAGEMENT OFFICES 111-35
EXHIBIT III. 16 FINANCIAL MANAGEMENT AND FUNDING PROCESSES 111-36
EXHIBIT III. 17 HANDLING FINANCIAL DATA IN THE CERCLIS ENVIRONMENT HI-38
EXHIBIT III. 18 EPA FORMS COMMONLY USED FOR SUPERFUND PROCUREMENTS IH-39
EXHIBIT III. 19 FINANCIAL MANAGEMENT OF SITE-SPECIFIC CONTRACTS 111-40
EXHIBIT 111.20 FINANCIAL MANAGEMENT OF NON-SITE SPECIFIC CONTRACTS 111-41
EXHIBIT 111.21 DISBURSEMENT IAG FINANCIAL MANAGEMENT IH-42
EXHIBIT 111.22 ALLOCATION TRANSFER IAG FINANCIAL MANAGEMENT 111-43
August 21, 1997
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OSWER Directive 9200.3-14-ID
Chapter III
Superfund Financial Management
List of Exhibits
EXHIBIT 111.23 OPERATIVE AGREEMENT FINANCIAL MANAGEMENT HI-44
EXHIBIT IIL24SSC FINANCIAL MANAGEMENT • - m-46
EXHIBIT 111.25 COST RECOVERY REFERRAL DEVELOPMENT PROCESS HI-47
EXHIBIT 111.26 CORRECTIONS TO FINANCIAL INFORMATION , HI-49
August 21,1997
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OSWER Directive 9200.3-14-ID
CHAPTER III
SUPERFUND FINANCIAL MANAGEMENT
INTRODUCTION
This chapter discusses the impact of the Superfund Comprehensive Accomplishments Plan (SCAP) process on the
development of the outyear budget, the Regional operating plan and the quarterly Advice of Allowance (AOA) process
and outlines Superfund financial management responsibilities. General information on the Fiscal Year (FY) 98 response;
enforcement, and Federal facility budgets is provided in this chapter.
The following Headquarters (HQ) offices are responsible for budget formulation:
• Planning, Analysis and Resources Management (FARM) Center in the Office of Emergency and Remedial Response
(OERR) - Response;
• Program Operations Staff (POS) in the Office of Site Remediation Enforcement (OSRE); and
• Federal Facilities Restoration and Reuse Office (FFRRO).
There will be differences in the way financial management information is reported by the Regions during FY 98.
Beginning in FY 97, actual extramural financial information from the Integrated Financial Management System (IFMS)
was downloaded to the Comprehensive Environmental Response, Compensation and Liability Information System
(CERCLIS) on a nightly basis; the information is no longer manually entered into CERCLIS by the Regions. For a
more detailed discussion of the IFMS transfer and related changes to current financial management processes, see the
section of the chapter entitled, "Handling Financial Data in the CERCLIS Environment."
BROWNFIELDS
As of August 1, 1997, EPA has awarded 115 pilot cooperative agreements to perform site assessments using
CERCLA Section 104 investigative authorities. The deadlines and requirements for applications were published in the
Federal Register. Panels of Regional representatives, Headquarters (HQ) representatives, and representatives from other
Federal agencies conducted the preliminary review of the applications. Final awardees were selected by senior OSWER
officials. The Regions then negotiated a work plan with the awardees and the commitment documents were sent to HQ
for signature and distribution of funds. Also, criteria and guidelines have been developed to award cooperative
agreements to capitalize revolving loan funds at the properties where site assessments have been completed. These
awards will be made in FY 97 to the first 29 assessment pilots on a competitive basis. Funds have been issued to the
Regions to support the development of the infrastructure to conduct State Voluntary Cleanup Programs (VCP).
Additionally, there is now an action code in CERCLIS that can be used to track dollars for Brownfields (Action Name
= Brownfields). The code allows for both site- and non-site specific entry of extramural financial information associated
with national Brownfields activities (VCP Core Funding, Brownfields Assessment).
REINVENTING SITE ASSESSMENT
EPA is considering alternatives to the current site assessment approach (PA, SI, ESI, HRS and integrated
assessment). However, until that review is complete, Regions may use site assessment resources to explore innovative
approaches. Among these are the review of readily available information to "prescreen" sites for potential CERCLIS
entry, conduct streamlined assessments of non-CERCLIS sites in support of Brownfields, and streamlined risk
assessments of CERCLIS sites. Past guidance limited assessments at non-CERCLIS sites. However, in FY 98 flexibility
is appropriate, given the direction and needs of the program. Though a cost limit will not be specified, those limited but
more expensive assessments at non-CERCLIS sites (i.e., those where costs exceed a PA or ASTM Phase I), will require
a greater accounting and tracking, sufficient to justify expenditures under audit conditions. At a minimum, there needs
III-l August 21,1997
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OSWER Directive 9200.3-14-1D
to be a description of the assessment work being conducted and the expected benefits of this work available for review
upon request. Given the various priorities and constrained site assessment resources, a careful balancing of activities
is important.
OUTYEAR BUDGET DEVELOPMENT
The process of formulating the budget begins not later than the spring of each year, at least nine months before the
budget is transmitted and at least 18 months before fiscal year begins. This means that SCAP data existing in the third
quarter of FY 98 is used to formulate the FY 2000 budget request. The schedules for all response, enforcement, and
Federal facilities activities, and the planned obligations for Remedial Actions (RAs) and early actions (remedial
authority) reflected in CERCLIS serve as the foundation for determining the dollar levels to be requested in the budget
and the total level of FTEs to be made available for distribution. Following are the procedures for developing the outyear
budget:
• In June of 1998, the OSWER and OECA strategic plans are updated and the FY 2000 goals and priorities are
presented to the Administrator. The Administrator may change the priorities based on overall Agency goals;
• Once a decision is made by the Administrator on the final Superfund goals, the site data in CERCLIS are Devaluated
to ensure that the dollar levels accurately reflect these goals;
• Budget requests that reflect both the OSWER and OECA strategic plans and the data in CERCLIS are prepared and
sent to the Administrator in July;
• The Administrator makes any changes to the budget requests and passes them back to the program offices;
• The budget requests are revised and submitted to the Office of Management and Budget (OMB) in September;
• OMB makes any changes to the budget requests and passes them back to EPA in November;
• If the program offices do not agree with the budgets that are passed back from OMB, EPA initiates an appeals
process in December; and
• In mid-January, EPA prepares and submits the President's budget request.
FY 99 BUDGET DEVELOPMENT
The process for developing the FY 99 budget is essentially the same as the process being followed for the
development of the outyear budget. The base budget process that is being used to develop the FY 99 budget consists
of the following phases and builds on the budget that was developed for FY 98, the Agency's strategic plans, and
investments for the future.
• Program Characterization — The first phase consists of a thorough program characterization by the HQ program
offices with the participation of the lead Region. This characterization groups related activities within each program
area. It identifies the statutory basis for the activities, the associated resources, the type and number of outputs, the
environmental results derived from these activities, and the major strategic choices facing each program.
The program offices also summarize the FY 98 resource distribution by function (e.g., regulation development,
enforcement, research) and major statutes. This phase is completed in mid-May.
August 21,1997 HI-2
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OSWER Directive 9200.3-14-ID
Review Phase — During the second phase, HQ program offices meet with the Administrator to discuss the program,
strategies, and goals. There also are small group meetings of Office/Division Directors and the Planning and
Budgeting Workgroup to review FY 98 budget information and make recommendations on issues that should be
considered in developing the FY 99 budget. This phase is completed at the end of May.
Budget Formulation — The third phase is the actual development of the budget. This phase is a multi-step process
that begins in June with an Assistant Administrator (AA)/Regional Administrator forum to discuss FY 98 budgeting,
recommend Agency priorities for FY 99, and set long-term Agency direction.
The Administrator then provides guidance on investment priorities for FY 99 and overall policy guidance for budget
formulation. Using this guidance, the program offices develop and submit the budget to the Office of the
Comptroller (OC) at the end of June.
The program offices and lead Region make presentations to the Administrator/Deputy Administrator on the program
priorities in mid-July. The Administrator passes back the budget at the end of July, and the program offices begin
development of the budget for submission to OMB.
Based on the Administrator's priorities and results of the budget formulation process, a strategy for presenting
the Agency's budget to OMB is developed. The focus is on describing the Agency's long-term goals-and how
the FY 99 request will, or will not, support them. The budget is submitted to OMB in October.
Budget Approval — Congress appropriates dollars to the Agency during the first quarter of the FY. EPA then
submits the Agency Operating Plan to Congress for approval. Once approved by Congress, the operating plan is
implemented by the Agency.
Exhibit III. 1 provides a timeline of the FY 2000, FY 99, and FY 98 budget/financial activities.
III-3
August 21, 1997
-------
OSWER Directive 9200.3-14-lD
EXHIBIT III.1
BUDGET TIMELINE
Month, Year
October 1997
November 1997
!__
December 1997
1
January 1998
February 1998
March 1998
April 1998
May 1998
Outyear Budget
Planning .Year Budget
(FY 99) ' v
• OMB passback of
budget request
• HQ appeal of the OMB
budget passback
• Budget request
submitted to the
President
« HQ prepares
preliminary Regional
operating plan based on
past three years
obligating/tasking
averages
• HQ allocates 90% of
budget to the Regions
• Regions generate their
plan
• Meeting with the
Administrator to review
program goals
f> Current Year Budget -
~' (FY 98) ,','*;
• Congress appropriates dollars
to the Agency
• EPA submits Agency
Operating Plan to Congress
for approval
• AA SWER and OC approve
allocation of the first quarter
portion of the AOA for the
response budget
• AA OECA and OC approve
allocation of 50% of the full
year AOA (50% remains in
reserve at HQ) for the
extramural enforcement case
budget
• Enforcement extramural
budget carryover calculated
• -Second quarter AOA
calculated for response
• AASWER and OC approve
the second quarter AOA for
response
• Third quarter AOA
calculated for response
• AA SWER and OC approve
third quarter AOA for
response
• HQ summarizes resource
distribution by function and
statutes
August 21, 1997
III-4
-------
OSWER Directive 9200.3-14-1D
EXHIBIT III.1
BUDGET TIMELINE (CONT'D)
Month, Year >
-4, ^ } ^ „ ^
June 1998
July 1998
August 1998
September 1998
^s Outyear Budget ^'~
o i '(FY *200ffr -"'*; >.
• HQ pulls financial
planning information
from CERCLIS
• Investments
presented to the
Administrator/
Regional
Administrators
• Administrator and
OC provide policy for
budget formulation
• Superfund investment
summaries submitted
to the Administrator
and budget proposal
toOC
• Presentation made to
Administrator/Deputy
Administrator (DA)
on program priorities
• Administrator
passback
« HQ pulls data from
CERCLIS for the
development of the
budget for submission
to OMB
• HQ develops strategy
for presenting the
budget to OMB
• HQ submits budget to
OMB
* .Planning Year Budget \
*- ,^ * ''(BY "99)
• Regions generate their
plan. HQ pulls financial
planning information
from CERCLIS
• Goals and priorities
presented to the
Administrator/Regional
Administrators
• HQ reviews and
analyzes Regional
budget request
• HQ/Regional work
planning sessions on
operating plan
• First quarter AOA
calculated
CurrenfrYear Budget ••<-,"'
J " "k";'fBY 98)-;,,
• Fourth quarter AOA
calculated for response.
• Remaining portion of the
Enforcement budget will be
allocated to those Regions
that demonstrate a need.
• HQ pulls financial data from
CERCLIS for analysis of
Regional obligation/
commitment rate
• AA SWER and OC approve
fourth quarter AOA for
response
DEVELOPMENT OF THE FY 98 NATIONAL BUDGET
The FY 98 Superfund budget reflects a continued commitment to implementing administrative reforms and a
considerable investment for accelerating the pace of site cleanup. Since the Agency instituted three rounds of
administrative reforms, the Superfund program has become fundamentally different and better. The FY 98 budget builds
on those administrative reforms while the Agency pursues responsible legislative reform with Congress.
IH-5
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
The FY 98 budget request also supports the President's initiative to cleanup approximately 900 sites by the end of
calendar year 2000. This investment represents about a fifty percent increase from the base and will be used to nearly
double the pace of cleanup through the year 2000. Resources will be distributed to address the growing backlog of sites
awaiting cleanup funding and to ensure a level of PRP participation in new cleanup work consistent with recent historical
averages.
To implement these priorities and baseline program activities, resources are being distributed in FY 98 to meet the
following goals, which are not listed in priority order:
• Economic redevelopment (Brownfields, environmental justice);
• Community involvement/relations (information access, environmental justice);
• Remedy reform (expanded removal authority);
• Increase the pace of cleanup;
• Worst sites first;
• State program development;
• Maximize PRP participation;
• Enforcement fairness/reduce transaction costs;
• Allocations and expedited settlements; and
• Information management.
FY 98 REGIONAL BUDGET
To help offset the Superfund budget, Regions should actively pursue deobligation of prior year funds. Projects
prime for deobligation include Interagency Agreements (lAGs) with the U.S. Army Corps of Engineers (USAGE) where
the projects have been completed, Fund-lead Remedial Actions (RAs) taken over by the PRPs, and Fund-lead RAs where
the actual construction contract award and oversight costs will be significantly less than the funds obligated. Regions
may request that deobligated funds be recertified and returned to the Region to address budget shortfalls. HQ will work
with the OC to ensure that any funds deobligated are returned to the Region through-the recertification process.
Additionally, a Superfund Deobligation Task Force, consisting of representatives from each of the Regions, OC, OERR,
OSRE, and the Office of Administration and Resource Management (OARM) was formed to facilitate the recovery of
unliquidated obligations. The OC will forward deobligation candidate reports to the Regions on a quarterly basis for
their review and follow-up action. The Task Force also will hold monthly conference calls to discuss
deobligation/recertification status and issues. By deobligating prior year funds, the Agency shows that it is fiscally
responsible for its obligations (See the December 20, 1996, memo from OC Budget Division outlining deobligating
procedures for more information).
Response Budget
The FY 98 President's Budget for the Superfund Program is $2,094.2 million •. Of this amount, the FY 98 response
budget contains $ 1,594.7 million. Within this budget, the Agency has set aside funds to be used for time-critical and
non-time critical (NTC) early actions (removal authority) and early actions (remedial authority). Specifically, resources
will be provided for:
August 21, 1997 HI-6
-------
OSWER Directive 9200.3-14-1D
• Early actions (removal authority) to address the Region's highest priority response actions [at both National Priorities
List (NPL) and non-NPL sites] to ensure that worst sites are being addressed first;
• Ongoing RA projects to construction completion;
• Long-term actions and early actions (remedial authority) at NPL sites;
• Oversight of all RP-lead Remedial Investigation/Feasibility Study (RI/FS), Remedial Design (RD), Remedial Action
(RA), and removal projects;
• Ongoing RI/FS and RD projects;
• Five-year reviews;
• Integrated/combined assessments to eliminate the SI backlog; and
• Priority Regional resource needs.
To the greatest extent possible, the following activities will be supported:
• New RAs;
• New Expanded Site Inspection (ESI)/RI/FS projects;
• New RDs;
• Listing of new sites on the NPL;
• New removals above base removal budget; and
• Support activities, such as the laboratory support.
The first priorities for response funding are classic emergencies and activities at sites that will be used to meet the
national construction completion goals. Ongoing RAs, mixed funding, and mixed work projects receive priority for
funding over new cleanup work. New Fund-financed cleanup work (with the exception of emergency and time-critical
•removal actions) will be subject to priority ranking by the National Risk-Based Priority Panel. The Panel consists of
representatives from each Region and HQ (OERR and OSRE) and utilizes a risk-based environmental priority setting
approach. All new cleanup work is funded in sequence of national ranking, unless the AA SWER grants an exemption.
Determination on whether a project represents new or existing work will be made by the Panel. New cleanup work
consists of large removal actions that exceed funding levels available within a Region's baseline removal budget, as well
as cleanup activities at sites where no previous actions have taken place. The panel will meet during the fourth quarter
of FY 97 for evaluation of FY 98 projects.
Enforcement Budget
The enforcement extramural case budget for FY 98 is approximately $61 million. Approximately 50 percent of the
budget has been allocated to the Regions; the remainder has been held back in anticipation of additional requests for
mega-sites and further implementation of the Superfund Enforcement Reforms. The enforcement program has changed
significantly over the past few years by implementing these reforms emphasizing enforcement fairness and encouraging
PRP response actions.
HI-7 August 21, 1997
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OSWER Directive 9200.3-14-ID
The following activities should be supported to the maximum extent possible within available resources:
• Use of alternative dispute resolution (including for PRP allocations and for early cost recovery case resolution);
• Orphan share determination/compensation;
• Issuing UAO's to the "largest manageable" number of PRP's; and
• Settlements with de_ minimis and de_ micromis parties and municipalities.
The extramural enforcement case budget provides support for accomplishing the following regional commitments:
• Enhanced PRP searches (including those that support removal actions, orphan share allocations and de minimis
settlements);
• Negotiating PRP response actions;
• Ensuring PRP compliance with all settlements;
• Maintaining ongoing litigation for response and cost recovery; and
• Addressing all cost recovery cases greater than $200,000, with Statute of Limitations (SOLs) that may expire during
the budget year.
Federal Facilities Budget
The Federal facilities response budget for FY 98 is approximately $27 million (This $ 27 million is part of the
$1,594.7 million FY 98 President's budget). This budget provides support for response work at all NPL Federal
facilities. The following activities are priorities:
• Involving communities in the cleanup decision process;
• Maintaining ongoing oversight activities; and
• Expediting response where possible.
No funds are available for projects at non-NPL sites. Oversight activities at non-NPL sites are the responsibility
of the State. For Fast Track cleanup of non-NPL Base Realignment or Closure (BRAC) sites where oversight is needed,
extramural funds can be used.
Site-Specific Travel
Line item activities in the Superfund budget are categorized as programmatic or administrative. Examples of
programmatic expenses are contracts for site assessment and cleanup, regulation development support, and
Congressionally directed reports. Examples of administrative expenses are staff related costs, overhead, and contracts
for program evaluation support and data analysis. In the new structure, site-specific travel is considered a programmatic
expense. As such, extramural dollars can be used to fund site-specific travel. Regions can use up to $150,000 or 0.5
percent (whichever is greater) of their Other Response allowance to support site-specific travel. Regions need to
prioritize their extramural funding needs since dollars for site-specific travel must come out of the Regional budget
allocation. HQ will not increase a Region's budget or AOA to replace extramural funds used for site-specific travel.
August 21, 1997 ni-8
-------
OSWER Directive 9200.3-14-1D
Regional Analytical Budgets
Regions are becoming responsible for the procurement of Special Analytical Services (SAS) laboratory sample
analyses. Routine Analytical Services (RAS) still will be handled by the Analytical Operations Center in Headquarters;
however, efforts must be made to coordinate with the Budget Coordinators/Information Management Coordinators
(IMCs). In cases where the RAS budget may exceed its distribution, the Region will be responsible for deciding whether
to shift funds from other priority areas to purchase additional RAS services. Regions will estimate their SAS analytical,
needs as part of the SCAP development process and funds will be placed in the Site Characterization AOA.
RELATIONSHIP BETWEEN SCAP AND THE ANNUAL REGIONAL BUDGET
The SCAP process is the planning mechanism used by the Superfund program to identify site screening and
assessment, early action, long-term action, enforcement, and Federal facility funding needs for the FY. The final annual
Regional operating plan and the associated budget are a result of the August HQ and Regional workplanning meetings
on the proposed outputs and program budgets. Though Regions are required to operate within their final negotiated
annual operating budgets, adjustments within this budget can be made during the FY.
A Region will not receive funds above its annual Regional budget unless a SCAP amendment/change request has
been approved by HQ. The "approved" Regional budget must balance with the sum of actual obligations, open
commitments to date, and remaining planned resources (see Regional SCAP Reports 4R and 4E) or the entire AOA will
not be approved. In the case of enforcement, the Regional budget refers to new current year operating plan funds plus
prior year enforcement support contract carryover.
The actual allocation of funds is accomplished through the Agency's Phase III Operating Plan. This plan is
submitted to OMB prior to the start of the FY for apportionment of funds. After the OMB review and concurrence, the
Operating Plan is submitted to Congress for approval of significant reprogramming of funds. At this time, Congress also
may modify the Operating Plan. Changes made by Congress may affect the Regional budget negotiated in the previous
August/September workplanning meetings.
Initial Annual Regional Budget Development
Prior to the beginning of the FY, each Region will be given a proposed operating plan allocation for removal,
remedial, enforcement, and Federal facility programs. Exhibit III.2 lists the budget categories that comprise the Advices
of Allowance contained within the response, enforcement and Federal facilities operating plans. The criteria discussed
below were used to develop the budgets in prior years and will be used to develop the FY 99 budgets.
The FY 99 Regional response budgets will be allocated as follows:
• 90 percent of a Region's budget is based on its average of actual response obligations in FY 95, FY 96, and FY 97;
and
• The remaining 10 percent will be allocated to the Region based on the final negotiated targets.
For enforcement, FY 99 initial operating plans will be based on historical usage rates and adjusted to consider
planned funding needs and negotiated targets.
Regions are required to plan their obligations within the program-specific allocations. Final budgets will be
developed upon completion of the fourth quarter workplanning meeting between HQ and the Regions. Planned
obligations for Regional activities must fall within the total identified budget levels, and should be shown by selecting
"approved" from the Funding Status drop down list associated with the appropriate AOA category on the Budget
ni-9 August 21, 1997
-------
OSWER Directive 9200.3-14-1D
Allowance Detail Backup screen. Funding needs above the HQ proposed total budget level must be designated as
"alternate." This will allow HQ to see the Regional funding priorities, the activities the Region would like to conduct
with the budget reserve, the activities that will not be performed as a result of lack of funds, and provide the information
needed for any supplemental funding requests. HQ will not initiate a workplanning meeting with a Region until the
"approved" funds requested are within the proposed total Regional budget levels.
EXHIBIT III.2
OPERATING PLAN BUDGET AND ADVICE OF ALLOWANCE CATEGORIES
RESPONSE
Removal
Removal Action
Removal Analysis
Removal Oversight
Site Characterization
Brownfields Assessment
Fund-Financed RD
Fund-Financed RI/FS
Regional Analytic Budget
Remedial Analysis
RP RI/FS Oversight
RP RA Oversight
RP RD Oversight
Site Assessment (State)
START Contract Management
Remedial Action
Early Action
Remedial Action (RA)
Support (Other Response)
Brownfields Core/VCP
Core Grants
Other/Tech Assistance
Remedial Management
Removal Management
Technical Assistant Grants (TAG)
ENFORCEMENT
Litigation Support
Program Implementation
PRP Search and RI/FS Neg.
State Enforcement
Early Actions
Program Support
Remedial Action
Remedial Design
Removal Actions
RI/FS
AOA Utilization
In the past, the AOA obligation rate through the first two quarters of the FY has been low. As a result, HQ has
implemented the following measures to improve performance:
• Response - Regions will not receive their third quarter AOA for a specific response category unless the
commitment/obligation rate is 50 percent or greater in* that AOA category. For example, if the
commitment/obligation rate for one response allowance (i.e., site characterization) is 35 percent while the rate for
another (i.e., removals) is 65 percent, the third quarter removal AOA would be issued, but the site characterization
AOA would not be issued.
August 21, 1997
111-10
-------
OSWER Directive 9200.3-14-1D
• Enforcement - Regions receive 50% of their operating plan in the first quarter. The remaining portion is allocated
in the second half of the fiscal year to those Regions that demonstrate a need.
HQ will continue to assist the Regions to facilitate the prompt obligation of funds. An effort will be made to increase
the obligation rate by providing third quarter allowances to Regions in advance. Depending on whether a Region has
achieved the above-cited criteria, Regions can request advances on their fourth quarter AOAs. HQ will provide
Allowance/Obligation Comparison reports to the Regions for review on a monthly basis.
For those Regions that continue to have a low rate of commitment/obligation/tasking, OSWER and OECA will
renegotiate the Region's operating plan for the remainder of the year at mid-year in April. This negotiation could
potentially result in a reduction in the Region's annual budget.
ADVICE OF ALLOWANCE PROCEDURES AND FINANCIAL REPORTING
REQUIREMENTS
The planned obligations identified through the SCAP process are the basis for the AOA approval by the OC and the
AA SWER or the AA OECA. No money will be issued to the Regions through the AOA process unless the
appropriate project-specific obligation and open commitment data are reflected in CERCLIS (use SCAP-4E/4R
Reports).
Regional Allowances
The OC with the approval of the AA SWER and AA OECA will issue the following allowances to the Regions in
FY98: . .-•
• Site Characterization (non-site specific "site" allowance), which includes funds for:
Preliminary Assessment (PA), Site Inspection (SI), ESI, START Contract, RI, FS, and RD projects, treatability
studies, risk assessments, Engineering Evaluation/Cost Analysis (EE/CA), design assistance, community
relations, support agency assistance, technical assistance, groundwater monitoring, aerial surveys, topographical
mapping, Brownfields-related site characterization activities (e.g., Phase I and Phase II environmental
assessments);
Oversight of RI/FS, RD, RA, groundwater monitoring, five-year review, Operation and Maintenance (O&M),
and Long-Term Response Action (LTRA) projects; and
Regional analytic budgets and funding for SAS budgets (RAS budgets managed and funds held at HQ);
• RA (site-specific "site" allowance), which includes funds for RAs, early actions (remedial authority), LTRA, five-
year reviews, and mixed funding/mixed work arrangements;
• Removal (non-site specific "site" allowance), which includes funds for emergencies, time-critical and NTC early
actions, removal investigations, removal assessments, and oversight of removals at NPL and non-NPL sites;
• Other Response (non-site specific "regular" allowance), contains funds for response program and project support
including: Alternative Remedial Contracting Strategy (ARCS), Response Action Contract (RAC), or Emergency
Response Cleanup Services (ERCS) program management; Technical Assistance Grants (TAG); Core Program
Cooperative Agreement (CPCA); pollution liability insurance; and Brownfields-related activities (e.g., developing
systems to identify the Brownfields Pilots or conferences);
III-11 August 21, 1997
-------
OSWER Directive 9200.3-14-ID
• Enforcement (non-site specific "regular" allowance); and
• Federal facilities (non-site specific "regular" allowance).
The "site" allowance is an action-specific allowance. It is issued on a site- or non-site specific basis. The
"regular" allowance includes site- and non-site specific actions or activities, and is issued non-site specifically. The
following sections explain how these allowances are developed and the flexibility available in the AOA structure.
The AOA Process
The AOA is based on the Phase III Operating Plan which identifies projected obligations for each quarter of the FY.
The Phase III Operating Plan for FY 98 is based on the final SCAP plans developed in the fourth quarter of FY 97.
Regional enforcement operating plans are adjusted after the start of the FY based on prior year obligation and
Enforcement Support Services (ESS) contract utilization and carryover. Funds available for obligation, however, are
limited to projected needs for the upcoming quarter.
On the monthly pull date prior to the end of each quarter, HQ will generate AOA reports (SCAP-4R, SCAP-4E, and
SCAP-4F) that reflect the approved planned obligations in CERCLIS. If the planned and actual obligations and
commitments in CERCLIS exceed the Regional budget, the Region will be contacted. CERCLIS must be revised to
match the Regional budget before HQ will proceed with the AOA process in the Region (illustrated in Exhibit III.3).
After discussions with the Regions to clarify questions or issues and ensure that the Regional budget was not exceeded,
HQ will enter the AOAs into CERCLIS two weeks before the end of the quarter. Regions must pull these reports from
CERCLIS and enter these amounts into IFMS. The one exception to this process pertains to first quarter allowances.
Because first quarter allowances are entered into IFMS by HQ, Regional personnel do not have to pull the reports from
CERCLIS or enter the amounts into IFMS for the first quarter.
The AAs and their staff, in conjunction with the OC, review the funding levels entered into IFMS by the Region and
compare them to the AOA amounts generated by the HQ program offices. If the two agree within three working days
after the start of the quarter, the HQ OC Budget Division, and the AAs and their staff approve the AOA in IFMS, and
the funds are available for obligation. If the AOA entered into IFMS by the Regions does not agree with the AOA
entered in CERCLIS by HQ, IFMS will not be approved. Only projects planned in CERCLIS can be funded by the
AOA. Regional Budget Coordinators should work closely with their Regional finance office on the entry of the correct
AOA into IFMS. These schedules may be revised if the third quarter AOA is issued early, or, if the Region requests,
and HQ approves, an advance on their fourth quarter AOA-
The HQ program offices and OC Budget Division review weekly IFMS obligations against the AOA. If a Region
exceeds any of the allowances, or a site-specific RA or early action (remedial authority) allocation, the HQ OC Budget
Division will notify the Region and request resolution of the overcommitment/overobligation. The Region then has until
the end of the current month to rectify the overcommitment/overobligation or shut down procedures will be initiated.
If the Region does not submit a change request, decornmit or deobligate funds, or effect corrections in IFMS as
necessary, the HQ Budget Division will initiate reprogramming from the Region's regular allowance. Repeated
violations of site or allowance allocations may result in partial or total withdrawal of the Region's site allowance.
August 21, 1997 IH-12
-------
EXHIBIT ffl.3
THE ADVICE OF ALLOWANCE PROCESS
OQ
C
Regions enter
actual financial
information on
commitments,
obligations, and
tasking into
>IFMS.Datain
IFMSare
downloaded to
CERCLISona
nightly basis.
HQ reviews
planned/actual
commitments,
obligations, and
tasking data and
compares them
to annual g
Regional
Program
budgets.
If data is within
budgets, HQ
program
offices enter
ADA into
>CERCLIS. ADA
provided to
OCandAAs'
offices. .
Week 9 Week 11 Wee
k!3
CURRENT QUARTER
We
ek9 Wee
<11 Wee
>k!3
We
ekl
NEXT QUARTER
. Weekl
I
.
-------
OSWER Directive 9200.3-14-1D
As is standard Agency policy, if a Region exceeds either the regular or site allowance, the HQ OC Budget Division
will withdraw obligation authority in accordance with existing procedures. During the last quarter of the year, the HQ
OC Budget Division will work with the Regions, OSWER, and OECA as necessary to ensure that all allowances and
obligations are aligned prior to year-end closing.
If a Region receives funds in their AOA which were not obligated during the quarter received, the relevant planned
obligation data in CERCLIS must be changed, or the amount must be placed in the contingency account. At the end of
each quarter, HQ will review the AOA funds' remaining commitments and obligations, the contingency account, and
planned obligation data. If AOA funds were not committed or obligated and the planned obligation data were not
changed, HQ will take the following actions:
• Reduce the next quarter's AOA for other response, site characterization, or Federal facility by the amount that was
not committed or obligated; or
• Request that Regions follow the OC's change request procedures to return early action (remedial authority) or RA
funds to HQ.
The Financial Reports (SCAP-4R, SCAP-4E, and SCAP-4F) and the Budget Control Reports (SCAP-21 and SCAP-
21E) will be used to evaluate the status of the allowances.
To the maximum extent possible, Regions should plan for mixed funding/niixed work requirements prior to the
development of the annual Regional budget.
The transfer of financial information from IFMS to CERCLIS that began in FY 97 eliminates the need for manual
entry of actual financial data, as well as the need to reconcile the data contained in the IFMS and CERCLIS databases.
For more details on the impact of the IFMS transfer, see the section of the chapter entitled, "Handling Financial Data
in the CERCLIS Environment."
AOA Flexibility
Some flexibility exists within the AOA structure to shift funds both within and between allowances. Exhibit III.4
shows the types of reprogramming allowed within and between allowances and the actions and approvals required to
accomplish the shift.
August 21, 1997 III-14
-------
OSWER Directive 9200.3-14-ID
EXHIBIT III.4
ACTIONS REQUIRED FOR REPROGRAMMING OF ALLOWANCES
Funds
moving
Out of
Enforce-
ment
(GBX)
Site
Character.
(FAX)
Removal
(FAX)
Remedial
Action
(FAX)
Other
Response
(FAX)
Federal
Facility
(YPX)
Funds Moving Into
Enforcement
(GBX)
1
3
0
0
3
0
Site
Character.
(FAX)
5
1
0
0
2
0
Removal
(FAX)
. 5
4
1
2
4
0
Remedial
Action
(FAX)
5
4
0
1
4
0
Other
Response
(FAX)
.3
0
0
0
1
0
Federal
Facility
(YPX)
0
0
0
0
0
1
Key;
0 = Not Allowed
1 = SCAP adjustment (Between projects within an allowance)(CERCLIS 3 must be revised to reflect the shift)
2 = SCAP adjustment + Change request + HQ approval
3 = SCAP adjustment + Change request + HQ approval + Congressional notification if over $500,000 - (This
applies to shifts between GBX and FAX).
4 = SCAP adjustment + Change request + HQ approval + Quarterly report to Congress
5 = SCAP adjustment + Change request + HQ approval + Congressional notification if over $500,000 - (This
applies to shifts between GBX and FAX) + Quarterly report to Congress.
*A11 SCAP adjustments must be reflected in CERCLIS prior to HQ approval.
Ill-15
August 21, 1997
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OSWER Directive 9200.3-14-ID
RA Allowance
To receive RA funds, the site must be on the NPL. The funding for RAs and early actions (remedial authority) are
held in a reserve account for national distribution and issued site-specifically when sites are ready for funding [RD
95 percent complete, Superfund State Contract (SSC) signed]. As previously stated, the RA and early action
funding priorities are established by the priority setting panel.
Funding for ongoing projects, LTRA, and five-year reviews may be reprogrammed by the Regions. RA or early
action (remedial authority) funds made available as a result of bids coming in below expected amounts will be
returned to HQ for funding of other priority RA projects or early actions (remedial authority). In some cases, HQ
may recommend that the Region retain the funds to support unanticipated cost escalations for RAs or early actions
(remedial authority).
In situations where the PRPs- settle after the AOA is issued, remaining funds in the AOA must be sent back to HQ
through a change request. RA funds cannot be moved into the site characterization AOA. If the site lead changes
from Fund- to PRP-lead, the Region should deobligate funds from the RA AOA; separate provisions should be made
to make adjustments to the site characterization allowance. The RA funds that are deobligated will be returned to
HQ. In the situation where the PRPs take over after the obligation of funds for an RA or early action (remedial
authority), the program office will need to work with the Regional Financial Management Office (FMO) to revise
the Account Number (AN), since the Agency is acting in an oversight role instead of performing the response action.
Flexibility in the Other Allowances
Regions may redirect funds within the other response, removal, site characterization, enforcement, and Federal
facility allowances to meet site or activity priorities. Additionally, funds in the other response allowance can
be moved to the removal, site characterization, or RA allowance. However, it is important to note that,
generally, funds cannot be shifted out of the removal allowance. Regions may shift funds more easily into the
removal allowance from other non-site specific allowances (e.g., Other Response). Funds also cannot be shifted
into or out of the Federal facility allowance.
Funds saved within the site characterization allowance as a result of a settlement or where actual costs are lower
than estimated will generally stay within the Region. These funds may be used within the allowance for other
site characterization projects. In addition, Regions may retain and redirect non-RA response funds made
available as a result of the following actions:
• PRP takeovers or settlements;
• ESI/RI/FS or RD bids that are less than planned amounts; and
• Actual obligations that are less than planned obligations.
HQ approval generally will be given for the redirection of unused funds for Agency priorities. For further
information on the National Budget/Agency priorities, see "Development of the FY 98 National Budget" earlier
in this chapter.
A change request must be approved by HQ before funds can be reprogrammed to activities outside the
allo%vance.
Response funds may be used to address deficient PRP projects. Regions are allowed to redirect funds in the
site characterization AOA to accommodate this need. Regions also may shift funds for a Fund-financed RD
to RD oversight when a CD is referred to HQ or the Department of Justice (DOJ) for lodging, or when PRPs
indicate in writing that they will comply with a UAO.
August 21, 1997 111-16
-------
OSWER Directive 9200.3-14-1D
A non-site specific remedial contingency account is available in CERCLIS. The remedial contingency account
cannot be used for developing Regional budgets. It can only be used during the operating year for "holding"
remedial response funds made available:
• As a result of PRP takeovers or lead changes between remedial phases;
• By RD bids coming in under projected amounts; or
• In situations where the actual obligations were less than planned obligations.
As the Region identifies uses for these funds, the contingency account must be reduced and the site-specific
planned/actual obligations must be entered. The funds in the contingency account will be reviewed by HQ at
mid-year and throughout the third and fourth quarters.
If a Region has a funding request during the year that was unplanned, the following approach should be
followed in identifying funding sources:
• As a first step, Regions should determine if funds are available in the contingency accounts that can be
redirected within or between allowances to perform the action;
• If no contingency funds are available, funds planned for obligation in future quarters (within the Region's
annual budget) that will not be used as originally planned should be tapped;
• After mid-year, funds made available within the annual Regional budget as a result of the mid-year or
third/fourth quarter adjustment process should be used; and
• If necessary, Regions may request an increase in their annual budget through the redirection of funds made
available as a result of mid-year or third/fourth quarter adjustments in other Regions.
AOA Change Request Procedures
Regions are required to operate within their quarterly AOA and their annual Regional budget. The funding for RAs
and early actions (remedial authority) are held in a reserve account for national distribution and issued site-specifically
when the schedules in CERCLIS indicate the site is ready for funding. Regions are- responsible for managing the funds
issued in the AOA, and for operating within budget ceilings, floors, and other restrictions. Consistent with the flexible
funding initiatives discussed earlier in this chapter, Regions may:
• Shift funds between projects within the other response, site characterization, removal, Federal facility or
enforcement allowances (HQ approval is not required); or
• Shift existing funds between allowances (other response, site characterization, and enforcement if less than $500K
total). HQ approval of a change request is required; or
• Move future planned obligations to the current quarter (increase total allowance after issuance within the annual
budget). HQ approval of a change request/SCAP amendment is required.
In some situations, a change request is required as a result of Regional changes to SCAP. Exhibit III.5 identifies
flexible funding and other situations where an AOA change request is required. Exhibit III.6 describes the procedures
to be followed in each of these situations. HQ will not approve a change request unless CERCLIS is revised to reflect
the change.
111-17 August 21, 1997
-------
OSWER Directive 9200.3-14-1D
Change requests are electronically transferred to HQ. The following information should be provided for a change
request:
• Purpose/justification;
• Amount;
• Site name and Site Spill Identification (S/S ID) if allowance is issued site-specifically;
• Program element(s) (GBX-enforcement, FAX-response/Federal facility, or YPX-Federal facility/enforcement, LPX-
Reimbursables); and
• Allowance that is being increased and/or allowance that is being decreased.
If the change request is a reprogramming of funds between allowances, the net change should equal zero. The
change request must be transmitted by authorized personnel in the Region's financial office. The site-specific record
in CERCLIS should be revised when the change request is transmitted. Regions should not initiate any obligations
against the change until the OC and AA SWER or AA OECA approve the revised AOA. Change requests generally take
two weeks to process and approve. There is a $500,000 limit for reprogramming between program elements (per action),
and the request must be approved by the OC.
EXHIBIT III.5
CHANGE REQUEST REQUIRED
Change Request Situation
in Exhibit 111:6 to ..Ire Followed...
• Allocation transfer lAGs
• Transfer funds to other entities within EPA
• Shifting funds (where allowable) between
allowances after issuance
• Increase total quarterly allowance after
issuance (within annual budget)
• Decrease total quarterly allowance after
issuance
• Increase RA or early action (remedial
authority) funding after allowance is issued
• Decrease RA or early action (remedial
authority) funding after allowance is issued
• Decrease RA or early action (remedial
authority) funding as a result of PRP takeover
• New RA or early action (remedial authority)
funding after allowance is issued
Decrease allowance after issuance
Decrease allowance after issuance
Shifting funds between allowances after
issuance •
Increase total allowance after issuance (within
annual budget)
Decrease allowance after issuance
• Increase total allowance after issuance (within
annual budget)
• Decrease allowance after issuance
• Decrease allowance after issuance
Increase total allowance after issuance (within
annual budget) '
August 21, 1997
III-18
-------
OSWER Directive 9200.3-14-1D
EXHIBIT III.6
AOA CHANGE PROCESS PROCEDURES
Decrease Allowance
After issuance
Increase Total Allowance
After issuance Within
Annual Budget
Shifting Funds Between
Allowances After
Issuance
IMC/Budget Coordinator enters change requests in
CERCLIS and notifies applicable OSWER and OECA
staff, AA's and Regional Finance offices.
Change request is
electronically
transmitted to HQ
through IFMS
AOA in IFMS is revised
to reflect the change
AAs send E-mail approval
memorandum to Regional
program and financial
office and HQ OC
The change request is electronically transmitted to HQ through IFMS
AOA in IFMS is revised to reflect the change
OSWER and/or OECA staff and the OC review the request
Revised AOA is approved in IFMS by the HQ OC and AAs
OSWER and/or OECA staff enter change request approval date in CERCLIS
RELATIONSHIP BETWEEN SCAP AND THE AOA
Within the SCAP process, obligations are planned either site-, project-, OU-, or non-site specifically. Some planned
obligations are associated with specific site activities, while other planned obligations are estimates of total funding
required for an activity within a Region (i.e., contract bulk funding). The CERCLIS database has been designed to
accommodate site- and non-site specific planning. Regions should be certain all their extramural funding needs are
reflected in CERCLIS such that there is a crosswalk between the CERCLIS planned financial data and the Regional
AOA.
Ill-19
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
In addition to the site- and non-site specific planning, obligations also are planned and budgets developed on a
program-specific basis. The "Budget Source" field identifies which program pays for the planned action. Exhibit III.7
presents the budget sources associated with each program. It is important that Regions accurately identify the
budget source, since each program develops an annual budget and has a separate AOA process. It also is important that
the Regions maintain this budget source to eliminate potential impacts on the Regional AOA.
Exhibit IH.8 identifies the major actions and the appropriate budget source (depending on the project/action lead)
for planned obligations, as well as the AOA category under which each action falls. Funds for temporary or permanent
relocations conducted by the Federal Emergency Management Agency (FEMA) should be given a budget source of 'HQ
Removal' or 'HQ Remedial' after the IAG is signed and funds are transferred to HQ using the change request procedures.
Funds for project support activities that are being conducted by Environmental Monitoring Systems Laboratory (EMSL),
the Environmental Photographic Interpretation Center (EPIC), or other intra-agency assistance are allocated in the
Regional budget. Once the change request transferring the funds to the other entity is processed, the budget source in
CERCLIS should be changed to a HQ budget source.
EXHIBIT III.7
BUDGETSOURCES
HQ Removal
HQ Remedial
HQ Enforcement
Federal Facility
Response and Federal
Facility Enforcement
Enforcement
Removal
Reimbursable
Remedial
Other
August 21, 1997
111-20
-------
OSWER Directive 9200.3-14-lD
EXHIBIT III.8
WHO PAYS FOR WHAT
^' „ CERCLirA^ONJiWBii' \
Admin/Voluntary Gost Recovery
Administrative Order on Consent
Administrative Records(Project Support)
Alternative Dispute Resolution
ARCS Contract Mgt
Brownfields Assessment
Brownfields Core/VCP
CERCLA Criminal Litigation
Claim in Bankruptcy Proceedings
Combined RI/FS
Contract Program Mgt
Cost Recovery Decision Document
Cost Recovery Negotiations
Deletion from NPL
Ecological Risk Assessment
Engineering Eval/Cost Analysis
ESI/RI
ESS Generic Obligation
VSITE-
SJPECIFIC
/
S
S
S
S
S
S
/
/
/
/
/
/
/
Ivdc^-sriE
SPECIFIC
/
/
/
/
/
/
/
/
' LEAD -v>
FE
FE
*
FE
FE
*
FF
*
*
FE
FE
F,S,TR
FF
FE
FE
FE
F
*
F,S,TR,MR,
RP
F,S,TR,MR,
RP.PS
FF
FE
BUDGET
SOURCE
Enforcement
v Enforcement
Remedial
Enforcement
Enforcement
Remedial
Federal Facility
Remedial
Remedial
Enforcement
Enforcement
Remedial
Federal Facility
Enforcement
Enforcement
Enforcement
Remedial
Federal Facility
Remedial
Enforcement
Remedial
Remedial
Federal Facility
Enforcement
t
^AOA CATEGORY
Enforcement
Enforcement
•Site Characterization
Enforcement
Enforcement
Other Response
Federal Facility
Site Characterization
Other Response
Enforcement •
Enforcement
Site Characterization
Federal Facility
Enforcement
Enforcement
Enforcement
Other Response
Federal Facility
Site Characterization
Enforcement
Site Characterization
Site Characterization
Federal Facility
* Lead left to Region's discretion
111-21
August 21, 1997
-------
OSWER Directive 9200.3-14-lD
EXHIBIT III.8
WHO PAYS FOR WHAT
CERCLIS ACTION NAME
:SS Program Management
Expanded Site Inspection
'easibilky Study
federal Facility Docket
Federal Interagency Agreement
FF Community Relations
FFFS
FFLR
FFRA
FFRD
FFRI
FF Removal
FFRI/FS
Final Listing on NPL
Five Year Remedy Assessment
General Enforcement
General Support/Management
Generic PA/SI
Geophysical Support/Mapping
Groundwater
Monitoring - Post ROD
SITE-
SPECIFIC
/
/
^
/
/
/
/
/
/
/
^
/
/
/
/
/
/
/
/
NON-SITE
, SPECIFIC
/
/
/
/
/
/
/
LEAD
FE
F.S.TR
FF
F,S,TR
FF
FF
FF
FF
FF
FF
FF
FF
FF
FF
F
F,S,TR,RP,
PS
FF
FE
*
F,S,TR
FF
*
FF
*
FF
*
, BUDGET
SOURCE
Enforcement
Remedial
Federal Facility
Remedial
Federal Facility
Federal Facility
Federal Facility
Federal Facility
Federal Facilty
Federal Facility
Federal Facility
Federal Facility
Federal Facility
Federal Facility
Remedial
Federal Facility
Remedial
Federal Facility
Enforcement
Remedial
Remedial
Federal Facility
Remedial
Federal Facility
Remedial
Federal Facility
Remedial
AOA CATEGORY
Enforcement
Site Characterization
Federal Facility
Site Characterization
Federal Facility
Federal Facility
Federal Facility
Federal Facility
Federal Facility
Federal Facility
Federal Facility
Federal Facility
Federal Facility
Federal Facility
Other Response
Federal Facility
Remedial Action
Federal Facility
Enforcement
Other Response
Site Characterization
Federal Facility
Site Characterization
Federal Facility
Site Characterization
Federal Facility
Other Response
* Lead left to Region's discretion
August 21, 1997
m-22
-------
OSWER Directive 9200.3-14-ID
EXHIBIT III.8
WHO PAYS FOR WHAT
CERCLIS ACTION NAME
Health Assessment
HRS Package
Human Health Risk Assessment
Hydro/Geological Support
IAG Negotiations
Information Mgt Support
Integrated Assessment
Interviews
Laboratory Support
Long Term Response
Management Assistance
Multi-Site Coop Agreement
Non-Binding Allocation of Resp
Non-NPLPRP Search
NPL RP Search (PRP Search)
SITE- *,
SPECIWCs
/
/
/
/
/
/
/
^
S.
/
/
/
/
,'NON-SITE
'.SPECIFIC,
/
/
S
S
S
S
S
LEAD-
*
FF
F,S,TR
*
*
FF
FE
FF
*
FE
FF
F,S,TR
F.S.TR
FF
FE
*
FF
F,S,TR
*
FF
*
FE
FE
FE
BUDGET
SOURCE
Remedial
Federal Facility
Remedial
Remedial
Enforcement
Remedial
Federal Facility
Enforcement
Federal Facility
Remedial
Enforcement
Federal Facility
Remedial
Removal
Federal Facility
Enforcement
Remedial
Enforcement
Federal Facility
Remedial
Remedial
Enforcement
Federal Facility
Enforcement
Remedial
Enforcement
Enforcement
Enforcement
\ AOA CATEGORY,
Site Characterization
Federal Facilities
Site Assessment
Site Characterization
Enforcement
Site Characterization
Federal Facility
Enforcement
Federal Facility
Other Response
Enforcement
Federal Facility
Site Characterization
Removal
Federal Facility
Enforcement
Site Characterization
Enforcement
Federal Facility
Remedial Action
Site Characterization
Enforcement
Federal Facility
Enforcement
Site Characterization
Enforcement
Enforcement
Enforcement •
* Lead left to Region's discretion
HI-23
August 21, 1997
-------
OSWER Directive 9200.3-14-lD
EXHIBIT III.8
WHO PAYS FOR WHAT
CERCLIS ACTION NAME
NSI-SARA Capacity
Operational and Functional
Operations and Maintenance
Other Remedial Contingency
Oversight of State by.Fimd
Pre Natural Res Survey
Pre-Rem/Rem Aerial Survey
Preliminary Assessment
Preparation of Cost Docm Pkge
Proposal to NPL
PRP Community Relations
PRPFS
PRPLR
PRPRA
PRPRI
PRPRD
PRP Removal
PRP RI/FS
RAC Contract Mgt
RCRA Facility Assessment
SITE-
SPECIFIC
/
/
/
/
/
/
/
/
/
/
/
/
/
/
S
/
/
NON-SITE
SPECIFIC
/
/
/
/
/
/
/
/
/
LEAD
*
FF
F,S,TR
F,S,TR,MR,
RP.PS
FF
*
FF
F
*
FF
*
FF
F,S,TR
FF
FE
F
F
RP, PS.MR
RP,PS,MR
RP,PS,MR
RP,PS,MR
RP.PS.MR
RP.PS.MR
RP,PS,MR
RP,PS,MR
*
*
FF
BUDGET
„ SOURCE
Remedial
Federal Facility
Remedial
Remedial
Federal Facility
Remedial
Federal Facility
Remedial
Remedial
Enforcement
Federal Facility
Remedial
Federal Facility
Remedial
Federal Facility
Enforcement
Remedial
Federal Facility
Enforcement
Remedial
Remedial
Remedial
Remedial
Remedial
Removal
Remedial
Remedial
Remedial
Federal Facility
AOA CATEGORY'
Other Response
Federal Facility
Remedial Action
Site Characterization
Federal Facility
Other Response
Federal Facility
Other Response
Site Characterization
Enforcement
Federal Facility
Site Characterization
Federal Facility
Site Characterization
Federal Facility
Enforcement
Other Response
Federal Facility
Enforcement
Site Characterization
Site Characterization
Site Characterization
Site Characterization
Site Characterization
Removal
Site Characterization
Other Response
Site Characterization
Federal Facility
* Lead left to Region's discretion
August 21, 1997
111-24
-------
I
OSWER Directive 9200.3-14-ID
EXHIBIT III.8
WHO PAYS FOR WHAT
CEJRCIJS ACTION NAME **
RD/RA Negotiations
Remedial Action (RA)
Remedial Community Relations
Remedial Design (RD)
Remedial Investigation
Removal
Removal Aerial Survey
Removal Assessment
Removal Community Relations
Removal Negotiations
Removal On-Scene Monitor
Removal Supporting/Management
Removed from Proposed NPL
Research & Development
RI/FS Negotiations
Section 104(e) Ref Litigation
Section 106 Litigation
Section 107 Litigation
Section 106 & 107 Litigation
SEE Program
SITE-""
SPECIFIC
/
/
/
/
/
/
/
/
/
/
•/
S
S
/
/
/
/
/
S
NdN-Sl^E
SPECIFIC-,
/
/
/
/
/
/
/
/
/
/
--\^LEADr "
FE
F,S,TR
F, S, TR,
MR
F,S,TR
F,S,TR,
F,S,TR
*
FF
F,S,TR
F, S.TR, MR
FE
*
*
F
*
*
FE
FE
FE
FE
FE
*
*
"-• BUDGET
Enforcement
Remedial
Remedial
Remedial
Remedial
Removal
Removal
Federal Facility
Removal
Removal
Enforcement
Removal
Removal
Remedial
Federal Facility
Remedial
Enforcement
Enforcement
Enforcement
Enforcement
Enforcement
Enforcement
Removal
Remedial
Enforcement
*AOA CATEGORY
Enforcement
Remedial Action
Site Characterization
Site Characterization
Site Characterization
Removal
Removal
Federal Facility
Removal
Removal
Enforcement
Removal
Removal-
Other Response
Federal Facility '
Other Response
Enforcement
Enforcement
Enforcement
Enforcement
Enforcement
Enforcement
Removal
Other Response
Enforcement
* Lead left to Region's discretion
111-25
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
EXHIBIT III.8
WHO PAYS FOR WHAT
CERCLIS ACTION NAME
Site Inspection
START Contract Mgt
State EnfManag Assistance
Technical Assistance
Technical Assistance Grant
Topographical Mapping
Training
Underground Storage Tank Remov
Unilateral Admin. Order
Zone/Reg ERCS Contract Mngmt
SITE-
'
<
'
'
/
/
NON-SITE
SPECIFIC
'
'
/
/
'
'
7
'
'
LEAD
F,S,TR
FF
*
FF
S,TR
FE
*
*
FF
*
FF
*
FF
*
FE
*
FF
BUDGET <
SOURCE
Remedial
Federal Facility
Remedial
Federal Facility
Remedial
Enforcement
Remedial
Enforcement
Remedial
Federal Facility
Remedial
Federal Facility
Remedial
Enforcement
Federal Facility
Removal
Enforcement
Remedial
Federal Facility
AOA CATEGORY
Site Characterization
Federal Facility
Site Characterization
Federal Facility
Other Response
Enforcement
Site Characterization
Enforcement
Other Response
Federal Facility
Site Characterization
Federal Facility
Other Response
Enforcement
Federal Facility
Removal
Enforcement
Other Response
Federal Facility
* Lead left to Region's discretion
SUPERFUND FINANCIAL MANAGEMENT
The purpose of this section is to assist Regional program offices in carrying out their financial management
responsibilities. It discusses the financial management tools and systems used by HQ and the Regions to enter and track
financial information. It also details specific HQ and Regional financial management responsibilities. Finally, this
section discusses the various financial management funding mechanisms available to EPA to support Superfund cleanup
work.
Exhibit III.9 provides a list of financial management contacts to assist the Regions in resolving or clarifying any
financial management issues or difficulties that are encountered.
August 21, 1997
iII-26
-------
I
OSWER Directive 9200.3-14-1D
EXHIBIT III.9
FINANCIAL MANAGEMENT CONTACTS
Location/Region i *,
HQ
Region I
Region II
Region III
Region IV
Region V
Region VI
Region VII
Region VIII
Region IX
Region X
Research Triangle Park
Name of Contact ^ ,
Charles Young
Dave Tornstrom
Lee Clouthier
Rubin Neira
Richard Manna
Joann Velez
Steve Pandza
Diane Malancone
Connie Crumley
Noey Ben-era
Kristy Dickens
Howard Levin
Darius Taylor
Cindy Brown
John Eagles
John Anderson
Judy Novak
Philip Elbeck
Judy Lehmann
Tiffanie Pang
Yvonne Fong
Gary Hansen
Joe Penwell
Joe Safadi
Betty Hamilton
(202) 260-6890
(617) 565-4967
(617) 565-3323 -
(617) 565-3347
(212) 637-3465
(212)637-3462
(215)566-5178
(215)566-5178
(404) 347-3278
(404) 347-3278
(404) 347-3278
(312)886-7522
(312)353-3241
(214) 665-7480
(214) 665-6535
(913)551-7470
(913)551-7360
(303)312-6360-
(303)312-6166 ,
(415) 744-1742
(415) 744-1742
(206) 557-2901
(206) 553-2968
(919)541-4387
(919)541-4280
111-27
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
Financial Management Tools and Systems
Exhibit 111.10 describes the financial management tools and systems used by HQ and the Regions. Exhibit III.l 1
describes the Account Number structure.
EXHIBIT HI.10
FINANCIAL MANAGEMENT TOOLS AND SYSTEMS
Tool/System
Integrated Financial
Management System
(IFMS)
Management and
Accounting
Reporting System
(MARS)
Account Number
(AN)
Document Control
Number (DCN)
Site/Spill
Identification
Number (S/S ID)
Inscription
The Agency's official automated accounting, funds control, and monitoring system.
Encompasses all of the Agency's financial systems for planning, budget formulation
and execution, program and administrative accounting, and auditing. Maintained by
the Administrative Systems Division of the Office of Information Resources
Management.
IFMS application that identifies the status of commitments, obligations, and payments
for a site. MARS can select any data element maintained in IFMS, arrange those
elements in any desired format, and print a report. Regional program office staff can
request MARS reports from the Regional Servicing Finance Office (SFO).
A 6-field, 41-character number that identifies costs associated with a specific site and
activity. EPA documents and records its direct and indirect costs for each cleanup
action and tracks costs through IFMS.
A 6-digit code assigned by the Regional SFO to Procurement Requests (PRs) and
Commitment Notices (CNs). This same number is carried over from the PR or CN to
the obligating document. Identifies the spending action in IFMS, just as a check
number identifies a check.
4-digit number that identifies costs associated with a specific site. The second
character is the region number. SSIDs are established by the Regional finance
officer. Before assigning a S/S ID, an EPA Identification Number (EPA ID) must
exist. One also needs to ensure that the site is not listed under another name. Sites
should receive identifiers in CERCLIS if it appears that more than $5,000 will be
spent on a response action.
August 21, 1997
111-28
-------
OSWER Directive 9200.3-14-1D
EXHIBITIII.il
ACCOUNT NUMBER STRUCTURE
~| PefinitioVf
Samole Entarv\
Budget Fiscal Year
(4 characters)
The first two positions in this field identify the
budget fiscal year (e.g., '96'). The third and
fourth positions in this field identify the ending
fiscal year, but these positions are not used by the
Superfund program, and should be left blank.
96
Appropriations
(6 characters)
The type of appropriation is entered in this field,
(e.g., 'TR'). If the appropriation is billed or
received (for cost recovery), valid entries can be
up to 4 characters in length (e.g., 'HSCR'), with
the last two positions left blank.
TR
Program Element
(9 characters)
The program element value is either 'FAX' for
the remedial and removal programs and Federal
facilities response, 'GBX' for enforcement,
'YPX' for Federal facilities enforcement, or
'LPX' for reimbursables. The remaining six
positions in this field should be left blank.
FAX
Budget Organization
(7 characters)
The Budget Organization field is the Allowance
Holder/Responsibility Center (AHRC) code (e.g.,
'02H'). The AHRC code can be between 3 and 6
characters in length.
Q2H
Site/Project
(8 characters)
The unique site identifier (S/S ID) should be
entered in positions 1 through 4, e.g., '07 23'.
The SSID includes the Region number in
position 2, e.g., '7' for Region 7 . For Region 10,
a '0' should be entered in this position. For
Region 1 T is entered in this position. For HQ
a 'Q' is entered in this position. The action code
is entered in positions 5 and 6 (e.g., 'AN' for
RD/RA Negotiations). The Operable Unit is
entered in positions 7 and 8 (e.g., '01' for
Operable Unit number 01).
Q723ANQ1
Cost Organization
(7 characters)
The leading 'C' is the CERCLIS identifier used
by IFMS. It is system generated in the first
position of the Cost Organization field for
CERCLIS actions. The numerical characters in
the second, third and fourth positions represent
the action sequence number, e.g., '002' for the
second occurrence of an action at a site. The
remaining positions should be left blank
C002
111-29
August 21, 1997
-------
OSWER Directive 9200.3-14-ID
"ZZ", "WQ", and "00" Accounting Information
When committing or obligating funds at sites where a S/S ID has not been assigned yet, the Region may use "ZZ"
in position 3 and 4 of the S/S ID position of the Account Number for PAs and Sis Only. The "ZZ" should be used only
if a site does not have a S/S ID. "WQ" is used for bulk or block funding only, i.e., where SSIDs exist but funds are not
committed site specifically. When "WQ" or "ZZ" is used in the S/S ID position, funds are obligated non-site specifically.
However, for WQ obligations, when the funds are paid out/disbursed, they must be associated with a site. (ZZ
obligations may be drawn down as ZZ funds.) "80" can be used for dispersment of non-site specific core activities, e.g.,
Brownfields Core/VCP. Once a S/S ID has been established for the site, Regions must revise all the financial accounting
information (in IFMS and on the obligating document) with the correct S/S ID. The "ZZ" should not be used for future
obligations once a S/S ID has been established at the site. (Information on changing IFMS data can be found later in
this chapter.)
Regional Financial Management Responsibilities
Due to the complexities of the Superfund program, numerous organizational units within the Regional EPA offices
have responsibility for Superfund financial management. These organizations and their responsibilities are detailed in
Exhibits III. 12 through III. 14.
For the purposes of this document, the Regional Management Division is the organization in which financial
management, budgetary, accounting, planning and assistance agreements, and administration functions are carried out.
The Regional Servicing Finance Office (SFO) and the Contracting Officers (CO) for the ARCS, RAC, ERGS, Superfund
Technical Assessment and Response Team (START), Response Oversight Contract (ROC) and ERRS contracts are
considered to be a part of this division.
HQ Financial Management Responsibilities
Selected program offices in HQ also have Superfund financial management responsibilities. The main point of
contact for technical program area specific financial management issues is the applicable Regional center. Contact HQ's
FARM, POS, or FFRRO with any issues pertaining to the AOA or overall budget resources. Exhibit III. 15 identifies
the responsibilities of the HQ management offices.
Financial Management and Funding Processes
Regional financial authority consists of three distinct but interrelated parts: approvals, commitments, and obligations.
The payment and deobligation processes result in drawdowns from obligated funds. The funding processes are outlined
in Exhibit 111.16. Exhibit 111.17 indicates the process by which the Regions commit and obligate funds in the CERCLIS
environment.
Financial Management Funding Mechanisms
EPA uses a variety of funding mechanisms to carry out CERCLA-funded response actions.. These include the following:
Contracts
The Agency's Long-Term Contracting Strategy (LTCS) identifies the long-term contracting needs of the Superfund
program and provides a portfolio of Superfund contracts to meet those needs. During FY 9.8, implementation of the
strategy will continue.-
Superfund contracts are awarded through standard procurement procedures (see the OC's Resources Management
Directives Systems 2550C, Chapter 2 of this document, and the EPA Contracts Management Manual, or refer directly
to the directives prepared for each contract). Exhibit III. 18 contains information on the procurement forms used for
most Superfund contracts. The unique aspect of Superfund contract processing and financial tracking stems primarily
from the need to associate contractor costs incurred with specific Superfund sites and OUs to support the cost
August 21,1997 HI-30
-------
OSWER Directive 9200.3-14-1D
recovery process. Cost recovery negotiations with PRPs, or court actions, require careful documentation of Federal
costs incurred at each site/spill. Exhibits III. 19 and 111.20 describe key financial management processes for each of
the primary categories of Superfund contracts, both site- and non-site specific.
Interagency Agreements (lAGs)
An IAG is a written agreement between Federal agencies under which goods and services are provided. The
Superfund program uses Disbursement lAGs and Allocation Transfer lAGs to request Federal agencies' assistance
with site cleanups and associated activities, and to provide ongoing support or services. The Regional program office
initiates and manages site-specific lAGs. U.S. Coast Guard (USCG)-lead removal IAGs, DOT lAGs and allocation
transfer IAGs are negotiated, approved, awarded, and managed at HQ. The IAG specifies the services required and
identifies the method of payment. Exhibits 111.21 and 111.22 discuss IAG financial management.
Cooperative Agreements (CAs)
A CA transfers property, funds, and/or services from EPA to States, political subdivisions, or Tribal governments to
undertake the lead for a site-specific response, to defray the costs associated with participation in Federal-lead
responses, or to build State or Tribal capability to implement CERCLA responses. CAs — which provide funding
assistance to the State, political subdivision, or Tribal government — document responsibilities, and obtain State
assurances and must be approved by the Regional Administrator or designee. The steps for developing and managing
the financial aspects of a CA in the Region are outlined in Exhibit 111.23.
For additional information on the financial management of CAs, refer to the Resources Management Directives
Systems 2550D, Chapter 9.
Superfund State Contracts (SSCs)
When EPA or a political subdivision has the lead for an early action (remedial authority) or RA, an SSC is used to
describe the State's role. An SSC is a legally binding agreement that provides the mechanism for obtaining required
State cost share and other assurances, outlines the statement of work for the response action, and documents
responsibilities for implementation of response activities at a site. When a political subdivision has the lead the SSC
is signed by EPA, the,State, and the political subdivision.
The SSC does not obligate funds. Funds for Federal-lead projects must be obligated through an EPA PR with a
contractor, or through an IAG with another agency. Funds for response actions conducted by a political subdivision
are provided through a CA (see previous section).
The SSC must be signed prior to the obligation of funds for a RA or early action (remedial authority). EPA may
obligate RD funds to initiate the RA or early action (remedial authority) procurement process, up to the point of
soliciting for construction bids. In cases of extreme urgency, a solicitation [for bids on RA or early actions (remedial
authority) work] may be issued before a SSC is signed. The solicitation must notify prospective bidders that the
availability of funds for the contract is contingent on EPA and the State concluding a SSC. If the SSC is not signed
before the bid opening, one of the following decisions must be made:
• The solicitation may be canceled; or
• The bid opening date may be postponed (giving bidders an opportunity to withdraw, modify, or submit new
bids).
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
EXHIBIT 111.12
REGIONAL FINANCIAL MANAGEMENT RESPONSIBILITIES
Regional Program
Office
:
Assigns AN, DCN, and CA
identification numbers
Provides technical support to
the CO
Reviews vouchers and/or
financial reports
Manages CAs and lAGs
Issues S/SIDs
Prepares CNs and PRs
Develops SSCs
Approves Request for Proposals
(RAPS) or Request for Bids and
contracts developed by the
States
Participates in pre-award
financial management system
reviews
Enters financial data on
contracts, lAGs, and CAs into
CERCLIS
• Maintains Superfund document
files on Regional work
performed
• Submits change requests
• Initiates and manages
deobligations
Regional Management
Division
=====:
Assigns AN, DCN, and CA
identification numbers
Enters quarterly AOA into
IFMS, controls Regional
allowance, maintains
Automated Document Control
Register (ADCR), and
reconciles transactions
Issues S/SIDs
Sets up Regional account
numbers in IFMS
Processes PRs, lAGs, and CAs
Enters commitments,
obligations, and drawdowns
into IFMS
Reviews invoices, monthly
financial reports, and payment
requests
Obligates Regional contracts
and modifications
Assists Regional program
office in the pre-application
phases of the CA development
> Maintains Superfund
document files on Regional
costs, and supports the
preparation of documentation
for cost recovery
• Maintains accounts receivable
for cost recovery, cash outs,
SSC cost share, and oversight
billings, and maintains billing
and collection system
• Provides Regional program
office with financial data
Regional
Administrator.
= ' =====
• Approves cleanup actions
under removal authority
Approves consistency
exemptions at NPL sites
where the removal costs are
more than $2 million
Awards CAs
Awards lAGs
Enters into SSCs
Initiates response planning
activities
Awards TAGs
August 21,1997
111-32
-------
I
OSWER Directive 9200.3-14-1D
EXHIBIT 111.13
DESCRIPTION OF REGIONAL PROGRAM OFFICE FINANCIAL
MANAGEMENT STAFF
'•>.',
Ori-Scerie
'' ' ^Coordinator
' -" -"(osc),
• Employee of
EPA or U.S.
Coast Guard
(USCG)
• Reacts to
hazardous
substance spills
and releases, or
threats of release
• Initiates and
manages cleanup
actions under
removal
authority
• Aware of, in
control of, and
responsible for
site charges
• Ensures costs are
reasonable and
necessary
Ordering •
j N ' "* • Officer " '
'^.- \ "' ^~ -„
,^ \ - ™
• Typically an
OSC
• Must have a
written
"Delegation of
Procurement
Authority"
signed by a
Senior
Procurement
Manager
'~ ' ' >• ' '"V " f "'
"fA s *** *
Remedial Project
x Manager ({RPM)
• Employee of
EPA
• Initiates and
manages early
actions
(remedial
authority) and
long-term
actions
• Manages
enforcement
costs and
activities
• Aware of, in
control of, and
responsible for
site charges
• Ensures costs are
reasonable and
necessary
Regional "<;-
• Project Officer
\(RPO)/Deputy, J-"
;,. Project Officer
'"'«• -WO),
• Employees of
EPA
• Manages
remedial,
enforcement,
removal, and
general site
support contracts
* '* v, *'„ ^ >
Administrative "•''
Support Onit
(ASU) " '
* *i
• Established in
each Regional
program office
• Staffed with
EPA staff (the
non-government
functions may be
J ••"'
performed by a
contractor)
• Provides
administrative
support to the
OSC/RPM
• Provides liaison
between
OSC/RPM and
other groups
involved in
administrative
matters
• Provides support
sr r
to Regional
program
111-33
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
EXHIBIT 111.14
RESPONSIBILITIES OF REGIONAL PROGRAM OFFICE
FINANCIAL STAFF
osc
• Prepares site
budgets and
contract action
requests
• Completes
Action
Memoranda
• Prepares
delivery orders
and PRs
• Establishes and
maintains
official site
file
• Reviews and
approves
cleanup
contractors'
charges on a
daily basis
• Tracks site costs
against the
established site
ceiling
• Approves
contractor
invoices
• Acquires
services using
warrant for up to
$250,000
Ordering
• Obligates a
maximum of
$250,000 for
removal actions
• Develops
statements of
work and cost
ceilings for
removal
RPM.
• Reviews
contractor
invoices and
financial reports
• Establishes and
maintains
official site files
• Initiates PRs,
Work
Assignments
(WAs), CAs,
lAGs, and
contracts
• Approves site-
specific IAG
invoices
RPO/DPO '
• Evaluates and
designates
contractor award
fees
• Monitors
contractors'
activities
• Reviews
monthly
contractor
reports and site-
specific
attachments
• Initiates PRs,
WAs, CAs,
lAGs, and
contracts
• Approves site-
specific IAG
invoices
• Identifies
Regional and
site-specific
contract
requirements
• Reviews
' invoices
• Provides general
contract
management
support
ASU ^ '
• Assists .
OSC/RPM in
administrative
duties
• Assists in
developing
removal site
budgets and
Action
Memoranda
• Maintains the
Removal Cost
Management
System (RCMS)
• Sets up and
maintains active
site files
« Completes PRs
and CNs
• Reviews IFMS
reports
August 21,1997
111-34
-------
OSWER Directive 9200.3-14-1D
EXHIBIT 111.15(1 OF 2)
FINANCIAL RESPONSIBILITIES OF HQ MANAGEMENT OFFICES
Financial Management Division
(FMD)/OC --
' 'Office derequisition ,
* , Management (OAM) „ '
Grants -Administration Division
(GAD)/Office-of Administration
Collects HQ's Superfund cost
documentation for cost recovery
• Oversees annual site-specific
reporting process
Issues financial policies and
procedures •
Provides general accounting
support
Records transfer allocations
Notifies Trust Fund to invest
cost recoveries, fines, and
penalties
Establishes Superfund ANs in
IFMS
Conducts Superfund contracting
program
• Negotiates, awards, monitors,
modifies, and terminates
contracts
• Provides technical guidance on
contract administration
• Provides cost and price analysis
• Issues, policies, regulations, and
guidance for processing,
awarding, and managing
financial assistance agreements
andlAGs
• Issues identification numbers
for all lAGs
Processes and awards HQ lAGs
EXHIBIT 111.15(2 OF 2)
FINANCIAL RESPONSIBILITIES OF HQ MANAGEMENT OFFICES
"Budget
Division/OC
« Allocates Superfund allowances
among HQ and Regions
• Approves Regional
allowances
• Monitors obligations against
regular and site allowances
• Processes transfer allocations
Processes change requests
Reprogram allowances
Financial Management Centef-
"* Cincinnati (EMC),
• Provides accounting support for
all Superfund lAGs
• Processes disbursement requests
from other agencies
• Processes billings for
reimbursable activities
• Enters IAG obligations and
disbursements into IFMS
Research TriangleParfc,(RTP)
Office of Administration ,
Provides accounting support for
all Superfund contracts
Enters contract award and
obligation data into IFMS
Processes contractor invoices
Enters payments into IFMS via
the Contract Payment System
111-35
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
EXHIBIT 111.16
FINANCIAL MANAGEMENT AND FUNDING PROCESSES
Activity
Discussion-
Approvals
Commitments
An approval by the AAs, Regional Administrator or official designee is authorization to
undertake a CERCLA-funded response action.
Early Actions (Removal Authority):
Regional Administrator approves actions costing up to $2 million, grants exemptions
to the twelve months and $2 million statutory limits based on consistency with the
long-term action, and may re-delegate to the OSC the authority to approve actions
costing up to $200,000 in emergency situations and up to $50,000 in non-emergency
situations.
Before taking action, an Action Memorandum must be approved, except in emergency
situations where verbal approval by the RA is sufficient. The Action Memorandum
documents whether the release meets the criteria of CERCLA and the National Oil
and Hazardous Substances Pollution Contingency Plan (NCP), and includes an
estimated total project ceiling. The OSC uses the estimate of duration and cost in
order to determine the proper approval authority.
— In extreme emergencies, the OSC may initiate activities without preparing the
necessary documentation in advance. The OSC must document the decision within 24
hours of initiating the response.
Early Actions (Remedial Authority), RD, RA, Site Screening and Assessment,
Enforcement, and Federal facilities:
Planning is accomplished through SCAP. Funds cannot be committed or obligated
unless the project is in SCAP.
— Obligation planned and executed on an OU or site basis. Outlays (payments) should
be attributed to the appropriate OU.
A Record of Decision (ROD) is required for all early actions (remedial authority) and
long-term actions. The ROD is signed by the Regional Administrator/Deputy
Regional Administrator, or the AA SWER. It documents the alternative decision-
making process, demonstrates that the requirements of CERCLA and the NCP have
been met, and provides the basis for future cost recovery actions.
Commitments are a reservation of funds but not a legal promise to pay a supplier. Once
the Regional FCO certifies the availability of funds, a spending action becomes a
commitment. Funds that are committed but not obligated are called open commitments.
There are two types of commitment documents: PRs and CNs. PRs commit funds for
contracts; CNs commit funds for CAs and reimbursable lAGs.
August 21, 1997
111-36
-------
OSWER Directive 9200.3-14-1D
EXHIBIT 111.16 (CONT'D)
FINANCIAL MANAGEMENT AND FUNDING PROCESSES
a- 4. v«-.i;- ysj •;» r«%: v;4.A "^- •"--, "-"
'<. Activity ?fe.; [,<:%,„ >n^A,, 'V.%i\.-v ^ "•«<$,•'
Commitments
(cont'd)
Obligations
Payments
(Outlays)
Deobligations
« Commitments expire at the conclusion of the Budget Fiscal Year (BFY). At the end of the
BFY, committed funds are decommitted.
• Each commitment is assigned a DCN.
• When IFMS transfers an obligation, each obligation is accompanied with a matching
decommitment.
• The contract number/OSWER Directive Number (ODN) represents a specific contract.
More than one actual obligation could fund a contract. Similarly, more than one DCN can
be associated with one contract number/ODN.
• Obligations legally bind the government to pay a supplier for goods or services. Obligated
funds can no longer be used for any other purpose.
• A contractor, another Federal agency, or State cannot start work until funds have been
obligated. Funds can be used only for the purpose for which they were obligated.
• Obligating documents must be processed in accordance with guidance issued by OAM,
GAD, and FMD. Some contracts are awarded by OAM and entered into IFMS by the '
SFO/RTP; others are handled by the Regions. Obligations for CAs are entered into IFMS
by the Regions; lAGs are entered by the FMC-Cincinnati.
• Invoices from'contractors/suppliers are submitted to the proper SFO for payment. Before
payment, there must be an obligating document and a receiving report to verify that the
work was completed, or that the goods received were satisfactory. Unpaid obligations
remain in IFMS until paid, or until the allowance holder or obligating official notifies the
SFO that no further payments will be made. When financial records are transferred from
IFMS, each payment is accompanied with a matching deobligation.
• Regions should regularly review the status of all contracts, lAGs, and CAs. If all activities
have been completed, remaining funds should be deobligated immediately to make them
available for other activities. Regions should hold 15 percent of contract obligations to
fund site closeout activities.
111-37
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
EXHIBIT 111.17
HANDLING FINANCIAL DATA IN THE CERCLIS ENVIRONMENT
Funding Document prepared by Program Office in
appropriate area (Site Assessment, Remedial, Removal,
Federal Facilities, Enforcement)
CAs signed by
Regional Administrator
Contracts signed by CO
FMO reviews the Funding Document, assigns the
appropriate account information, and enters
commitment information
FMO reviews the Obligation Document, assigns the
appropriate account information (AN/DCN) and enters
Regional Obligation into IFMS
Obligation data is
transferred from IFMS into
CERCLIS
:FMD reviews the Payment
Document
Payment data transferred to
CERCLIS
lAGs signed by
Participating Parties
J
Commitment information is transferred
from IFMS into CERCLIS
August 21, 1997
111-38
-------
OSWER Directive 9200.3-14-1D
EXHIBIT 111.18
EPA FORMS COMMONLY USED FOR SUPERFUND PROCUREMENTS
EPA Form
Number
"Form Name
'Pjurpose
Comments
1900-8
1900-48
1900-49
1900-56
1900-59
Procurement
Request/Purchase
Order
Order for Services-
Emergency Response to
Hazardous Substance
Release
Notice to Proceed with
Emergency Response to
Hazardous Substance
Release
Letter contract for
State, Tribal
Government, or Local
Government Response
to Emergency
Hazardous Substance
Release
Delivery Order for
ERGS and ERRS
The Agency's basic form for
requesting the procurement of
any goods or services. Used to
commit funds before obligating
funds on any of these
documents. Must be certified by
FCO.
Used by OSC's to obligate funds
and contract for services (up to
$2,5000) from commercial firms
or a State or local government
(if site not owned by State or
subdivision at time wastes were
disposed of) to respond to a
release.
Used by OSC to authorize a
contractor to begin work on an
emergency response (up to
$10,000 per incident).
Negotiation of definitive
contract and any modifications
performed by CO.
Used by OSC to procure
services from a State, local or
Tribal government to begin
work on an emergency response
(up to $10,000 per incident) if
site was not owned by State or
subdivision at time of hazardous
waste disposal. Negotiation of
definitive contract and any
modifications performed by CO.
Used by OCS to order services
(up to $250,000) from the ERGS
or ERRS contractor to respond
to a release. All modifications
and obligations greater than
$250,000 will be processed by
the CO.
This form is the basis for entering
a commitment in IFMS. The
FMO enters an obligation only
upon receiving a contract
document or purchase order.
Results in a firm, fixed-price
contract. No price adjustment
may be made for work stated in
contract. Contractor may submit
only one invoice. FMO will
process contract as an obligation.
A preliminary contractual
instrument that must be made final
by a designated CO. FMO will
process notice as an obligation.
Results in a cost reimbursement
type agreement with a State, local,
or Tribal government. It is a
preliminary contractual instrument
that must be made final by a CO.
The appropriate FMO will process
a letter or contract as an
obligation.
Has time and material provisions
but uses fixed rates negotiated in
ERGS or ERRS contract. Order
must be made final by a
designated CO. FMO will
process orders as an obligation.
111-39
August 21, 1997
-------
I
OSWER Directive 9200.3-14-1D
Contract
Type
Obligated
and tracked
on a site-
specific
basis.
Includes
ARCS,
ERGS,
RAG,
START,
and ERRS.
EXHIBIT 111.19
FINANCIAL MANAGEMENT OF SITE-SPECIFIC CONTRACTS
Commitment
Obligation
Payment
PR is used to commit
funds
Usually prepared in
advance of the obligating
document except in
emergency situations
when they are prepared
simultaneously or out of
sequence.
Regional program office
(OSC, Ordering Officer,
RPM, RPO) prepares the
PR for site-specific
activities, obtains the
necessary Regional office
approvals, and forwards
the document to the SFO
for certification of funds
and addition of
accounting information
(AN and DCN).
SFO enters into the IFMS.
AAU distributes executed
LAG to program office,
GAD, and FMC-
Cincinnati, where
obligation is recorded in
IFMS
Obligated by the Regional CO,
the Regional Ordering Officer
(OSC) or HQ OAM.
Obligational authority is
determined by the type and
amount of contract.
In emergency situations, OSCs
have contractual authority to
obligate up to $250,000 via a
delivery order under an
existing contract. Regions
have limited this authority to
$50,000.
SFO/RTP enters the obligation
into IFMS.
OSC or DPO reviews contractor
invoices for early actions
(removal authority) and signs
statement indicating the services
have been provided.
CO and RPM review contractor
invoices for early actions
(remedial authority) and long-
term actions. RPM informs the
Project Officer (PO) if the
invoice accurately reflects
contractors' activities.
Invoices must be reviewed
within 5 days.
If the OSC disallows or disputes
charges, a copy of the invoice is
sent to the CO with an
explanation. OSC sends origina
voucher with a copy of the
explanation to RTF.
If the RPM identifies a problem
it should be reported to the PO
for resolution.
Certified copies of the invoices
are sent to SFO/RTP for
processing and payment.
August 21,1997
111-40
-------
OSWER Directive 9200.3-14-1D
EXHIBIT IIL20
FINANCIAL MANAGEMENT OF NON-SITE SPECIFIC CONTRACTS
,, ^Discussion"-
*./?
Pkvtneri't'
General Site,Support
.Enforcement Support Services
(ESS) .
Mission Support
Contracts
• Not obligated on a site-specific
basis
• Capable of providing broad
technical and planning support
on an "as needed" basis
• Includes START, CLP, and
Environmental Services
Assistance Team (ESAT)
Combination of general site
support and site-specific
contracts; however, not obligated
on a site-specific basis
Regions issue WAs against the
contract on a site-specific basis
Site-specific WAs are not
entered into IFMS
Provides support to HQ and
Regional program offices
Not for site-specific work
Not obligated site-specifically
Contractors submit site-specific
attachment that includes
invoiced costs for:
— Each site with a S/S ID
— All other sites
— Program management
— Base and award fee
— Non-site activities
(e.g., training)
Contractors submit original
invoice to RTP and copies to
HQPO
PO reviews invoice
RPOs and DPOs may conduct
concurrent reviews
• Contractors submit site specific
attachment that includes
invoiced costs for:
— Each site with a S/S ID
— All other sites
— Cost plus/fixed/award fee
— Non-site activities
(e.g., training)
• Contractors submit original
invoice to RTP and copies to
RPO
• RPO reviews invoice
• RPOs and WAMs may conduct
concurrent reviews
Administered totally by HQ
111-41
August 21, 1997
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I
OSWER Directive 9200.3-14-1D
EXHIBIT 111.21
DISBURSEMENT LAG FINANCIAL MANAGEMENT
Commitment
Obligation
Paymetit
Closeout-
Regional
program office
initiates
Regional SFO
determines
availability of
funds
• Program office
prepares IAG
funding
package,
including CN,
transmittal
memo, EPA
Form 1610-1,
and Decision
Memo that
verifies legal
authority
Decision
Official in
Region
approves
Administrative
Assistance Unit
(AAU) conducts
administrative
review
SFO adds
accounting data
and enters
commitment
into ADCR and
IFMS
AAU obtains IAG
number from GAD
Action Official signs
IAG
AAU sends IAG to
other Federal agency
for signature
AAU distributes
executed IAG to
program office, GAD,
and FMC-Cincinnati,
where obligation is
recorded in IFMS
If other agency does not have
reimbursable authority, FMC-
Cincinnati pays before
activities begin
If the Simplified Interagency
Billing and Collection system
(SIBAC) or the On-line
Payment and Collection
system (OPAC) is used,
payment is made before
Region certifies. Region may
request adjustments
If paying by check, voucher
submitted to FMC-Cincinnati
— FMC-Cincinnati
forwards voucher to
Region
— Region reviews and
certifies
— FMC-Cincinnati pays
voucher
USAGE direct site payment
process allows EPA to
directly pay for long-term
actions with USAGE
certification
Regional program office
accepts final report
AAU queries Regional
program office when
project period expires or
when no project activity is
shown for two quarters
Regional program office
determines whether IAG
should remain open or be
closed. Notifies AAU
Regional program office
prepares closeout request.
Sends it to AAU
AAU determines from
FMC-Cincinnati that IAG
is closed
AAU sends closeout letter
to other agency, and
notifies GAD and Regional
program office
August 21, 1997
ffl-42
-------
I
OSWER Directive 9200.3-14-ID
EXHIBIT 111.22
ALLOCATION TRANSFER IAG FINANCIAL MANAGEMENT
Commitment „
-Obligation 'f
Payment
-CloSebut
Headquarters initiates
Develop preliminary
cost estimate with other
agency
Regional program
office prepares funding
package, including EPA
Form 1610-1,
transmittal memo, and
Decision Memo
Decision Official
reviews and approves
funding package and
submits to AAU
AAU obtains IAG
number from GAD
GAD enters IAG data
into Grants
Information Control
System (GICS)
Action Official signs
IAG package
AAU submits IAG to
other agency for
signature
Program office
submits change
request to the Budget
Formulation and
Control Branch
OC withdraws funds
from Region's
allowance and
transfers them to the
EPA transfer
allocation account
Financial Reports and
Analysis Branch
executes transfer
Obligational authority
is transferred to other
agency, EPA monitors
expenditures
Same as disbursement
IAG; however, AAU
asks EPA Office of
Inspector General;
(OIG) to request the
other agency's OIG to
determine financial
status of the IAG
Other agency submits
monthly SF 133,
Budget Execution
reports on obligations
and expenditures to
FMD
Other agency submits
periodic status reports
to program office and
HQ Superfund Budget
Branch
Other agency
maintains records and
documentation,
submits to EPA upon
request
Program office
reviews progress
reports
111-43
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
EXHIBIT HI.23
COOPERATIVE AGREEMENT FINANCIAL MANAGEMENT
Commitment
• Regional
Program Office
prepares CN and
obtains all
necessary
program
approvals
• Regional
Management
Division certifies
availability of
funds, assigns
accounting data,
sets aside the
funds on ADCR,
and enters
commitment into
IFMS
• AAU assigns CA
identification
number
Obligation
• Regional
Administrator or
his/her designee
signs CA
• Regional
Management
Division processes
obligation in
accordance with
OAM, GAD, and
FMD requirements
• Regional
Management
Division enters
obligation into
ADCR and IFMS
Payment , > „
! "„ ^ '
• By EPA-Automated
Clearing House
(EPA-ACH)
Payment System
• Uses Department of
Treasury electronic
payment mechanism
• SFO reviews to
determine if:
— Budget period is
valid
— EPA-ACH AN
and summary
detail are correct
— Project numbers
valid
— Funds available
— Reports received
— Balance on hand
not excessive
- D*eobHgatipnu"'s
''• /*
• Handled same
as obligation,
except dollar
amount is
reduction
• Availability of
funds after
deobligation
depends on
when they were
originally
obligated
• Current FY
funds are
available as
soon as
deobligation is
effective
'•/ssTransfer'of
"" '" , -Funds " „ »>
• Under multi-site CA,
funds can be
transferred from one
site to another site or
one response phase
to another response
phase at the same
site
• Called a transwitch
• Requires formal
CA amendment
August 21,1997
111-44
-------
I
OSWER Directive 9200.3-14-ID
EXHIBIT 111.23 (CONT'D)
COOPERATIVE AGREEMENT FINANCIAL MANAGEMENT
jSommitmenX
' /> ^jvji, ^,
^ Obligation-^ -
"''*- Payment
"x ''<-, r<*
> •• ' '
• All or part of
request may be
approved
• SFO notifies
recipient of
modified or
rejected payment
• If approved, EPA
transfers to
recipients 's
financial institution
• Region monitors
monthly
* "Deobligatiotf,
V ^
• Prior year
funds revert to
HQfor
redistribution
• Regions
should
regularly
review status
^ / , TraHsfer of
Funds
• CA amendment
shows transfer of
funds by changing
accounting
information
To ensure that Fund monies are effectively used, procurement activities should be initiated with RD funds only when
the Region is confident the SSC will be signed before bids are opened.
Exhibit 111.24 explains the SSC financial management requirements. For additional information on financial
management responsibilities related to SSCs, refer to the Resources Management Directives Systems 2550D,
Chapter 9.
COST RECOVERY/COST DOCUMENTATION
CERCLA, as amended, imposes liability on responsible parties for the cost of responding to releases or
threatened releases of hazardous substances from hazardous waste sites or spills. When these PRPs fail to clean up
sites on their own, EPA may perform the cleanup and later attempt to recover the cleanup costs from the parties.
Obtaining reimbursement for these costs through negotiation or judicial action is one of the primary goals of the
Superfund program.
Cost recovery documentation is performed by a case development team composed of representatives from the Office
of Regional Council (ORC), the Regional program office, and the Regional SFO. The involvement and distribution of
responsibilities of each of these offices during the cost recovery process varies among the Regions, and may be defined
by a Regional Inter-Office Memorandum of Understanding. Exhibit 111.25 is provided as a brief guide to the cost
recovery case development process.
111-45
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
EXHIBIT 111.24
SSC FINANCIAL MANAGEMENT
Requirements
Development
Accounts
Receivable
Payment
Schedule
Billing
Receipt of
Payment
Closeout
• In place before EPA or political subdivision begins Fund-financed early action (remedial
authority), RA, or NIC removal where the State is sharing the cost
• If USAGE is performing the action, SSC must be signed before construction contract is signed
• Assures State will pay its cost share of 10% of an early action (remedial authority), RA, or NTC
early action (removal authority) for privately operated sites or 50% of the ESI/RI/FS, RD, RA,
and early action for publicly operated sites. At the time of the early action (remedial authority)
or RA start, the State is required to pay 50% of all prior Superfund response activities
• Contains program assurances and payment schedule
• Developed by Regional program office
• State may be required to provide cash payments to EPA
• RPM/RPO forwards copy of SSC to Regional Management Division for accounts receivable
processing
• RPM/RPO forwards SSC modifications to Regional Management Division
• State payment schedules are negotiated and may be either lump-sum or incremental
• State cost share is available and should be considered when requesting funding
• 30 days prior to SSC payment schedule, Regional Management Division will send notice of
amount required and due date to State
• Payment is sent to Regional Superfund lockbox address
• Regional Management Division will reference SSC, including site name and identifier on
invoice
• State must include a copy of the invoice with any remittance
• If funds not received when due, Regional Management Division follows up with RPM/RPO
• RPM/RPO follow up with State and advise Management Division
• No interest will accrue on invoiced amount if State dollars are provided before EPA obligates
funds for an early action (remedial authority) or RA. In this case, the Region deposits money in
Trust Funds and receives a reimbursable allowance
• RPM/RPO is responsible for notifying Regional Management Division to close out SSC
• Regional Management Division reconciles financial data
August 21, 1997
in-46
-------
OSWER Directive 9200.3-14-ID
EXHIBIT 111.25
COST RECOVERY REFERRAL DEVELOPMENT PROCESS
Activity
Initiation of Cost
Recovery Process
Cost
Documentation
and
Reconciliation
Work Performed
Documentation
and
Reconciliation
Site File
Maintenance
* Description
Regional program office prepares and submits cost recovery checklist through Regional
Cost Recovery Coordinator (RCRC) to Regional SFO. Checklist identifies date through
which costs are to be documented and date documentation is required.
RCRC requests site-specific reports generated by the Superfund Cost Organization and
Recovery Enhancement System (SCORES) to provide cost basis for negotiations with
PRPs.
Involves collecting and reviewing documentation to ensure accounting and cost
information are recorded correctly, costs are properly charged, ANs refer to the
appropriate site, and costs on documents are accurately reflected in IFMS.
SFO documents Regional Superfund costs and prepares cost summary, computes
indirect costs, provides expert and factual financial witness testimony, and interprets
financial documents and SCORES reports.
ORC reviews final cost summary and documentation in preparation for litigation and
takes appropriate action pursuant to the Privacy Act and Confidential Business
Information requirements.
Involves collecting and reviewing documentation to ensure that costs are being pursued
for appropriate site activities.
RCRC assembles copies of any task-creating document (WA, Purchase Order, Delivery
Order, etc.) as well as amendments, modifications, progress reports and close-out
reports for the tasks included in the cost recovery referral.
RCRC works with the SFO to ensure agreement between the cost and work performed
documentation.
ORC reviews final work performed documentation package and takes appropriate action
pursuant to the Privacy Act and Confidential Business Information requirements.
Diligent maintenance is crucial to cost recovery and is a Regional responsibility.
Financial files maintained by the FMO until 2 years after all cost recovery litigation is
complete.
Work performed files maintained by contracts officials or RCRC in accordance with
Agency disposal guidance.
Disposal of files is permitted 30 years after cost recovery is completed or upon
completion of imaging or when no longer needed, whichever is later.
Cost recovery documentation should be maintained by the RCRC until required by the
litigation team.
111-47
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
HANDLING FINANCIAL DATA IN THE CERCLIS ENVIRONMENT
This section discusses the process for entering response and enforcement extramural budget data into CERCLIS.
During FY 97, an automated link for downloading IFMS data into WasteLAN/CERCLIS was initiated.. Transfer of
financial information from IFMS to CERCLIS will eliminate the need for manual entry of actual financial data
(commitments and obligations) into CERCLIS. Planned financial data must still be entered into CERCLIS by the
Region; the procedures for entering planned financial data remain the same. The only difference is that the IFMS
Account Number is generated by CERCLIS at the time the planned obligation is first entered. This Account Number
must be entered on all funding documents at the time the planned obligation is executed, i.e., committed or obligated.
If the Account Number is not correct, the IFMS to CERCLIS nightly transfer will not work properly.
Entering Response and Federal Facility Data into CERCLIS
Once the funding document has been processed by the Region, and actual commitment or obligation data are entered
into IFMS and transferred to CERCLIS, the planned financial data must be deleted from CERCLIS. If a Region wants
to retain planned financial data, it must enter the planned obligation into CERCLIS with a Regional Financial Type. The
"Planned" Financial Type cannot remain in the system once the funds are committed or obligated. Failure to replace the
Planned Financial Type could cause the Region to exceed its annual budget, which will result either in withholding AOA
approval, or a reduction in next quarter's AOA.
As a result of the IFMS transfer, Regions will .no longer enter actual commitments and obligations into CERCLIS.
Although planned financial data will still be entered into CERCLIS by the Regions, actual commitments and obligations
will now be entered solely into IFMS by the Regional FMO. From IFMS the data will be downloaded into CERCLIS
on a nightly basis. This new process should eliminate data errors associated with the double-entry and subsequent
reconciliation of data between IFMS and CERCLIS.
Entering Enforcement Extramural Budget Data into CERCLIS
Regional personnel are no longer be responsible for entering obligations/tasking [Work Assignment (WA)] amounts
into CERCLIS. Although Regions are still responsible for entering planned financial data into CERCLIS, actual
commitments and obligations for enforcement actions will now be entered solely into IFMS by the Regional FMO. From
IFMS, the data will be downloaded into CERCLIS on a nightly basis.
To ensure that all appropriate financial data are reflected in CERCLIS, the following information along with the
Account Number (AN), should appear on obligation documents: EPA identification number (EPA-ID), S/S ID, CERCLIS
action or subaction codes and OU number, WA number, amendment number, and amount.
ANs must be established for each transaction before commitment and obligation. A CA is considered obligated
when it is signed by the Regional Administrator. An IAG is considered obligated when it is signed by the other agency.
Contracts are considered obligated when the CO signs the obligating document or, in the case of an ESS WA, when the
CO signs the WA. Regions also are responsible for reviewing and recommending payment of the invoice/voucher for
these mechanisms. Once invoices are paid, these dollars (outlays) are entered into IFMS. If the obligation is generic
and the invoice is site-specific, IFMS shows the funds deobligated from the generic account and obligated and disbursed
from the site-specific account.
Correcting Financial Data
The IMC or Regional Superfund Budget Coordinator can request, on a regular basis, a report from the Regional
financial office that contains all Superfund financial transactions in IFMS. The information in this report can be
compared with the funding documents and the information in CERCLIS. If there is a discrepancy between the financial
data in CERCLIS and IFMS, the funding document should be used to verify the information in both systems. There are
three kinds of corrections which may be needed on financial information in IFMS, as shown in Exhibit 111.26.
August 21, 1997 111-48
-------
OSWER Directive 9200.3-14-ID
Upon determining that the data on the funding document are correct, the IMC should give the Regional FMO a copy
of the funding document, and any other relevant documentation showing that the IFMS data has been entered incorrectly.
The Regional IFMS administrator is then responsible for correcting any data errors in IFMS. The IFMS administrator
is the only person authorized to correct data entry errors or change financial information in the IFMS database. The OC
has issued standard procedures for correcting IFMS data. The IMC or designee should work with the Regional FMO
on a regular basis to make sure that all IFMS errors are corrected.
Errors in AN/DCN or other information on the original funding document can only be corrected by the same process
used to initially create the financial record (by a contract/PA or by amendment of the IAG or CA).
EXHIBIT HI.26
CORRECTIONS TO FINANCIAL INFORMATION
Data entry errors in IFMS
Changing ANs or DCNs that were initially entered into IFMS
Correcting errors in the source funding document or making other
amendments to existing commitments or obligations
111-49
August 21, 1997
-------
OSWER Directive 9200.3-14-lD
This Page Intentionally
Left Blank
August 21,1997
111-50
-------
OSWER Directive 9200.3-14-1D
Index
Acronyms, xxii
Advice of Allowance (AOA), III-l 1
Change Request Procedures, III-17
Flexibility, 111-14, 16
Procedures, III-11
Process, 111-12
RA Allowance, HI-16
Regional Allowances, III-11
SCAP, Relationship to, III-19
Utilization, 111-10
AOA (see Advice of Allowance)
Brownfields
Financial Management, III-l
History of, 1-17
Pilots, 1-17
Program Priorities, 1-17
Prospective Purchaser Agreements, 1-17
Tax Incentives, 1-17
Budget, III-l
AOA Procedures and Financial Reporting
Requirements, III-l 1
CERCLIS Financial Data, 111-48
Development, III-5
Enforcement, III-7
Federal Facilities, III-8
FY 98 National Budget, III-5
FY 98 Regional Budget, HI-6
Outyear Budget Development, "III-2
Regional Analytical, III-9
Response, III-6
Travel, Site Specific, III-8
Change Request Procedures, III-18
CERCLIS Financial Data
Entry, 111-48
Correcting Financial Data, IH-48
Cost Recovery/Cost Documentation, 111-45
Enforcement Extramural Budget
Data, 111-48
Response and Federal Facility Data, IH-48
Construction Completions, I-10
Early and Long-Term Actions
Targets and Measures, Appendix B
Enforcement
Budget, HI-7
Cost Recovery/Cost Documentation, 111-45
Extramural, Entry into CERCLIS, 111-48
Targets and Measures, Appendix C
Environmental Indicators, 1-14, Appendix B
Federal Facilities
Budget, III-8
Extramural, Entry into CERCLIS, 111-48
Targets and Measures, Appendix D
Financial Data, 111-48
CERCLIS Environment, ffl-48
Correcting Financial Data, 111-48
Entering Enforcement Extramural Budget
Data into CERCLIS, 111-48
Entering Response and Federal Facility data
into CERCLIS, 111-48
Financial Management, 111-26
CERCLIS, 111-48
Cooperative Agreements (CAs), 111-31
Correcting Financial Data, 111-48
Cost Recovery/Cost Documentation, 111-45,
111-48
Enforcement Extramural, 111-48
Funding Processes and Mechanisms, 111-30
Headquarters Responsibilities, 111-30
Interagency Agreements (lAGs), III-31
"OO" Accounting Information, 111-30
Regional Responsibilities, 111-30
Superfund State Contracts (SSCs), 111-31
Tools and Systems, 111-28
"WQ" Accounting Information, IH-30
"ZZ" Accounting Information, 111-30
Financial Tools and Systems, 111-28
Account Number, 111-29
Cooperative Agreements (CA), III-31
Interagency Agreements (IAG), 111-31
"OO" Accounting Information, 111-30
Superfund State Contracts (SSCs), 111-31
"WQ" Accounting Information, 111-30
"ZZ" Accounting Information, 111-30
FY 98 National Budget Development, III-5
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
Index
FY 98 Regional Budget, IH-6
Enforcement Budget, III-7
Federal Facilities Budget, III-8
Response Budget, III-6
FY 99 Budget Development, HI-2
Approval, ffl-3
Formulation, III-3
Outyear, ni-2
Program Characterization, III-2
Review Phase, III-2
Timeline, ffl-4
Government Performance Results Act (see
GPRA)
GPRA, 1-2
Annual Performance Plan, 1-5
Appendix G
Description, 1-2
Goals, 1-7
Oil Measures, 1-8
Program Performance Reports, 1-6
Strategic Plan Requirements, 1-3
Superfund, 1-7
Information Systems, II-5,11-16, Appendix E
Integrated Financial Management Systems (see
DBMS)
IFMS
AOA Process, IH-12
AOA Change Request Procedures, 111-17.
CERCLIS, Handling Financial Data, 111-48
Financial Management Tools, 111-28
Entering Enforcement Extramural Budget Data,
m-48
"OO" Accounting Information, 111-30
"WQ" Accounting Information, 111-30
"ZZ" Accounting Information, 111-30
Manager's Schedule of Significant Events,
xvii
Memorandum Of Agreement (MOA), 1-8
Oil Program, Appendix F
Organizational Charts, xxviii
Outyear Budget Development, III-2
Program Goals and Priorities, I-10
Base Closures, 1-14
Block Funding, 1-18
Building Superfund Partnerships, 1-16
Brownfields, 1-17 (see also, Brownfields)
Construction Completions, I-10
Contract Management, 1-16
Cost Recovery, 1-13
Customer Orientation, Encouraging, 1-19
Enforcement First, 1-13
Environmental Indicators, 1-14
Innovative Technologies, I-11
Maximizing Program Effectiveness, Efficiency,
1-13
NPL Listings, Clarifying Policy, I-18
Performance Partnership Grants, 1-18
Promoting Fairer Program, 1-11
Protect Human Health and Environment, I-10
Risk Based Priorities, 1-22
Site Assessment, Reinventing, 1-13
State Remedy Selection, Piloting, 1-19
State/Tribal Role, Enhancement, 1-18
Program Planning and Reporting
Requirements, II-1
Action Qualifiers, Site Assessment, 11-24
Annual Target Setting, II-9
Annual Reporting Requirements, 11-17
Anomalies and Phased Projects, 11-27
Brownfields, 1-17,11-20
HQ Evaluation of Regional Performance,
11-14
Integrated Planning, II-1
Leads, 11-21,11-23
Phased Projects, 11-27
RODs, 11-25
SCAP, Relationship to Other Management
Tools, II-2
Site Assessment, Reinventing, 11-21
Work Planning, II-9,11-21
Records of Decision (see RODs)
Regional Accomplishment Reporting, 11-12
August 21, 1997
B
-------
OSWER Directive 9200.3-14-1D
Index
Regional Map, xxxii Reforms, 1-20
Risk Based Priorities, 1-22
Regional Performance, HQ Evaluation of, Superfund Measures, 1-7
II-14
End-of-Year Assessment, 11-14 Work Planning, II-9,11-21
Management Reporting, 11-16
Mid-Year Assessment, 11-14
Regional Reviews, 11-16
RODs
Fundamental Changes, 11-26
Non-Significant Changes, 11-25
Requiring No Physical Construction, 11-26
Significant Changes, 11-26
SCAP
CERCLIS Reports, 11-10, 12
Change Control, II-6
Change Requests, 11-18
Information Systems, II-5
Introduction to, II-2
Maintaining in CERCLIS, II-6
Maintaining Planning Targets/Accomplishm
ents, 11-20
Management Tools, Relationship to, II-2
Overview of Process, II-5
Program Evaluation, II-8
Regional Budget, Relationship to, III-9
Roles and Responsibilities, HQ/Regional,
II-6
Target Setting, Annual, 11-10
Work Planning, II-9,11-21
Site Assessments
Action Qualifiers, 11-24
Program Priorities, 1-13
Reinventing, 11-21, III-1
Targets and Measures, Appendix A
Superfund
Annual Reporting Requirements, 11-17
Current Program Priorities, (see Program
Priorities)
GPRA, 1-2, Appendix G
History of, 1-1
Management Reports, ft-16
Measures of Success (MOS), Appendix C,
Appendix G
Oil Measures, 1-8
Reauthorization, 1-2
August 21,1997
-------
OSWER Directive 9200.3-14-lD
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Left Blank
August 21,1997
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Superfund/Oil Program Implementation Manual FY 98
Appendix A: Site Screening and Assessment/Regional Decisions
Change 2: R$$ife' indicates changed text. April 23, 1998
-------
OSWER Directive 9200.3-14-1D
This Page Intentionally
Left Blank
o
April 23,1998 Change 2: Redlpe indicates changed text.
-------
OSWER Directive 9200.3-14-1D
Appendix A
Site Screening and Assessment/Regional Decision
Targets and Measures
Table of Contents
Site Screening and Assessment/Regional Decision FY 98 Targets And Measures A-l
Reinventing Site Assessment A_j
Site Assessment,Backlogs » I
Overview of FY 98 Site Screening and Assessment/Regional
Decision Targets and Measures A_2
GPI^^^Site^i^ipienf"''''"' ""*"* "" ' -, ' -" fc_2
Superfund Durations ".... .T ..""..."" A3
Site Screening and Assessment/Regional Decision Definitions
Brown fields Assessment A_g
Pre-CERCLIS Screening Assessments A_6
Site Discovery . -
SSA-3 • Sites Archived '.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'. A-8
Preliminary Assessments (PA) at Non-Federal Facility Sites A-9
Federal Facility Preliminary Assessment Review^ " ' A_10
Site Inspections (SI) at Non-Federal Facility Sites '.'.'.'.'.'.'.'.......'' A-l 1
Combined PA/SI Assessments at Non-Federal Facility Sites ' • ' A-13
Site Inspection Prioritizations (SIPs) at Non-Federal Facility Sites ."..." A-14
Expanded Site Inspections (ESI) at Non-Federal Facility Sites A-16
Federal Facility SI/ESI Reviews ' ' , ' A,17
Integrated Expanded Site Inspection/Remedial Investigation (ESI/RI)
at Non-Federal Facility Sites A_lg
Hazard Ranking System Package (HRS) '.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'" A-20
Integrated Removal/Remedial Evaluation A_2j
Regional Decisions A ~~
Engineering Evaluation/Cost Analysis (E.E./CA) '.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'. A-23
Community Involvement '" ' A 24
Support Agency Assistance A-24
Technical Assistance A 2«
Technical Assistance Grants (TAGs) A 25
iPLListing - '^ , ^""'"/li""..V(",!'""/'" V"";V.'' A-26
Remedial Investigation (RI) Starts "......." . A-27
Feasibility Study (FS) Starts '.'.'.'.'.'.'.'.'.'.'. A-29
Combined RI/FS Start '.'.'.'.'.'.'.'.'.'.'.'.'.'.'.I A-30
Start of Public Comment Period (Proposed Plan to Public) A31
RI/FS Duration '.'.'.'.'.'.'. A-32
Decision Document Signed A_32
ROD Amendments and Explanation of Significant Differences (ESDs) '.'.'.'.'.'.'.'.'.'.'.'. A-33
Change 2: Redjini? indicates changed text.
April 23, 1998
-------
OSWER Directive 9200.3-14-1D
Appendix A
Site Screening and Assessment/Regional Decision
Targets and Measures
List of Exhibits
EXHIBIT A.1 SITE SCREENING AND ASSESSMENT/REGIONAL DECISION ACTIVITIES A-4
EXHIBIT A.2 SITE SCREENING AND ASSESSMENT/REGIONAL
DECISION PLANNING REQUIREMENTS ...'.
A-35
April 23,1998
Change 2: Redlins indicates changed text.
-------
OSWER Directive 9200.3-14-1D
APPENDIX A
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
FY 98 TARGETS AND MEASURES
REINVENTING SITE ASSESSMENT
Historically, the site assessment process consisted of completing Preliminary Assessment (PA), Site Inspection
(SI),Expanded Site Inspection (ESI), and Hazard Ranking System (HRS) activities as needed, for the purpose of
determining whether to place sites on the National Priorities List (NPL). EPA has been -revisiting this process and
purpose due to-several developments including: 1) the need to encourage Browji fields redevelopment; 2) the unintended
stigma associated with adding^a site into CEROLIS; and 3) the increased expertise of State and.Tribal programs. EPA
has been implementing various site assessment pilots such as iritergrated Assessments and Pre-CERCLIS Screening to
aid in developing a more efficient and effective Superfund site assessment program with the overall purpose of
determining the most appropriate cleanup mechanism for sites [e.g., NPL, State Voluntary Cleanup Program (VCP), State
or federally implemented Resource Conservation and Recovery Act (RCRA) programs, etc.]. Key goals of the pilots
are to give States increased responsibility, encourage early/more efficient cleanups, reduce costs, and promote
environmental recovery and economic revitalization. Regions should follow the traditional site assessment process for
sites listed in CERCLK5 unless sites are being addressed through approved pilots.
A key function of Headquarters (HQ) is to report national progress made'in the siteassessment program. Workload
estimates are critical indicators of future -program needs. HQ captures these workload estimates by identifying the
number of sites at various stages in the site assessment pipeline. Thes'e stages are commonly referred to as "backlogs".
For-example, sites needing completion of a CERCLA preliminary assessment are collectively termed the "PA Backlog".
Throughout this appendix, the derivation of backlogs used by HQis provided for each action type; however, the NPL
eligible backlog is made up of sites spanning several different action types. HQ derivation of the NPL eligible backlog
consists of sites where:
• Site inspections or more comprehensive assessments (e.g., expanded, site inspections) have been recorded in
CERCLIS with actual completion dates; or
•: A/preliminary or final Hazard Ranking System (HRS) package generates a score equal to or greater than 28.5; or
• The last assessment completed at the-site^has a decision of Low (L), High (H), Recommended for HRS Scoring (G),
Being considered for proposal to the NPL (O); or
site has not been;£TO^
The site is not; captured; in any ptiher J&^sment;bacfclpg;
Change 2: Redline indicates changed text.
A-l
April 23 1998
-------
OSWER Directive 9200.3-14-1D
OVERVIEW OF FY 98 SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
TARGETS AND MEASURES
The Superfund Comprehensive Accomplishments Plan (SCAP) is used by the Assistant Administrator for the Office
of Solid Waste and Emergency Response (AAOSWER), Assistant Administrator for the Office of Enforcement and
Compliance Assurance (AA OECA), and senior Superfund managers to monitor the administrative progress each Region
is making towards achieving its Superfund goals. Superfund Isitsl^SiinS cleanup results are tracked through
.
targets and measures at the SCAP level as well as internal reporting measures. Those Superfund activities not
tracked at the SCAP level are monitored for internal management purposes by Headquarters (HQ).
SCAP will serve as the mechanism through which the Office of Emergency and Remedial Response (OERR) will
track Government Performance and Results Act (GPRA) progress. As such, the program will set national goals based
on historical performance and performance expectations within a limited budget for the performance goals in GPRA and
track accomplishments in the activities contributing to those goals. HQ will not establish specific Regional targets and
measures for GPRA. Regions should continue to plan and report accomplishments in CERCLIS as they have
traditionally. There are no additional GPRA-related sitelssessmiSit reporting requirements for the Regions in FY 98.
The differences between SCAP targets and measures remain the same (i.e., a pre-determined numerical goal
versus an activity deemed essential to tracking overall program progress, respectively). OERR will continue to
track site assessment activities to document and evaluate administrative program progress and to analyze program trends.
SCAP accomplishments will be pulled from CERCLIS on a quarterly basis. Planning measures are used to project the
number of actions that each Region expects to perform during the year using anticipated resources. Reporting measures
simply track the number of actions that occur throughout the year and are used to evaluate overall progress through the
cleanup pipeline. Planning measures also report accomplishments.
The following pages contain, in pipeline order, the definitions of the FY 98 site screening and assessment/Regional
decision SCAP targets and measures , internal management planning and reporting measures, and site screening and
assessment project support activities. Exhibit A.I displays the full list of site screening and assessment and Regional
decision activities defined in this Appendix. Exhibit A.2, at the end of this Appendix, identifies planning requirements
for all site screening and assessment/Regional decision activities.
GPRA^ANDSITEASSESSl^NT
The current GPRA subobjective for site assessment is:
"By 2005, EPA and its partners will decide whether Federal Superfund cleanup is needed at 85 percent of waste sites
entered into CERCLIS, using a decision-making process that assesses potential risk to human health and the environment
and which incorporates tribal cultural and subsistence values."
April 23,1998 A~2 Change 2: Inline indicates changed text.
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OSWER Directive 9200.3-14- ID
There is one key performance measure included in the Annual Plan relating to site assessment. This measure focuses
on the percent of sites broughtto the attention of the Superfund Program that have had final assessment decisions made.
The formula to derive this key measure is:
# sites- listed on the JSfPL + # nonXNPL siitesHwith:NFRAP^^
TdfairSites currently orfomietly jtigted vin CERCLIS
The numerator in ."the above formula represents sites with final assessment decisions. Since sites may receive,
multiple assessment actions of the same type (e.g., an initial preliminary'assessment conducted in"1995, and asubsequent
preliminary assessment conducted in 1997), final decisions focus on the last completed-assessment action at a site (e.g.,
the 1997 preliminary assessment decision is used, not the 1995 decision).
PIC following internal performance measures will be used in addition to the key measure shown above to support
a more comprehensive reporting of site assessment accomplishments in a given year:
• The nurnberbf sites^pre-screened!^
» The number of sites added to CERCLK per year;
* The total number:,of sites archived as:of end-dfiyear;
• The humBer of sites,with assessment work still underway:
SUPERFUND DURATIONS
The Superfund program has tracked remedial pipeline durations for several years in the Superfund Senior
Management Reports as part of Superfund progress evaluation. As program management emphasis shifts from
administrative progress to more comprehensive measurement of program progress, OERR will track additional durations
besides the remedial pipeline durations. These durations include: Engineering Evaluation/Cost Analysis (EE/CA)
duration; Expanded Site Inspection/Remedial Investigation (ESI/RI) duration; removal duration; average duration
between proposed listing to first removal or remedial action; and average duration from action memorandum to first
removal completion. In FY 98, OERR will track the average action and site durations presented below. These durations
are not SCAP measures; they are presented here for informational purposes only. HQ is responsible for calculating and
publishing the durations in the Superfund Senior Management Reports; however, Regions are responsible for entering
and maintaining accurate data from which durations can be derived.
The durations only cover non-Federal facility actions and are calculated based on actual dates. In addition, they do
not include takeovers (within actions) or phased actions.
• Average Remedial Investigation/Feasibility Study (RI/FS) Duration
• Duration from Record of Dedsipti (ROD) to RemedM; I3esigh ( RD) Start
• Duration from ROD to Remedial Action (RA) Start
NPL includes sites on the final NPL, sites deleted or withdrawn from final NPL, and final NPL sites
deferred to other program authorities (i.e., RCRA). NFRAP includes non-NPL sites with "no further remedial action
planned" decisions and sites removed from the proposed NPL with no further remedial action planned. Deferred
includes non-NPL sites deferred to RCRA, Nuclear Regulatory Commission (NRC), State, or other Federal
authorities for further action. Aggregated includes sites aggregated into existing NPL sites.
Change 2: Redlirie indicates changed text. A-3 April 23, 1998
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OSWER Directive 9200.3-14-1D
EXHIBIT A.1
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION ACTIVITIES
AT.TIVTTV :- • . '''- • '- < -
Brown fields Assessment
Pre-CERCLIS Screening Assessment
Site Discovery
Sites Archived
Preliminary Assessment (PA) Starts at Non-Federal Facility ; Sites
Federal Facility PA Review Starts
PA Completions at Non-Federal Facility Sites
Federal Facility PA Review Completions
Site Inspection (SI) Starts at Non-Federal Facility Sites
SI Completions at Non-Federal Facility Sites
Combined PA/SI Assessment Starts at Non-Federal Facilities
Combined PA/SI Assessment Completions at Non-Federal Facilities
Site Inspection Prioritization (SIP) Starts at Non-Federal Facility^Siteis"
SIP Completions at Non-Federal Facility Sites
Expanded Site Inspection (ESI) Starts at Non-Federal Facility Sitfes
ESI Completions at Non-Federal Facility Sites
Federal Facility SI/ESI Review Starts
Federal Facility SI/ESI Review Completions
Integrated ESI/RI Starts at Non-Federal Facility Sites
Integrated ESI/RI Completions at Non-Federal Facility Sites
Hazard Ranking System (HRS) Package Starts (Non-Fed and; Fed pac);
HRS Package Completions (Non-Fed and Fed Fac)
Integrated Removal Assessment & PA Starts at Non-Fed Sites
Integrated Removal Assessment & PA Completions at Non-Fed Sites Evaluation
Integrated Removal Assessment & SI Starts at Non-Federal Facility Sites
Integrated Removal Assessment & SI Completions at Non-Fed Sites
Integrated Removal Assessment & Combined PA/SI Starts at Non-Fed Sites
Integrated Removal Assessment & Combined PA/SI Completions at Non-Fed Sites
-"•-srAP .
' -. .
-
Reporting
-
'
-
-
-
-
-
-
, • '
•-"-•'
-
-
r
-
-
- •
-
-
-
-
-
-
-
-
Planning
Planning
Reporting
-
planning
Planmiig
Reporting
Recoiling
Planning
^eportihg
Planning
Repo.rjirig;
Planning
Reporting
Planning
Reporting
Planning
Reporting
Planning
Reporting
Planning
Reporting
Planning
Reporting
Plahii)iijg
Reporting
Plannirig
Reporting
Reporting
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are planned and
reported quarterly.
April 23, 1998
A-4
Change 2: Redline indicates changed text.
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OSWER Directive 9200.3-14-1D
EXHIBIT A.I (CONT'D)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION ACTIVITIES
ArJTTVTTY :****••? x^y y>% *'*„,„ „„„ . ^ „*,•• -^ 4,
Engineering Evaluation/Cost Analysis (E.E./CA)
Community Relations ttiyglfertiehi
Support Agency Assistance
Technical Assistance
Technical Assistance Grants (TAGs)
NPtListing
RI Starts
FS Starts
Combined KUFS Starts
Start of Public Comment Period (FS Report to Public)
RI/FS Duration
Decision Document Developed
ROD Amendments and Explanation of Significant Differences (ENDS)
- . &ut»
-
-
-
-
\l
-
-
-
-
-
TNTj^NAT,~
Planning
-
'
-
*
-
Planning
Planning
Planning
Reporting
Reporting
RepBfitti ;
Reporting
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are planned and
reported quarterly.
Change 2: Redline indicates changed text.
A-5
April 23, 1998
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OSWER Directive 9200.3-14-1D
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION DEFINITIONS
BROWN FIELDS ASSESSMENT
Definition:
"A Brown fields Site Assessment is a site characterization activity used to address property transfer due diligence and
encompasses one or more of the following phases or activities: (1) site background and historical investigation to identify
past uses of the property to identify potential sources of contamination and waste generation activities (e.g., Preliminary
Assessment or Phase I); (2) field investigation and sampling activities to identify contaminated areas (e.g., Site
Investigation or Phase II); (3) study to identify possible remediation options incorporating information on future uses
and redevelopment plans; and (4) development of cost estimates for remediation. The Brown fields Site Assessment is
designed and implemented to meet applicable laws and regulations, including state cleanup standards." (Source: Quality
Assurance for Brown fields Site Assessments Work Group, "Quality Assurance Requirements for Conducting Brown
fields Site Assessments", DRAFT February, 1998.) Types of assessment activities captured under the: "Brown fields
Assessment" label include ASTM-based Phase I and PhaseII activities or hybrid versions thereof,
Generally, a Phase I assessment involves collecting available information about a site to identify the presence or likely
presence of an existing or past release of a hazardous substance into the ground (i.e., soil), groundwater, surface water,
or air. A Phase 1 assessment determines whether there is evidence or an indication that hazardous substance, pollutants,
or contaminants were ever handled or disposed at the site either currently or in the past. A Phase II assessment involves
collecting and analyzing waste and environmental samples to determine the hazardous substances present at a site and
whether they are being released into the environment. Both Phase I and Phase II assessments identify site conditions
posing immediate health or environmental threats that require emergency response actions.
Definition of Accomplishment:
Brown fields assessments are complete when a determination is made whether hazardous substances are present at the
site and whether they are being released into the environment. These determinations are documented by a notification
in the site file describing the activities that were performed. Regions should enter the total number of Phase I and Phase
H and other Brown fields assessments that have been performed through the ^0ri£Site Incident |NSI) screens in Prograrii
Management.
Changes in Definition FY 97- FY 98:
None.
Special Planning/Reporting Requirements:
Brown fields Assessments are reported non-site specifically in WasteLAN. The Region should enter the total number
of Brown fields Assessments (Phase I, Phase II, or other assessments) conducted each quarter. Brovwnlelds
Assessments is an internal planning measure,
PRE-CERCLIS SCREENING ASSESSMENTS
Definition:
Pre-CERCLIS screening is the process of reviewing data on a potential site to determine whether it should be entered
into CERCLIS for further evaluation. The process can be initiated through the use of several mechanisms, such as a
phone call or referral by a State or other Federal agency.
Definition of Accomplishment:
The region will maintain a record upon completion of a pre-CERCLIS screening action containing the decision on
whether the site requires NPL assessment or removal activities under the Federal Superfund program. The date of this
decision should be entered as the Site Discovery date ifjhe site needs NPL assessment work or if the site needs both NPL
assessment and removal work. The date of this decision should be entered as the Site initiation date if only Superfund
removal work is needed. If no Superfund removal or NPL assessment work is needed, no CERCLIS site discovery date
April 23,1998 A-6 Change 2: Redline indicates changed text.
-------
OSWER Directive 9200.3-14-1D
IS ;sifeinffl^tda date fteeStp MS|nfe||iv Information management aspects of recording pre-CERCLIS
screening activities is still under development. Currently, Regions should enter the total number of sites screened,
including those which are put into CERCLIS and those which are not, through the NSI screens in Program Management.
If the decision is to add the site to CERCLIS, the Region should also add the Site Discovery action into CERCLIS (see
below for definition).
Changes in Definition FY 97 - FY 98:
This is a new Internal Reporting Measure.
Special Planning/Reporting Requirements:
Pre-CERCLIS Screening Assessments are reported non-site specifically in CERCLIS. The Region should enter the
number of Pre-CERCLIS Screening Assessments performed each quarter. If the decision is made that the site requires
NPL assessment and/or cleanup under CERCLA authority, it should be entered into CERCLIS with a Discovery action.
This is an internal reporting measure.
SITE DISCOVERY
Definition:
Site discovery is the process by which a potential hazardous waste site is entered into CERCLIS for NPL assessment ,
activities. All sites moving through the NPL assessment process must have a discovery action and actual completion
date the of when site was discovered documented in CERCLIS. Entry of the site discovery date initiates^
assessment process arid places the site on the Preliminary Assessment backlog. ,
Backlogs
Site discc
CERCLIS
or removal actions are recorded for the site.
Backlogs
Site discovery backlogs consist of those sites that have a Pre-CERCLIS, screening assessment (Action Name = Pre-
CERCLIS Suryeys) witffan, actual completion date,^no Pre-CERCLIS screening qualifier exists, and no other assessment
or removal actions are recorded for the site.
Definition of Accomplishment:
Site discovery of non-Federal facilities is the date the Region completes the Pre-CERCLIS screening activities, and
documents the decision that the site warrants Superfund NPL assessment and/or cleanup attention. The site discovery
date for Federal facilities is the date the site is formally, added to the Federal Facilities Hazardous Waste Compliance
Docket indicating Superfund involvement Is required. The Site Name and Discovery Date must be entered into
WasteLAN for both Federal and non-Federal sites.
Changes in Definition FY 97 - FY 98:
Special Planning/Reporting Requirements:
Actual start and planning dates are not required for site discovery . Multiple discovery actions are not allowed. Site
discovery is an internal reporting measure.
Note: A separate field has been added to CERCLIS to record site initiation dates for removal-only sites.- Sites that are
subject only to removal interest generally do not require a discovery date. An exception is where a large scale removal
action has been completed and th0 Region seeks credit for a non-NPL site completion. Non-NPL site completions
require site assessment review indicating the site has no further remedial actions planned. The discovery date for site's
referred from removal to assessment should be the date the referral decision is made.
Change 2: Redliitie indicates changed text. A-7 April 23 1998
-------
OSWER Directive 9200.3-14-1D
SITES ARCHIVED
Definition: .
Archiving represents a site-wide decision or status indicating that no further interest exists at the site under the federal
Superfund program based on available information. It is a comprehensive decision in that archive status means that there
are no further site assessment, remedial, removal, enforcement, cost recovery, or oversight activities being planned or
conducted at the site.
Backlogs j u
The Archive site backlog consists of the potential archive candidate site?i described above.
Definition of Accomplishment: ...
An archive decision is recorded in WasteLAN at the site level. To receive credit for an archive decision, the Archive
Indicator (Archive IND) must be checked, and the "Archive Date" entered. & note mustbeprepared and placed in^the
site file explaining that no further Federal Superfund interest exists at the site based on available information. ; The date
of the note is the Archive Date and automatically' generatesithe ^cjuve Indicator in WastetAN. Although the
underlying basis for archiving a site is whether or not Federal Superfund interest exists, several categories of sites are
used to generate lists of potential archive candidate sites. Based on review of sites in these categories, Regions should
update the " Archive IND" and "Archive Date" field as appropriate in a timely fashion. These categones are:
• Sites that have only completed the site assessment process and have either been given a No Further Remedial Action
Planned (NFRAP) or Deferred decision at the conclusion of the last completed site assessment event, and no other
Federal Superfund activity is anticipated;
• Sites that have completed both the removal and site assessment process, or have completed the removal process and
require no site assessment work (removal-only sites), Mrid which have completed all related oversight, cost
recovery/other enforcement work, and have no further Federal Superfund activity anticipated;
• Sites removed from the proposed NPL or final NPL (e.g., as a result'of a lawsuit) that have no further Federal
Superfund activity anticipated;
• Sites deleted from the final NPL that have no further Federal Superfund activity anticipated; and
• Sites that have been entered into CERCLIS via entry of a site discovery and/or site initiation date which have not had
any work started and, based on review, do not warrant any type of additional Superfund activity An abbreviated
preliminary assessment (PA) should be completed for these sites prior to designating archive status.
Note: NPL sites that have achieved construction completion should not be archived until a Notice of Deletion is
published in the Federal Register, the Final Deletion fromNPL action with an actual completion date is entered into
CERCLIS, and the NPL Status is changed from an "Currently on thermal NPL" t6 a "Deleted from.the Final NPL".
If site conditions change and/or new information becomes available on a site archived from CERCLIS, and the data
indicates additional Superfund involvement is warranted, the site should be returned to CERCLIS. This is accomplished
by deleting the date in the Archive Date field. The Archive Indicator will automatically be deleted. A note explaining
why the site was returned to CERCLIS must be prepared and placed in the site fife,
Changes in Definition FY 97- FY 98:
Sites Archived is a SCAP reporting jneasure. NPL;siteS4rMh^ not be,
archived until the Notice of Deletion is^published in the federal Ffegister.
April 23 1998 A~8 Change 2: Redlirie indicates changed text.
-------
OSWER Directive 9200.3-14-1D
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Planning dates are not availably . It is important to note that art archive
is not the same as no further remedial action planned (NFRAP) decisiojri. [A NFRAP decision is recorded as an Action
Qualifier^ is made only at the conclusion of a site assessment action, and does not take into account any other Superfurid
programmatic activity that may be going on at a site such as removals or cost recovery.];
PRELIMINARY ASSESSMENTS (PA) AT NON-FEDERAL FACILITY SITES
Definition:
A Preliminary Assessment (Action Name = Preliminary Assessment) is often the first phase of the NPL assessment
process following site discovery. The PA is used to determine what steps, if any, need to occur next at the site. Federal,
State, and local government files, geological and hydrological data, and data concerning site practices are reviewed to
complete the PA report. An on- or off-site reconnaissance also may be conducted, although it is not required.
With the implementation of Superfund Accelerated Cleanup Model (SACM), Regions also have been encouraged to
further reduce repetitive tasks and costs by combining site assessment and removal evaluation activities where warranted
by site conditions. This integrated removal/remedial evaluation , is further discussed in a separate nla|^ bljipw
Regions may Us
-------
OSWER Directive 9200.3-14-1D
(D) - Deferred to RCRA (Subtitle C) or the NRC; or
(A) - Site is being addressed as part of an NPL site. A site having a qualifier of "Aggregate" should have an NPL Status
Indicator (Site NPL Status) of 'A' and ayalid value in the Site Parent ID fieik} ; or
(F) - Referred to the removal program with further remedial assessment needed; or
(W) - Referred to the removal program with no further remedial assessment needed.
There are instances when an abbreviated PA, as opposed to a full PA, is necessary. Sites in the CERCLIS inventory
determined ineligible for Superfund response by Regional EPA site assessment personnel, and purported sites that are
determined not to actually exist, do not undergo a complete PA. For such sites, the typical PA reporting requirements
are abbreviated. The narrative report remains a requirement; however it may be limited to the Introduction Site
Description, Operational History, Waste Characteristics, Summary and Conclusions sections. The narrative should
present and fully support all of the information that led to EPA's decision to cease PA investigation at the site. As with
a full PA report, factual statements within the narrative must be documented, and appropriate references of excerpts
must be attached.
Only the first two pages of the PA data and site characteristics form are required for abbreviated PA sites. These pages
provide necessary administrative information and general descriptive information about the site and associated wastes
(if any). In addition, PA scoresheets or computerized PA-Score site scoring need not be completed for sites With
abbreviated PAs .
Changes in Definition FY 97 - FY 98:
Created separate measures for Combined PA/SJs and
Special Planning/Reporting Requirements:
Regions should attempt to complete PAs at non-Federal Facility sites listed in CERCLIS within one year of the site
discovery completion date.
For budget and resource allocations, separate projections must be made for EPA contractor,, State, Tribal, and EPA in-
house PA starts . PA starts and completions (Actual Start and Complete) are reported site-specifically in WasteLAN.
Only the first PA start at a site will be given credit for SCAP funding purposes. Preliminary Assessment starts at non-
Federal Facility sites is an intemaijpiandng measure. Preliminary Assessmentcompletions at non-Federal Facility sites
is an internal reporting measure.
FEDERAL FACILITY PRELIMINARY ASSESSMENT REVIEWS
Definition:
A Federal Facility Preliminary Assessment Review is a quality assurance review of a PA report submitted by another
Federal Agency. EPA's involvement in PAs at Federal facilities differs from that at non-Federal facilities. While EPA
conducts or funds development of PAs at non-Federal facilities, EPA's role at Federal facilities is limited to reviewing
PA reports developed and submitted by the Federal agencies responsible for a given Federal facility. Upon reviewing
the PA for completeness, and working with the other Federal agency to address any deficiencies, EPA then determines
what next steps are appropriate with respect to NPL listing.
Backlogs „ : ,
The Federal Facility PA Review backlog consists of sites with discovery completion dates and no other assessment
completion dates recorded in WasteLAN.
April 23, 1998 A-10 Change 2: !giit|n§ indicates changed text.
-------
OSWER Directive 9200.3-14-1D
Definition of Accomplishment:
Federal Facility PA Review Starts - A Federal Facility PA Review (Action Name = Federal facility Preliminary
Assessment Review) is started when the EPA starts an in-house review of the Federal facility PA or sends a letter, form,
or memo to the EPA contractor requesting review of the Federal facility PA report, and WasteL^N contains the'actual
PA start date (Actual Start) and an action lead of" , Fund-Financed (F)",or "EPA-In House (EP)"".
Federal Facility PA Review Completions - A Federal Facility PA Review (Action Name = Federal Facility Preliminary
Assessment Review ) is completed when:
• The appropriate Regional official signs a letter, form, or memo approving the PA report; and
contains the actual PA completion date (Actual Complete), a glcUlead and a "decision" on whether
further activities are necessary in the Qualifier field.
Valid decisions to be recorded in Wa|feL^§;upon completion of a Federal facility PA Review include:
(H) High - Higher priority for further assessment Note: The next stage of assessment would typically be an SI (Action
Name = Site Inspection); or
(L) Low - Lower priority for further assessment; or
(N) - No further remedial action planned; or
(A) - Site is being addressed as part of an NPL site. A site having qualifier of 'A.' should have an NPL Status Indicator
(Site NPL Status) of 'A' and a valid value in the Site Parent ID field.
Changes in Definition FY 97 - FY 98:
Changed the qualifiers that are valid at the completion, of a Federal facility PA review',
Special Planning/Reporting Requirements:
Regions should attempt to complete PA'reviews at Federal Facility sites listed in CER
-------
OSWER Directive 9200.3-14-1D
Regions have also been encouraged to further reduce repetitive tasks and costs by combining site assessment and removal
evaluation activities where warranted by site conditions. i^;Hn^atei
discussed in a separate measure.
Backlogs
The Site Inspection backlog consists of sites with a PA completion date, a PA decisiop Qf High (H), Low (L), or Referred
to Removal, needs further Remedial ( F), and the PA is the last completed site assessment action recorded in WasteLAN,
Definition of Accomplishment: _ _______
SI Starts - An SI (Action Name = Site Inspection) start date & ;a;nQi^Be|feraI facility :?sjfte is defined as the date when
EPA or the State/Tribal government signs a letter, memo or form approving the site-specific SI work plan; or a Technical
Direction Document (TDD) is issued to the contractor at a site (refer to OSWER Publication #9345.1-03 FS for further
guidance on defining SI starts) and WasteLAN contains the actual SI start date (Actual Start) and an action lead of:
"Fund-Financed (F)"; "EPA-In House (EP)"; "State:(S)"; M^llOS)' >• SI start dates are required •
SI Completions - An SI (Action Name = Site Inspection) is completed when:
• An SI Report has been generated by EPA; or received by the Region from the Federal contractor or State/Tribal
government; and the appropriate Regional official signs a letter, form, or memo approving the SI report; and
• WasteLAN contains the SI report approval date as the actual SI completion date (Actual Complete), a valid lead
(Lead), and a "decision" on whether further activities are necessary in the Qualifier field.
Valid decisions to be recorded upon completion of a SI include:
(H) High - Higher priority for further assessment Note: The next stage of assessment could be an ESI (Action Name
= Expanded Site Inspection), an integrated ESI/RI (Action Name = ESI/RI), or preparation of an HRS package (Action
Name = Hazard Ranking System Score Determi); or
(L) Low - Lower priority for further assessment; or
(N) - No further remedial action planned; or
(D) - Deferred to RCRA (Subtitle C) orNRC; or
(A) - Site is being addressed as part of an NPL site. A site having an event qualifier of 'A' should have an NPL Status
Indicator (Site NPL Status) of 'A' and a valid value in thej Site Parent ID field ; or
(F) - Referred to the removal program with further remedial assessment needed; or
(W) - Referred to the removal program with no further remedial assessment needed; or
(Code Pending) - Site is being remediated via a State or Trilb'M program.
Changes in Definition FY 97 -FY 98:
Added new action qualifier value. .
April 23, 1998 A-12 Change 2: J^aiiuie indicates changed text.
-------
OSWER Directive 9200.3-14-ID
Special Planning/Reporting Requirements:
Planning dates are not required for Sis. Actual start and completion dates are required for Sis.
For budget and resource allocations, separate projections must be made for EPA gontrietori State, Tribal, and EPA in-
house SI starts; SI starts (Actual Start) and completions (Actual Complete) are reported site-specifically in WasteLAN.
Only the first SI start at a site will be given credit for SCAP funding purposes. Site Inspection starts at- non-Federal
Facility sites is, an iriternd planning nfcasta^^ite^ Iiispection;eompletions at non-Federal Facility sites is an internal
reporting measure.
COMBINED PA/SI ASSESSMENTS AT NON-FEDERAL FACILimmjFES
Definition;
With the implementation of SACM, Regions are encouraged to combine PA and SI activities where warranted by site
conditions"to reduce repetitive tasks and, ultimately, costs, "The combining of PA and SI activities is kno\vnjas a
"Combined PA/SI Assessment" (Action Name = Combined Assessment). A combined PA/SI assessment can be
contained in one physical report, as long as the report contains all of the elements that would have been addressed under
separate PA and SI reports. The report should state specifically that it covers both the PA and SI. The decision to move
forward to conduct an SI as part of a combined assessment is documented hi the tasfe assignment provided to the
contractor, by correspondence between EPA and the State, or by a form or memo to the file. As is the" case with its
individual components, a combined PA/SI is performed to determine what steps, if any, need to occur next at a site.
HQ recognizes FAS techniques are a cost and time effective alternative to the current CLP only process. Regions are
encouraged to move implementation of FAYtechniques from the pilot stage to standard operatingprocedures and employ
these techniques wherever practical duringconduct of Combined PA/SI activities.
removal
integrated removal/remedial evaluation approach. Integrated Assessment and Combined PA/SI (Ac^"Name" =
Integrated Assessment arid Combined Assessment) activities are tracked as an ir^em^planning measure. Pleasknote
when Combined PA/SIs are performed as" part of an "integrated removal/rjsmediai'evaluatipn, information* sjiouldjre
entered for the Reirioval Assessment, PAvand SI. Special reporting requirements ajso apply to PA actions when "they
are performed as part of a combined assessment, as noted below.
Backlogs
The Combined PA/SI Assessment backlog is incorporated into the PA backlog;
Definition of Accomplishment:
Combined PA/SI Starts -A Combined PA/SI (Action Name = Combined Assessment) starts whenjhe Region begins
collecting data and performing other taslcsfrelated to, development of the combined PA/SI report; or when the Region
signs a letter,* form, or memo to the EPA. contractor or State/Tribal" government "(where applicable}; requesting
performance of a combined PA/SI assessment at a specific site or 'group of sites;" or when EPA'receives1 written
confirmation from State/Tribal government,that the State/Tribal government will conduct the Combine4 PA/SI
Assessment; and WasteLAN contains identical actual start dates (Actual* Start) for both the PA and SI action, and
identical leads for both PA and SI actions ofi "Fund-Financed (F)"; "EPA-In House (EP)"; "State (S)"; or "Tribal (T)".
Combined Assessment start dates are required,
Combined PA/SI Completions - A Combined PA/SI Assessment (Action Name =Combine(i Assessment) is completed
when:
• A Combined PA/SI Report has been developed by EPA; or received by the Region from the Federal contractor or
State/Tribal government; and the appropriate Regional official signs a letter,- form, or memo approving the Combined
PA/SI report; and
Change 2: Redline indicates changed text. A-13 April 23, 1998
-------
OSWER Directive 9200.3-14-1D
• WasteLAN contains identical actual PA and SI completion dates (Actual Complete), identical and valid PA and SJ
leads (Lead), a "High priority (H)" decision in the PA Action Qualifier field, and a "decision'; on whether further
activities are necessary in the SI Action Qualifier field.
Valid decisions to be recorded in WasteLAN at the SI action upon completion of tire Combined Assessment include:
(H) High - Higher priority for further assessment Note: The next stage of assessment could be an ESI (Action Name
= Expanded Site Inspection), an integrated ESI/RI (Action Name = ESI/RI), or preparation of an HRS package (Action
Name = Hazard Ranking SystemjScpre Determi); or
(L) Low - Lower priority for further assessment; or
(N) - No further remedial action planned; or
(D) - Deferred to RCRA (Subtitle C) or the NRC; or
(A) - Site is being addressed as part of an NPL site. A site having an event qualifier of 'Abliould have an NPL/Status
Indicator (Site NPL Status) of 'A' and a valid value in the Site Parent ID field; or
(F) - Referred to the removal program with further remedial assessment needed; or
(W) - Referred to the removal program with no further remedial assessment needed; or
(Code Pending) - Site is being remediated via a State or Tribal prdgrarri^
Changes in Definition FY 97 - FY 98: . , „.
Combined PA/SI Assessment starts is a new internal planning measure. Combined PA/SI Assessment completions is
a new internal reporting measure. Formerly, this activity was documented within the PA and SI entries. Added new
action qualifier value.
Special Planning/Reporting Requirements:
For Combined PA/SI Assessments, the PA start and completion dates" (Actual" Start and Actual Complete) entered into
WasteLAN must be the same as the SI start and completion dates (Actual Start and Actual Complete). Do not enter the
. PA completion date until there is a combined PA/SI report, even though a determination has already been made that an
SI is needed. PAs performed as part of a Combined PA/SI Assessment should receive a qualifier of (H) High which
represents a high priority for further assessment.
For budget and resource allocations, separate projections must be made for EPA contractor, State, Tribal, and EPA In-
house Combined PA/SI Assessment starts. Combined PA/SI Assessment starts and completions (Actual Start and
complete) are reported site-specifically in WasteLAN, t)ifly the first Combined PA/SI Assessment start at a site will be
given credit for SCAP fundling purposes.
Combined PA/^ Assessment Facility sites is'an internal planning measure'. Combined PA/SI
Assessment completions at non-Federal JFacility sites is an internal reporting measure.
SITE INSPECTION PRIORITIZATIONS (SIPS) AT NON-FEDERAL FACILITY SITES
Definition:
SIPS (SubAction Name = Site Inspection Prioritization) require the gathering of additional information to update site
inspections performed under the original Hazard RanM^SysteritfiEIRSjj SIPS are performed only at a site| where the
last SI was completed prior to August 1, 1992 and further evaluation is required to determine what steps, if any, need
April 23,1998 A-14 Change 2: EidHni indicates changed text.
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OSWER Directive 9200.3-14-1D
to occur next at the site. The SIP is used to determine what steps, if any, need to occur next at the site. For most
Regions, the original SIP backlogs have been completed although a few still remain. SIPs are currently recorded
inWasteLAN as SubActions (SubAction Name = Site Inspection Prioritization) to the last completed site inspection event
(Action Name = Site Inspection). A proposal" has been made to change SIPs to an Action. If approved, WasteLAN will
be revised Accordingly,
In general, a finite number.of sites were originally identified as needing SIPS and EPA has completed SIPS at nearly all
of these sites: -As a result, EPA expects few SIPS to be required in the current fiscal year since current PA and SI
activities should be following the revised HRS methodology. Nonetheless, EPA anticipates a limited number of older
sites addressed under the original HRS, which were not part of the original universe of sites needing SIPS, may now
require SIPS based on new informatipn received_by EPA. This would apply where sites werejevaluated arid assigned
a'NFRAP or Deferred decision under the original HRS prior to August" 1, 1992, for which new information's been
provided to EPA indicating further Superfund evaluation of the site is warranted.
HQ recognizes FAS techniques are'a cost and time effective alternative to the current CLP only process. Regions are
encouraged to move implementation of FAS techniques from the pilot stage to standard operating procedures and employ
these techniques wherever practical during conduct of SIP activities,
Backlogs
The Site Inspection Prioritization backlog consists of sites where the^last SI was completed prior to August'l, 1992, the
SI decision'is High (H) or Low (L),'the SI was the last completed assessment action recorded in WasteLAN, and the
Region has indicated a SIP is wan;anted: WasteLAN has been modified to clearly reflect which sites still need SIPS
completed. This information is displayedm the Site Program Priorities table in WasteLAN. A value of 'SP' in this field
indicates' the site still needs a SIP completed. Regions are responsible for deleting the 'SP' value once a SIP is
completed, or if a decision not to perform a SIP at the site is made. HQ will use this table to calculate the size of the
remaining SIP backlog.
Definition of Accomplishment:
SIP Starts - A SIP start is defined as the date the Region signs a letter, form, or memo requesting a SIP be performed
at a specific site. The date should be entered into ffe^lAp as the actual start date (Actual Start) of the SIP SubAction.
SIP start dates are required, aid are .used by HQ as an internal planttiiig measure.
NOTE: Start dates cannot be entered into WasteLAN for SIPS. Changes are needed in WasteLAN before this date can
be reported.
SIP Completions - A SIP (SubAction Name = Site Inspection Prioritization) is complete when:
• A SIP Report has been developed by EPA; or received by the Region from the Federal contractor or State/Tribal
government; and the appropriate Regional official signs a letter, form, or memo approving the SIP report; and
• WasteLAN contains the SIP report approval date as the actual SIP completion date (Actual Complete), and a
"decision" on whether further activities are necessar ldedin theualifier field iteihe:Mi.
necessary ||lgdedin thejQualifier field
Valid decisions at the conclusion of a SIP include:
(H) High - Higher priority for further assessment Note: The next stage of assessment could be an expanded site
inspection (Action Name = Expanded Site Inspection), an integrated ESI/RI (Action Name = ESI/RI), or preparation of
an HRS package (Action Name = Hazard Ranking System Score Determi); or
(L) Low - Lower priority for further assessment; or
(N) - No further remedial action planned; or
(D) - Deferred to RCRA (Subtitle C) or the NRC; or
Change 2: Kedlirif indicates changed text. A- 15 April 23, 1998
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OSWER Directive 9200.3-14-1D
(A) - Site is being addressed as part of an NPL site. A site having an event qualifier of 'A' should have an NPL Status
Indicator (Site NPL Status) of 'A' and a valid value in: the; Site Parent ID field ; or
(F) - Referred to the removal program with further remedial assessment needed; or
(W) - Referred to the removal program with no further remedial assessment needed; or
(Code Pending) - Site is being remediated via a!vState drJMbal jprpgram.
SIPS are typically performed as stand-alone activities; that is, they are not integrated with removal evaluations .
Changes in Definition FY 97 - FY 98:
Added new action qualifier value.
Special Planning/Reporting Requirements:
Actual start and completion dates are required for SIPS.
SIP starts (Actual Start) and completions (Actual Complete) are reported site-specifically in \VasieLA?!. Only the first
SEP start at a site will be given credit for SCAP funding purposes. . No funding is provided by HQ for SIPs at Federal
facilities. Decisions reached at the conclusion of SIP activities must be recorded with the SIP arid not at the last SI as
previously required. Site Inspection Prioritization starts at non-Federal facility'sites is an internal planning measure.
Site Inspection Prioritization completions at non-Federal facility sites is an internal reporting measure.
EXPANDED SITE INSPECTIONS (ESI) AT NOW-FEDERAL FACILlTy SITES
Definition:
The ESI (Action Name = Expanded Site Inspection) collects additional data beyond that collected in the SI to 'evaluate
the site for HRS scoring. ESIs are reserved for more complex sites that cannot be adequately characterized using
standard SI methodologies. Installation of groundwater monitoring wells is typical of activities performed under the ESI.
Regions also have been encouraged to further reduce repetitive tasks and costs by combining site assessment and removal
evaluation activities where warranted by site conditions. This is called an integrated removal/remedial evaluation (Action
Name = Integrated Assessment). Please note that when ESIs are performed as part of an Integrated Assessment,
information should be entered for both the Integrated Assessment and ESI aefens-
HQ recognizes FAS techniques are a cost and time effective alternative to the current CLP only process. Regions are
encouraged to move implementation of FAS techniques from the pilot stage to standard operating procedures and emplby
these techniques wherever practical during cohduct of ESI activities,
... ,
The Expanded Site Inspection backlog consists of sites where the last site assess
with an actual start date but no actual completion date.
Definition of Accomplishment:
ESI Starts - An ESI (Action Name = Expanded Site Inspection) start is defined as the date when EPA or State/Tribal
government signs a letter, memo or form approving the site specific. ESI work plan or a Technical Direction Document
is issued to the contractor at a site and WasteLAN contains the actual ESI start date (Actual Start) and Jan .actiohlead
(Lead) of: '•Fund-Financed (F)"; "EPA-In House (EP)";;j|^ (S)?>;:p
April 23,1998 A-16 Change 2: fedliijf indicates changed text.
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OSWER Directive 9200.3-14-1D
ESI Completions - An ESI (Action Name = Expanded Site Inspection) is complete when:
• An ESI Report has been developed by EPA; or received by the Region from the federal contractor; or the State/Tribal
government; and the appropriate Regional official signs a letter, form, or memo approving the ESI report; and
• WasteLAN contains the ESI report approval date as the actual ESI completion date (Actual Complete), a valid lead
(Lead), and a yajjd "decision" on whether further activities are necessary in the Qualifier field.
Valid decisions to be recorded upon completion of the ESI include:
• (G) - Recommended for HRS Scoring (i.e., development of MRS package, Action Name = Hazard Ranking System
Score Determi); or
• §!|i!^;B|wer:pTTO^
• (N) - No further remedial action planned; or
• (D) - Deferred to RCRA (Subtitle C) or the NRC; or
• (A) - Site is being addressed as part of an NPL site. A site having an event qualifier of 'A' should have an NPL Status
Indicator (Site NPL Status) of 'A' and a valid valiie in the Site Parent ID lieijd; or
• (F) - Referred to the removal program with further remedial assessment needed; or
• (W) - Referred to the removal program with no further remedial assessment needed;;Qr
• (Code Pending) - Site is being remediated via a State or Tribal program.
Changes in Definition FY 97 - FY 98:
Special Planning/Reporting Requirements:
Planning dates are not required for ESIs. Actual start and completion dates are required for ESIs. ESI starts (Actual
Start) and completions (Actual Complete) are reported site-specifically in ;Wa%eLAN. Only the first ESI start at a site
will be given credit for SCAP funding purposes. . ESI Starts is an internal planning measure for non-Federarfaeilities.
ESI Completions is an internal reporting measure i^ifiolii^de^L |sa3titife||
FEDERAL FACILITY SI/ESI REVIEWS
Definition:,
Federal Facility SI/ESI Reviews,(Action Names/= Pending) is an-EPA quality assurance review of a SI and/or ESI report
submitted by another Federal agency. EPA's involvement in SI and ESI activities at Federal, facilities differs from that
at jtion-Federal facilities. While EPA conducts or funds "development of Sis and ESIs at non-Federal facilities, EPA's
role at Federalfacilities is limited to reviewing SI and ESI reports developed and submitted by the Federal agencies
responsible for a given Federal facility. Upon reviewing die SI and/or ESI for completeness, and working with the other
Federal' agency to address any deficiencies, EPA then determines what next steps are appropriate with respect to NPL
listing.
Backlogs
The Federal iSffityXIJIfS]^^ .
Change 2: p^iKI indicates changed text. A-17 April 23, 1998
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OSWER Directive 9200.3-14-1D
Definition of Accomplishment::
Federal Facility SI/ESI Review Starts - A Federal Facility SI/ESI Review (Action Names =Pending) is started when
EPA starts In-house review of the Federal Facility SI or ESI report, or sends. £ letler* form, or memo to the EPA
contractor requesting review of the Federal Facility SI or ESI report; and WasteLAN contains the actual Federal Facility
SI/ESI Review start date (Actual Start) and an action lead (Lead) of "Fund-Financed (F)" or "EPA-In House (EP)".
Federal Facility SI/ESI Review Completions - A Federal Facility Sl/ESI Review (Action Names ? Pending)^ is
completed when:
• The appropriate Regional official signs a letter, formj or memo approving the Federal facility SI or ESI report; and
• "WasteLAN contains theactual Federal facility SI or ESI report approval date as tH& actual Federal facility SI/ESI
Review completion date (Actual Complete), a valid lead (Lead), and a valid "decision" on whether further activities
are necessary in the Qualifier field.
Valid decisions to be recorded upon completion of the Federal Facility SI/ESI Review include:
(H) High - Highe^ priority forS reviews"only]; or
(G) - Recommended for HRS Scoring [applicable tp ESl reviews' bnly]®
(L) Low - Lower priority for further assessment; or
(N) - No further remedial action planned; or
(A) - Site is being 'addressed as part of an NPL site. A site having an event qualifier oft A' should have an NPL Status
Indicator (Site NPL Status) of 'A' and a valid value in the Site Parent ID field.
(Code Pending) - Site is deferred to another Federal agency for further action. Note: This code will be developed
following final guidance/rule-making on deferring sites to other Federal agencies.
Changes in Definition FY 97-FY 98:
Federal Facility SI/ESI Reviews is a ne.w measure for FY 9,8;.
Special Planning/Reporting Requirements:
Planning dates are not required for Federal Facility SI/ESI Reviews. Actual start and completion dates are required for
Federal Facility SI/ESI Reviews. Federal Facility SI/ESI Reviews starts (Actual Start) and completions (Actual
Complete) are reported site-specifically in WasteLAN. Only the first Federal Facility SI or ESI Review start at a site
will be given credit for SCAP funding purposes. Federal Facility SI/ESI Review Starts is an internal planning measure
for Federal facility sites. Federal Facility SI/ESI Review Completions is an internal reporting measure for Federal facility
sites.
INTEGRATED EXPANDED SITE INSPECTION/REMEDIAL INVESTIGATION (ESI/RI)
AT NON-FEDERAL FACILITY SITES
Definition:
The integrated ESI/RI (Action Name = ESI/RI) is a SACM-initiated integrated assessment consisting of an ESI (Action
Name = Expanded Site Inspection) and an RI (Action Name = Remedial Investigation). The ESI/RI is used to expedite
remedial response by gathering site characterization data common to both ESI and Rl activities in one step, thereby
expediting the later collection of data when comprehensive RI activities are performed. The goal of ESI/RIs is to save
time and costs characterizing sites when compared to the traditional, sequential ESI-NPL Listing-RI process. ESI/RIs
facilitate but do not replace RIs, and are recommended at sites where conditions indicate that the HRS score will be
April 23,1998 A-18 Change 2: Redline indicates changed text.
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OSWER Directive 9200.3-14-1D
above 28.5 and a remedial response will be needed. The RI portion of an ESI/RI is intended to be a site-wide activity.
ESI/RIs should have operable units of '00'.
ESI/RIs may not always be feasible given known site conditions and activities completed to date. In some cases, it may
be more prudent to conduct a separate ESI or RI. The definitions for RI/FS Completion and RI Completion (see
definitions later in this appendix) are different from the definition for ESI/RI Completion. The definition of an ESI/RI
Completion is the same as that of an ESI Completion. If an ESI/RI event is recorded in ^asJeLi§||, a stand-alone ESI
event (Action Name = Expanded Site Inspection) should not be recorded at that site. With the implementation of SACM,
Regions have also been encouraged to further reduce repetitive tasks and costs by combining site assessment and removal
evaluation activities where warranted by site conditions. This is called an integrated removal/remedial evaluation (Action
Name = Integrated Assessment) and is further discussed in a separate section below. Please note that when ESI/RIs are
performed as part of an Integrated Assessment, information should be entered for both the Integrated Assessment and
ESI/RI actions.
HQ recognizes FAS techniques are a cost and time effective alternative to the current CLP only process. Regions are
encouraged to move implementation of FAS techniques from the pilot stage to standard operating procedures and employ
these techniques wherever pfactical during conduct of ESI/RI activities.
Backlogs
The ESI/RI backlog consists of sites where the last site assessment activity recorded at a site is an ESI/RI with an actual
start date but no actual completion date.
Definition of Accomplishment:
ESI/RI Starts - ESI/RI (Action Name = ESI/RI) start date is defined as the date when EPA approves the site-specific
ESI/RI work plan and CERCLIS contains the actual ESI/RI start date (Actual Start) and aWi^tioriipiaH -of: ''Fuiid-
Fiimftcea(F)";-^]^
ESI/RI Completions - An ESI/RI (Action Name =ESI/RI) is complete when:
An ESI/RI Report has been reviewed and accepted by the Region and the appropriate Regional official signs a letter,
form, or memo approving the ESI/RI report; and
The following has been recorded in |VasteLAH: the ESI/RI report approval date as the actual ESI/RI completion date
(Actual Complete); a valid lead (Lead); and a "decision" on whether further activities are necessary in the Qualifier field.
Valid decisions to be recorded upon completion of the ESI/RI include:
(G) - Recommended for HRS Scoring (i.e., development of HRS package, Action Name = Hazard Ranking System Score
Determi); or
(L) Low - Lower priority^ror fjjpffier^sessmgiit; Or
(N) - No further remedial action planned; or
(A) - Site is being addressed as part of an NPL site. A site having an event qualifier of 'A' should have an NPL Status
Indicator (Site NPL Status) of 'A' and a valid value in the Site Parent ID field; or
(F) - Referred to the removal program with further remedial assessment needed; or
(W) - Referred to the removal program with no further remedial assessment needed; or
(Code Pending) - Site js being remediated via a State or Tribal program.
Change 2: Redline indicates changed text. A-19 April 23, 1998
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OSWER Directive 9200.3-14-1D
Changes in Definition FY 97 - FY 98:
Added new action qualifier value,
Special Planning/Reporting Requirements:
Planned start and completion dates are not required for ESI/RIs. Actual start and completion dates are required for
ESI/RIs. ESI events (Action Name = Expanded Site Inspection) should not be recorded separately in WasteLAN if they
are conducted as part of an ESI/RI. ESI/RI starts at non-Federal Facility sitesisr'im;|nt0iJ^_ptaiMmjgtoe^i^i^^I/jRI
completions at non-Federal Facility sites is an internal reporting measure;
HAZARD RANKING SYSTEM PACKAGE (HRS)
Definition:
The HRS Package (Action Name = Hazard Ranking System Score Determi) documents a numeric score of the relative
severity of a hazardous substance release or potential release based on: (1) the relative potential of substances to cause
hazardous situations; (2) the likelihood and rate at which the substances may affect human and environmental receptors;
and (3) the severity and magnitude of potential effects. The HRS Package also includes references and documentation
in support of the score. The score is computed using the revised Hazard Ranking System (HRS). Regions are
responsible for preparing HRS packages for both Federal and non-Federal facility sites. Regions submit a draft version
of the HRS package to HQ for quality assurance review. Regions and HQ work together to address issues and agree on
a final version of the HRS package. Based on results of the completed HRS package and other factors, Regions
determine what the next steps, if any, are appropriate for a site (e.g., NPL listing, NFRAP, etc.)
Definition of Accomplishment:
HRS Package Starts - An HRS Package (Action Name = Hazard Ranking System Score Determi) start is defined as the
date when EPA signs a memo, form, or letter requesting development of an HRS Package for a specific site and
CERCLIS contains the actual HRS Package start date (Actual Start) and an action lead (L^ad) of: ''Fund-Financed (F)";
"EPA-In House (EP)"; "State (S)"; or "Tribal (T)". HRS Package start dates are required for both Federal and non-
Federal facility sites, and are used to identify the status of sites in the site assessment pipeline and to measure activity
durations.
HRS Package Completions - An HRS Package (Action Name -Hazard Ranking System Score Determi) is complete
when:
• An HRS Package has completed HQ quality assurance review and HQ and the Region agree to a final version; and
• The following has been recorded in WasteLAN: the approval date for the final version of the HRS Package date as
the actual HRS Package completion date (Actual Complete); a valid lead (Lead); and a "decision" on whether further
activities are necessary in the Qualifier field. Since HRS Packages are pre-decisional, entry of HRS Package
completion dates in CERCLIS may be delayed until after the HRS Package is proposed to the NPL:
Note: Submission of HRS Packages to HQ for techn^al assistance^ ^
Valid decisions to be recorded upon completion of the HRS Package include:
(O) - Site is being considered for proposal to the NPL; pr
(N) - No further remedial action planned; or
(Code Pending) - Site is being remediated via a State or Tribal programs
April 23,1998 A-20 Change 2: R^lmb indicates changed text.
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OSWER Directive 9200.3-14-1D
Changes in Definition FY 97-FY 98:
Addednew action qualifier value. Regions will be entering the HRS action qualifier into WasteLAN.
Special Planning/Reporting Requirements:
Planned start and completion dates are not required for HRS Packages. Actual start and completion dates are required
for HRS Packages. HRS Package starts at both Federal and non-Federal Facilities is an internal planning measure.
HRS Package completions at both Federal and non-Federal Facilities is an internal reporting measure.
INTEGRATED REMOVAL/REMEDIAL EVALUATION
Definition:
Integrated Removal/Remedial Evaluations (Action Name = Integrated Assessment), are SACM-originated actions
integrating both site assessment (fe,g;i Preliminary Assessment, Site Inspection) and removal assessment activities to
reduce the overall time and money spent characterizing site conditions. The scope of the Integrated Removal/Remediai
Evaluation will depend on which activities are being jointly conducted. Three specific types of Integrated
Removal/Remedial Evaluations will be tracked:
• Integrated Removal Assessments and Preliminary Assessments (PA);
• Integrated Removal Assessments and Site Inspections^SI); arid
• Integrated Removal Assessments and Combined PA/SI Assessments.
Regions are encouraged to make use of integrated assessment approaches'-wherever appropriate and can involve ESI and
ESI/RI actions. SPIM discussion is limited to three types of integrated assessments listed above for brevity purposes
only. Requirements of a stand-alone PA, SI, and removal assessment must still be met, even though they are conducted
in an integrated fashion. Refer to appropriate sections of the SPIM and Superfund assessment guidance documents for
further requirements of stand-alone assessment activities. The definitions and special planning/reporting requirements
for all three types of Integrated Removal/Remedial Evaluations listed above follow the same general concept. Generic
definitions and requirements are provided below.
Although the Integrated Assessment action is intended to track integrated removal and site assessment actions, it should
not take the place of coding individual site assessment and removal actions. In other words, if an Integrated
Reirioval/Rerhedial Evaluatiort is conducted, it should be coded in WaltetAN along with the actions represented by that
Integrated Removal/Remedial Evaluation, such as a Removal Assessment and a Site Inspection. The individual actions
represented by Integrated Removal/Remedial Evaluationlmust still be recorded separately in WasteLAN.
HQ recognizes FAS techniques are a cost and time effective alternative to the current CLP only process. Regions are
encouraged to move implementation of FAS techniques from the pilot stage to standard operating procedures and employ
these techniques wherever practical during'conduct of Integrated Removal/Remedial Evaluation activities.
Backlogs
Sites on an Integrated Removal/Remedial Evaluation backfog ate incorporated into the PA and SI backlogs.
Definition of Accomplishment:
Starts - An Integrated Removal/Remedial Evaluation (Action Name = Integrated Assessment) start date is defined as the
date when EPA approves the site-specific Integrated Removal/Remedial Evaluation work pl
and SI worltpian) and WastejSClSf contains:
• The actual Integrated Assessment start date (Actual Start) and ^^^^^^^^k
Iji House (EP)"; "State (S)"; or "Tribal (T)"; and
• The actual start date and lead for the related assessment actions (Preliminary Assessment, Site Inspection, Removal
, Assessment) The start date"and lead for these actions and for tiTe Integrated Assessment action must be the same ; and
Change 2: Rjsdlitt! indicates changed text. A-21 April 23,1998
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OSWER Directive 9200.3- 14-1D
Completions - An Integrated Removal/Remedial Evaluation (Action Name = Integrated Assessment) is complete when:
• The Integrated Removal/Remedial .Evaluation report has been reviewed and accepted by the Region and an
appropriate Regional official signs a letter, form, or memo approving the report. The report must contain all of the
information required for the related site assessment and must document the completion of a Removal Assessment to
determine whether a removal action is necessary. A note to the site file must also be prepared indicating that the
Integrated Removal/Remedial Evaluation report meets all the requirements for the related assessment activities; and
• The Integrated Removal/Remedial Evaluation report approval date is entered into Wa|tel#Ni as the actual Integrated
Assessment completion date (Actual Complete) with a valid lead (Lead); and
• An actual complete date and lead for the related assessment actions (Preliminary Assessment, Site Inspection,
Removal Assessment ) equal to that recorded for the Integrated Assessment action is entered into WasteLAN.
A "decision" on whether further activities are necessary is entered into WasteLAN in the Action Qualifier field for the
related site assessment event (Preliminary Assessment, Site Inspection). Note that action qualifiers are allowed for
Integrated Assessment actions but are not required. If entered, an Integrated Assessment action qualifier should be the
same as that entered for the related site assessment action. Valid Integrated Assessment action qualifiers include:
(H) High - Higher priority for further assessment. Note: The next stage of assessment could be an SI (Action Name
= Site Inspection), expanded site inspection (Action Name =Expanded Site Inspection), an integrated ESI/RI (Action
Name =ESI/RI), or preparation of an HRS package (Action Name =Hazard Ranking System Score Determi); or
(L) Low - Lower priority for further assessment; or
(N) - No further remedial action planned; or
(D) - Deferred to RCRA (Subtitle C) or the NRC; or
(A) - Site is being addressed as part of an NPL site. A site having an event qualifier of 'A' should have an NPL Status
Indicator (Site NPL Status) of 'A' and a valid value in the Site Parent ID field; or
(F) - Referred to the removal program with further remedial assessment needed; or
(W) - Referred to the removal program with no further remedial assessment needed; or
(G) - Recommended for HRS scoring. This qualifier should be used only when the site assessment portion of an
Integrated Assessment consists of an ESI or ESI/RI; or
(Code Pending) - Site is being remediated via a State or \Tribal:pr6grarnu
Changes in Definition FY 97 - FY 98:
Added language on three different t^
Special Planning/Reporting Requirements:
Planning dates are not required for Integrated Assessments. Actual start and completion dates are required for Integrated
Assessments. Integrated Assessment action qualifiers are allowed but are not required. If entered, an Integrated
Assessment action qualifier should be the same as that entered for the related site assessment event. Integrated Removal
Assessment and PA, Removal Assessment ^ and SI, and Removal A^sel|^nfan|3 Combined PA/SI starts are internal
planning measures.
April 23, 1998 A-22 Change 2: &<$&«? indicates changed text.
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OSWER Directive 9200.3-14-1D
REGIONAL DECISIONS
Definition:
This measure will track decisions made by the Region [including the Regional Decision Team (RAT)] on whether to
perform site assessment, enforcement, and early and long-term actions. The RAT is empowered by the Region to make
those decisions that are delegated to its level. This body serves as a tool to ensure early and effective communication
and should provide input for the traditional line decision-making authorities. Though the structure and responsibilities
of the RAT vary from Region to Region, the RAT generally should provide policy and strategic direction to designated
site managers.
Definition of Accomplishment:
The Regional decisions are reported in f^&iteliAN as a SubAction (SubAction Name = RAT Decision) to the point in
the assessment or response pipeline where the decision was made (.eg., PA, SI, ESI, ESI/RI, or Integrated Assessment)
to perform additional site assessment activities, early or long-term actions, or take enforcement action [e.g., Potentially
Responsible Party (PRP) negotiations]. These decisions are documented in a letter, form, or memo to the file.
The dates of the Region's decisions (SubAction Name = RAT Decision) are entered as the actual SubAction completion
dates (Actual Complete). Each decision must be. documented in a memo to the file and reported separately. HQ will
identify the activities the Region documented they would perform in the Regional decision based on the SubAction
(SubAction Name = RAT Decision) completion date (Actual Complete) and the start dates (Actual Start) of subsequent
actions.
Changes in Definition FY 97 - FY 98:
None
Special Planning/Reporting Requirements:
This is an internal reporting measure. This definition is for regional tracking purposes only. See Definition of
Accomplishment for information on the "\VasteLAN reporting requirements.
ENGINEERING EVALUATION/COST ANALYSIS (E.E./CA)
Definition:
The E.E./CA identifies objectives for a Noh^in^;.Cntt^'(NTC)'jesponse action, and includes an analysis of cost,
effectiveness, and implementability of the various alternatives that may be used to satisfy these objectives.
Definition of Accomplishment:
The actual start date of an E.E./CA is the date that the appropriate Regional official signs the E.E-/CA Approval
Memorandum. This information should be recorded in iy^astefeAN as the actual start date (Actual Start) of the E.E./CA
(Action Name = Engineering/Eval Cost Analysis). The actual completion date of an E.E./CA is the date that the
appropriate Regional official signs the Action Memorandum. This information should be recorded as the actual
completion date (Actual Complete) of the E.E./CA (Action Name = Engineering/Eval Cost Analysis).
Changes in Definition FY 9$ - FY 99/0(J:
None
Special Planning/Reporting Requirements:
E.E./CAs are an internal planning measure. They are reported site-specifically in Was:teI3^Ni. Funds for E.E./CAs are
contained in the site characterization AOA.
Change 2: Redline indicates changed text.
A-23
April 23, 1998
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OSWER Directive 9200.3-14-1D
COMMUNITY INVOLVEMENT
Definition:
Community Relations Involvement are the activities conducted to involve the corrmunityin^^jfesponse activities conducted
at a site in accordance with Superfund Amendments and Reauthorization Act of 1986 (SARA), the National Contingency
Plan (NCP), and the Community Relations Handbook, to involve the community in response activities conducted at a
site.
Definition of Accomplishment:
The start of Community Involvement (Action Name = Remedial Community Involvement; or Removal Community
Involvement, or PRP Community Relations) is the obligation or tasking of funds for the development of the Community
Relations Plan (CRP) or when EPA initiates work on the CRP. For Federal facility sites where another Federal agency
is preparing the CRP in accordance with an IAG, the start of Community Involvement (I?F ^rnrnunity RelajtiOjrfe);:is
defined as when EPA starts conducting community interviews. When EPA is preparing the CRP at RP or EP-lead sites,
Community Involvement begins when EPA initiates work on the CRP.
The completion of Community Involvement is the deletion of the site from the NPL or the conclusion of an early action
(removal authority) at non-NPL sites. '
Changes in Definition FY 97 - FY 98:
Deleted reference to PRP preparing CRP.
Special Planning/Reporting Requirements:
Community Involvement activities at Federal facilities (FF Community Relations) are paid for by the Federal facility
budget. Planned and actual start and completion dates are not required in CERCLIS. Funds may be planned site- or non-
site specifically; however, they must be obligated or tasked site-specifically. Once funds are obligated, the non-site
specific amount must be reduced. Funds for Community Involvement activities are in the Federal facility or site
characterization, removal or enforcement Advice of Allowances (AOAs).
SUPPORT AGENCY ASSISTANCE
Definition:
Support agency assistance are the activities performed by another entity in support of EPA. The support agency furnishes
necessary data to EPA, reviews response data and documents, and provides other assistance to EPA.
EPA may provide States, political subdivisions, and Indian Tribes with funding to carry out a variety of management
responsibilities via a support agency Cooperative Agreement to ensure the meaningful and substantial involvement in
response activities. Unless otherwise specified in the Cooperative^Agreement , all support agency costs, with the
exception of RA or early action (remedial authority) support agency costs, may be planned under a single Superfund
account number designated specifically for support agency activities. RA or early action (remedial authority) support
agency activities must be planned site- specifically and require cost share provisions.
Definition of Accomplishment:
The start of support agency assistance (Action Name j=M the signature of the Cooperative
Agreement by the Regional Administrator or designee. The completion of support agency assistance is the completion
of all remedial activities at the site.
Changes in Definition FY 97 - FY 98:
None
April 23, 1998 A-24 Change 2: Kedlihe indicates changed text.
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OSWER Directive 9200.3-14-1D
Special Planning/Reporting Requirements:
Funds for support agency assistance are contained in the site characterization, enforcement or Federal facility AOA.
Planned and actual start and completion dates are not required in WastelaAN. Funds may be planned or obligated site
or non-site specifically; however, they must be outlayed site-specifically.
TECHNICAL ASSISTANCE
Definition:
Technical assistance is support provided by a third party to EPA to conduct response activities. Third parties that may
provide assistance include the U.S. Army Corps of Engineers (USAGE), the U.S. Fish and Wildlife Service, other Federal
agencies and federal contractors.
Definition of Accomplishment:
The start of technical assistance $ctioh NarS:;^^enmc&;^si|tocg)is the obligation of funds for technical assistance.
The completion is defined as the completion of the response activities for the stage at which technical assistance was
requested.
Changes in Definition FY 97 - FY 98:
None
Special Planning/Reporting Requirements:
Funds for Technical Assistance are contained in the site characterization, gn|bt6fitnent, or Federal JFacilityj AOA. Planned
and actual start and completion dates are not required in.WSsteLAN. Funds may be planned or obligated site- or non-
site specifically; however, they must be outlayed site-specifically.
TECHNICAL ASSISTANCE GRANTS (TAGS)
Definition:
The Superfund Amendments and Reauthorization Act of 1986 (SARA) established the TAG program to provide technical
assistance to eligible communities. The technical assistance'allows communities to improve the decision making process
at their sites.
Definition of Accomplishment:
The start of the TAG (Action Name = ^Ottitonit^R^att6ns:TA Gr^nt);is the signature of the grant awaid|^reemeii|
to the community group, which is the obligation of funds for the TAG. The completion of the TAG is the completion
date the grant is closed ou^by the RegionI
Changes in Definition FY 97 - FY 98:
The completion of the TAG5is the date it is closed out by the Region.
Special Planning/Reporting Requirements:
Planned and actual start and completion dates are not required in CERCLIS. Funds may be planned site- or non-site
specifically; however, they must be obligated site-specifically. Once funds are obligated, the non-site specific amount
must be reduced. Funds for TAGS at non-Federal facility sites are contained in the response budget and found in the
other response AOA. Funds for TAGS at Federal facility sites are contained in the Federal facility budget and found in
the Federal facility AOA.
Change 2: Redlihe indicates changed text. A-25 April 23, 1998
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OSWER Directive 9200.3-14-1D
NPLLISTING
Definition:
The NPL is a list of national priorities among the known or threatened releases of hazardous substances, pollutants, or
contaminants throughout the United States and trust territories. There are three mechanisms for placing sites on the NPL
for possible remedial action:
• A site may be included on the NPL if it scores sufficiently high on the Hazard Ranking System (HRS). The HRS
serves as a screening device to evaluate the relative threat that uncontrolled hazardous substances pose to human health
or the envkonment. As a matter of Agency policy, those sites that score 28.50 or greater on the HRS are eligible for
theNPL. """" """ ' " .
• Each State may designate a single site as its top priority to be listed,-on the NPL, regardlessyof the HRS score;
• Certain sites may be listed regardless of their HRS scpre, if all of the followirig conditions are met;
The Agency for Toxic Substances and Disease Registry (ATSDR) of the U.S. Public Health,Service has
issued a health advisory that recommends dissociation of individuals from the release; and
EPA determines that the release poses a significant threat to public health; and
EPA anticipates that it will be more cost-effective to use its remedial authority than to use itslrqrhsSral
authority to respond to the release,
Definition of Accomplishment:
Proposed NPL Listing - The process of proposing a site for placement on the NPL is complete (Actual Complete date)
when a Proposed Rule proposing the site to the NPL [Action Name = Proposal to NPL] is published in the Federal
Register.
Removal of Proposed NPL Listing - The process of removing a sitefrom the list of proposed NPL sites starts (Actual
Start date) when a proposal to remove the site is published in the Federal Register and is complete (Actual Complete
date) when final notice of the removal is published in the Federal Register [Action Name = Removed frprn me Proposed
NPL]. ' "" "
Final NPL Listing - The listing process for a site is complete;i(Actiial Complete date) when a Final Rule adding the site
to theNPL [Action Name = Final Listing on NJ^] is published in :tte^
Changes in Definition FY 97-FY 98:
NPL Listing is a new measurefor FY 98.
Special Planning/Reporting Requirements:
HQ staff are responsible for performing the follpwing in CERCLIS 3:
• Entering and updating the NPL.Status (P = Proposed for NPL'jR - Removed front list of proposed NPLJsites; F =
Currently on the NPL; (Code Pending) Withdrawn from NPL);
• Entering the NPL listing Actions (Proposal to NPL, Removed from Proposed NPL, and Final Listing,on NPL) and
their actual start and/or completion date(s);
• Entering the Federal Register citations; and :
April 23,1998
A-26
Change 2: Redline indicates changed text.
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OSWER Directive 9200.3-14-1D
• Confirming the accuracy and modifying if necessary; by checking'the:
\- > Site name
"•*-_ " 5i 'EM Site ID
• - Street Address
'""- " v" ^ -City
' ' ' ''County
" '" ' State
'"*- " Zip Code
U - "-* , ; Region ^
"r " ~ Congressional district
-*•*- * * * Federal facility status
Sjte^setting
Latitude and Longitude
Site Characteristics
- HRS Score
, - „ „ Chemical information
NOTE: Currently, WasteLAN~does" not support ffQ entry of these data. ..Further information'on Deletion and Partial
Deletion from the NPL can be fouttd in Appendix-B of this^nanual.
REMEDIAL INVESTIGATION (RI) STARTS
Definition:
The purpose of the RI is to collect data necessary to adequately characterize the site for the purpose of developing and
evaluating effective remedial alternatives. 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.
The RI may be conducted alone, as part of a iHlMlJe integrated ESI/RI assessment, or m, a combined RI/Feasibility
Study (RKFS). The start of an RI/FS is an internal planning measure. The RI start and RI/FS start definitions are the
same. Regions are not required to enter the RI start date if the RI is being conducted as part of an ESI/RI or RI/FS.
Obligation of funds for forward planning, community relations and/or other support activities do not constitute a RI start.
Definition of Accomplishment:
Fund-financed (Including F-, Wjji. | and S-lead actions) - Credit for a Fund-fijMnS|| RI (Action Name = Remedial
Investigation) start is received when funds are obligated and the actual start date (Actual Start) has been recorded in
SAiSf . Funds are obligated when:
The contract modification or work assignment for the RI has been signed by the EPA Contracting Officer (CO); or
An IAG has been signed by §f|fiM Federal agency [ Bureau of Reclamation (BUREC) or USAGE]; or
A Qj6p^§ft^g«iiiie^|has been signed by the Regional Administrator or designee to conduct a RI.
If a subsequent RI is initiated without a new obligation of funds, the start date as recorded in WasteLAN is defined as
EPA's written approval of the work plan for the subsequent RI.
PRP-financed under Federal enforcement(Includes RP- and MR- lead actions) - 3£ PRP- finance^ RI (Action Name
= PRP RI) under Federal enforcement starts when one of the following enforcement actions occurs:
Change 2: Sidliiie indicates changed text. A-27 April 23, 1998
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OSWER Directive 9200.3-14-1D
• An Administrative Order on Consent (AOC), in which the potentially responsible parties (PRPs) agree to conduct the
RI, is signed by the Regional Administrator or designee. The RI start date (Actual Start) is the date the AOC is signed.
This is reported in WasteLAN as the AOC (Action Name = Administrative Order on Consent) completion date (Actual
Complete); or
• A Consent Decree (CD), in which the PRPs agree to conduct the RI, is referred by the Region to Department of Justice
(DOJ) or HQ. The RI start date (Actual Start) is the date the Regional Administrator signs the memo transmitting the
CD to HQ or DOJ. This is recorded in WasteLAN as the CD (Action Name = Consent Decree) actual start date
(Actual Start).
PRP-finqnced under State enforcement {Includes^PS-f^^SD-le^i^gs^ A !PRP-fmance<| RI (Action Name =
PRP RI) under State enforcement start is when a State order or comparable enforcement document (Action Name = State
Order or State Decree), in which the PRPs agree to conduct the RI, is signed by the last appropriate State official or party
(Actual Complete) and the site is covered by one of the following:
• State enforcement Cooperative Agreement signed by the Regional Administrator; or
• Superfund Memorandum of Agreement (SMOA) signed by the appropriate State and Regional official containing a
schedule for RI work at the site; or
• A general SMOA signed by the appropriate State and Regional officials covering remedial work to be undertaken with
schedules defined before work commences; or
• Other State/EPA agreement signed'by the appropriate State and Regional official.
If a subsequent RI is initiated without a new or amended AOC, CD, State order, or other comparable State enforcement
document, the start date for the RI as recorded in WasteLAN is documented by a letter, form, or memo from EPA or
the State approving the work plan for the subsequent RI.
If an AOC, State order, or other comparable State enforcement document is amended for the subsequent RI, the start date
is the date the last State official or Regional Administrator/designee signs the amendment. If a Fe'dejdal CD is amended,
the start date is the date on which the memo transmitting the CD to HQ or DOJ is signed by the Regional Administrator.
In-house (EP-lead action) - Credit for an in-house RI (Action Name = Remedial Investigation) starts; on the date that
the Region conducts the initial RI scoping meeting. The start (Actual Start) is documented by a memo to file containing
the minutes from the meeting.
Changes in Definition FY 98 - FY 99/00:
None.
Special Planning/Reporting Requirements:
Regions are not required to enter the RI start date if the RI is being conducted as part of an RI/FS j^sM^wide ESi/RI.
The RI actual start date is reported site-specifically in WasteLAN. For PRP-financed RIs, both the RI start (Actual
Start) and the CD start (Actual Start) or AOC .State Order (Action Name ='State Order), or State Decree (AfeticttNSine
= State Decree) completion dates; (Actual Complete) must be entered into WasteLAN. These dates should be the same.
Funds for RIs and RI oversight are found in the site characterization AOA.
April 23, 1998 A-28 Change 2: gMline indicates changed text.
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OSWER Directive 9200.3-14-1D
FEASIBILITY STUDY (FS) STARTS
Definition:
The primary objective of a FS is to ensure that appropriate remedial alternatives are developed and evaluated such that
an appropriate remedy may be selected.
'The FS may be conducted alone or as part of a combined RI/FS. Combined RI/FS starts is an internal planning measure.
Regions are not required to enter the FS start date if the FS is being conducted as part of a combined RI/FS.
Obligation of funds for forward planning, community relations and/or other support activities does not constitute a FS
start.
Definition of Accomplishment:
Fund-financed (Including F-, TR-and S-lead actions) - Credit for a Fund- fiMnc|d;FS (Action Name = Feasibility
Study) start is received when funds are obligated and the actual start date (Actual Start) is entered into WastetAlSf.
Funds are obligated when:
• The contract modification or work assignment for the FS has been signed by the EPA CO; or
• An IAG has been signed by snothej Federal agency (USAGE or BUREC); or
• A Cooperative Agreementhas been signed by the Regional Administrator or designee to conduct a FS.
If a first or subsequent FS is initiated without a new obligation of funds, the start date as recorded in WasteLAfsf is
defined as the date of EPA's written approval of the work plan for the FS.
PRP-financed under Federal enforcement (Includes RP-,iUtd MRlead actions ) - $ PRP- financed FS (Action Name
= PRP FS) under Federal enforcement starts when one of the following enforcement actions occurs:
• An AOC that addresses FS activities is signed by the Regional Administrator brjdesignee. The FS start date (Actual
Start) is the date the AOC is signed . This is recorded in WastekAN as the AOC (Action Name = Administrative
Order on Consent) actual completion date ^Actua|Compiete); or
• A CD that addresses FS activities is referred by the Region to DOJ or HQ. The FS start date (Actual Start) is the date
(Actual Start) of signature by the Regional Administrator on the memo transmitting the CD (Action Name = Consent
Decree) to DOJ or HQ.
PRP-financed under State enforcen^fjb^^ A PRKfmanHeil FS (Action Name = PRP
FS) under State enforcement starts when a State order or comparable enforcement document (Action Name = State
Order or State Decree), in which the PRPs agree to conduct the FS, is signed by the last appropriate State official or party
(Actual Complete), and the site is covered by one of the following:
• State enforcement Cooperative Agreement signed by the Regional Administrator; or
• SMOA signed by the appropriate State and Regional official containing a schedule for FS work at the site; or
• Other State/EPA agreement signed by the appropriate State and Regional official.
If a first or subsequent FS is initiated without a new or amended AOC, CD, State order, or other comparable State
enforcement document, the start date of the FS is documented by a letter, form, or memo from EPA or the State
approving the work plan for the subsequent FS.
Change 2: Redlirie indicates changed text. A-29 April 23, 1998
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OSWER Directive 92003-14-1D
If an AOC, State order, or other comparable State enforcement document is amended for the first or subsequent FS, the
actual start date is the date the last State official or the Regional Administrator/designee signs the amendment. If pjsfijeral
CD is amended, the start date is the date the Regional Administrator signs the memo transmitting the CD to HQ or DOJ.
In-house (EP-lead action) - Credit for an in-house FS (Action Name = Feasibility Study) start is received on the date
that the Region conducts the initial FS scoping meeting. The start date (Actual Start) is documented by a memo to file
containing the minutes from the meeting.
Changes in Definition FY 97 - FY 98:
None-
Special Planning/Reporting Requirements:
Regions are not required to enter the FS start date if the FS is being conducted as part of a combined RI/FS. The FS or
combined RI/FS actual start date is entered into WasteLAM site-specifically. For a PRP-financed FS, both the FS start
date (Actual Start) and the CD (Action Name = Consent Decree) start date (Actual Start), or the AOC (Action Name =
Admin Order), State Order (Action Name^;State_..Order) or;:StaJe:l|&^^ |c|MSl
completion date (Actual Complete) must be entered into Waste]LA]sj. These dates should be the same. Funds for FS and
FS oversight are contained in the site characterization AOA.
COMBINED RI/FS START
Definition:
The purpose of the RI/FS is to assess site conditions and evaluate alternatives to the extent necessary to select a remedy.
The start of an RI/FS is an internal planning measure. The RI/FS start and the RI start definition are the same. Regions
are not required to enter the RI start date if the RI is being conducted as part of an RI/FS or a sife-wid^fii,|i'RTE- Regions
are not required to enter the FS start date if the FS is being conducted as part of a RI/FS.
Obligation of funds for forward planning, community relations and/or other support activities do not constitute a RI/FS
start.
Definition of Accomplishment:
Fund-financed (Including F-, TR-; and S-lead actions) - Credit for a Fund-;financed RI/FS (Action Name = Combined
RI/FS) start is received when funds are obligated and the actual RI/FS start date (Actual Start) is reported in V?asteEAiSr.
Funds are obligated when:
• The contract modification or work assignment for the RI/FS has been signed by the EPAJCQ; or
• An IAG has been signed by the other Federal agency (USAGE or BUREC); or
• A Cooperative Agreement has been signed by the Regional Administrator or designee to conduct a RI/FS.
If a first or subsequent RI/FS is initiated without a new obligation of funds, the start date is defined as the date of EPA's
written approval of the work plan for the RI/FS.
PRP-financed under Federal enforcement (Includes RP- and MR-, lead actions) - A;PRP-l?firiM$;<| RI/FS (Action
Name = PRP RI/FS) under Federal enforcement starts when one of the following enforcement actions occurs:
• An Administrative Order on Consent (AOC), in which the potentially responsible parties (PRPs) agree to conduct the
RI/FS, is signed by the Regional Administrator of designee. The RI/FS start date (Action Name = PRP RI/FS) is the
date the AOC is signed . This is recorded in WasteLiAN as the AOC (Action Name = Administrative Order on
Consent) completion date (Actual Complete); or
April 23, 1998 A-30 Change 2: it|dlinj indicates changed text.
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OSWER Directive 9200.3-14- ID
• A Consent Decree (CD) in which the PRPs agree to conduct the RI/FS, is referred by the Region to DOT or HQ. The
RI/FS start date (Actual Start) is the date the Regional Administrator signs the memo transmitting the CD to HQ or
DOJ. This is recorded in WasteiM*! as the CD (Action Name = Consent Decree) actual start date (Actual Start).
PRP-financed~under State enforcement (Includes PS- and SD-Tead actions) - A PRP-ffnanced RI/FS (PRP RWS)
under State enforcement starts when a State order or comparable enforcement document (Action Name = State Order
or State Decree), in which the PRPs agree to conduct the RI/FS, is signed by the last appropriate State official or party
(Actual Complete) and the site is covered by one of the following:
• State enforcement £oj)perative Agreementsigned by the Regional Administrator; or
• SMOA signed by the appropriate State and Regional official containing a schedule for RI/FS work at the site; or
• Other State/EPA agreement signed by the appropriate State and Regional officials.
If a first or subsequent RI/FS is initiated without a new or amended AOC, CD; State order, or other comparable State
enforcement document, the start date of the RI/FS is documented by a letter, form, or memo from EPA or the State
approving the work plan for the subsequent RI/FS.
If an AOC, State order, or other comparable State enforcement document is amended for the first or subsequent RI/FS,
the start date is the date on which the last State official or Regional Administrator/d^sig|iee signs the amendment. If a
CD is amended, the start date is the date on which the memo transmitting the CD to HQ or DOJ is signed by the
Regional Administrator.
In-house (EP-lead action) - Credit for an |&jSi|$isjf RI/FS (Action Name = Combined RI/FS) start is received when the
Region has the initial RI/FS scoping meeting and the date is entered into WasteLAN. The start (Actual Start) is
documented by a memo to file containing the minutes from the meeting.
Changes in Definition FY 97 - FY 98:
Special Planning/Reporting Requirements:
Regions are not required to report a combined RI/FS start if a separate RI and FS are being conducted. The combined
RI/FS actual start date is entered into WasteLAN site-specifically. For a PRP-fmanced RI/FS, the RI/FS start date
(Actual Start) and the CD (Action Name = Consent Decree) start date (Actual Start), or AOC (Action Name = Admin
Order) State Order (Action Name = State Order), or State Decree (Action Name = State Decree} actual completion date
(Actual Complete) must be entered into WasteLAN. These dates should be the same. Funds for RI/FS and RI/FS
oversight are contained in the site characterization AOA. Combined RI/FS starts is an internal planning measure.
START OF PUBLIC COMMENT PERIOD (PROPOSED PLAN TO PUBLIC)
Definition:
The FS or RI/FS report is released to the public when the contamination at the site has been characterized and alternatives
for remediation have been evaluated.
Definition of Accomplishment:
The start of public comment ( Proposed Plan to public) is accomplished either (1) on the date the appropriate Regional
official signs a letter transmitting RI/FS reports and the proposed plan to the site repository for public review, or (2) when
the first page of the approved proposal plan, which lists the dates the public comment period starts and ends, is included
in the site file. This date must be recorded in $asteLjp| as the actual completion date (Actual Complete) of the
SubAction, Start of Public Comment (Action Name = Feasibility Study or Combined RI/FS a or PRP FS or PRP RI/FS
and SubAction Name = Start of Public Comment).
Change 2: jMUiii$ indicates changed text. A-31 April 23, 1998
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OSWER Directive 9200.3-14-1D
Changes in Definition FY 97 - FY 98:
None
Special Planning/Reporting Requirements:
Accomplishments are based on the first proposed plan released to the public for each FS or RI/FS, regardless of lead.
Start of public comment period ( Proposed Plan to public) is an internal reporting measure.
RI/FS DURATION
Definition:
The purpose of the RI/FS is to assess site conditions and evaluate alternatives to the extent necessary to select a remedy.
The RI/FS starts with the obligation of Fund monies; or the signature of an AOC, State Order, or State Decree for the
RI or RI/FS or the transmittal of a CD for RI or RI/FS to HQ or DOT; or the conduct of the RI/FS scoping meeting and
culminates with the signature of the ROD.
The objective of this measure is to focus on good project management of critical portions of the traditional remedial
pipeline and establish a methodology which accurately assesses program performance. Duration trends provide
indicators of areas that require attention.
Only RI/FS projects that started post-SARA will be used for comparison and evaluation purposes.
Definition of Accomplishment:
This measure includes all RI/FS projects that have a targeted completion date in FY 98. The RI/FS duration will be
calculated based on the RI or Combined RI/FS Start and Decision Document Signed ( ROD:completion) definitions
specified in this Manual. Regional performance in FY 98 will be compared to:
• The Regional and national average duration of RI/FS projects completed in FY 96 and FY 97 or FY 98;
• The Regional and national average duration of RI/FS projects completed in previous quarters of FY 98.
Changes in Definition FY 97 - FY 98:
None
Special Planning/Reporting Requirements:
CERCLIS will automatically look at actual RI or RI/FS start dates and actual ROD completion dates. HQ will perform
the analysis of the average durations. Fund and PRP durations will be tracked. RI/FS duration is an internal reporting
measure.
DECISION DOCUMENT SIGNED
Definition of Target/Measure:
A "Decision Document" is developed to identify each decision (at NPL, non-NPL, and NPL caliber sites) to:
• Perform an emergency or time-critical (removal); or
• Perform a. Non-Time Critical (NTC) early action (remedial or removal authority); or
• Perform a remedial action
April 23, 1998 A-32 Change 2: ft|efljj*p indicates changed text.
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OSWER Directive 9200.3-14-1D
Definition of Accomplishment:
Removals (Emergency, Time Critical, orNTC) - The date the On-Scene Coordinator (OSC), AA <3SWER, or designated
Regional official signs the first or original Action Memorandum for each removal. (Regions will not receive credit
for subsequent Action Memos, e.g., ceiling increases at the same removal.) The date of the signature is recorded in
^asteLAfr as the actual completion date (Actual Complete) of the SubAction = Approval of Action Memo or Removal
Action Memo Document. To receive credit for the Action Memo, the Region must enter the response technologies to
be implemented in the removal.
Early Actions under Remedial Authorityor Remedial Actions - The date the Regional Administrator/Deputy Regional
Administrator or the AA ©SWER signs the ROD for each early action under remedial authority OpfcA. This date must
be reported in If^telAN as the actual RI/FS (Action Name = Combined RI/FS or PRP RI/FS) or FS (Action Name =
Feasibility Study or PRP FS) and ROD (Action Name = Record of Decision) completion dates (Actual Complete). Final
RODs will be tracked as a component of this target. To receive credit for the ROD, the Region must enter the
technologies selected and their estimated cost (RA Cost Estimate).
For State-lead, State-signed RODs, where the ROD also is signed by EPA, accomplishments are reported as the date the
State signs the ROD (as long as the date of the EPA signature precedes or is the same as the date of the State signature).
These decisions will be tracked separately but reported on a combined basis.
Changes in Definition FY 97 - FY 98:
Decision Document signed is no longer a SCAP target. Itis an internal reporting measure.
Special Planning/Reporting Requirements:
Decision DocumenUigned is an internal reporting measure. In order to identify the response technologies selected in
the Action Memo , the Region must enter the media addressed through the action (Media Type and Media Name) and
the Selected Response Actions into ^asteliSsf. To identify the response technologies selected in the ROD, the Region
must enter the name of the selected alternative (Alternative Name), the media addressed in the ROD (Media Type and
Media Name) and the Selected Response Actions into i
ROD AMENDMENTS AND EXPLANATION OF SIGNIFICANT DIFFERENCES (ENDS)
Definition:
ROD Amendments
A ROD Amendment occurs when there are fundamental changes to the remedy. A fundamental change is when the
hazardous waste management approach selected in the ROD is reconsidered. For each ROD Amendment the ROD
process (revised proposed plan, public comment period, public meeting, responsiveness summary, and amended ROD)
should be repeated.
ESDs
When significant changes are made to a component of a remedy, an explanation of significant differences (ESDs) should
be prepared. ESDs do not fundamentally alter the overall approach intended by a remedy. The BSD is made available
to the public and placed in the Administrative Record.
Definition of Accomplishment:
ROD Amendments - The date the Regional Administrator/Deputy Regional Administrator signs the amended ROD
should be recorded in WiastetAN as the actual completion date (Actual Complete) of the ROD Amendment subAction
(Action Name = Record of Decision and SubAction Name = ROD Amendment).
ESDs - The date the BSD is placed in the Administrative Record is reported as the actual completion date (Actual
Complete) of the BSD (Action Name = Record of Decision and SubAction Name = Explanation of Significant Diff).
Change 2: Redline indicates changed text. A-33 , April 23, 1998
-------
OSWER Directive 9200.3-14- ID
Changes in Definition FY 97 - FY 98:
None.
Special Planning and Reporting Requirements:
ESDs and ROD amendments are being tracked as an internal reporting measure. Regions should enter the following
information into WasteLAN for the amended ROD: Alternative Name; Media Type; Media Name; Response Actions
Selected; and RA Cost Estimate.
April 23, 1998 A-34 Change 2: Redline indicates changed text.
-------
OSWER Directive 9200.3-14-1D
EXHIBIT A.2 (1 OF 9)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING REQUIREMENTS
panning ^ "* "s ~
Requirements
*o5~
SCAP Target or
Measure?
Internal
Management?
Planned Site-
Specifically?
Planned/Reported on
Operable Unit or
Whole Site Basis?
Reported Site-
Specifically or in
Non-Site Specific
Portion of WasteLAN
drCERCLIS?
AOA Category, if
Fund-Financed?
AOA Category for
Oversight?
Basis for AOA?
,-. SSA;3 Sites' T
>., Archived I<
^ /
Aleasiire
-
No
Whole Site
Site-Specific
N/A
N/A
N/A
Pre-CER"CfclSq\
/f. , .fyX$i<^ Ks
" ^Sipreening >u
Assessments ^\
_
Planning
No
Whole Site
Site-specific
Site Characterization
N/A
Non-Site Specific
Plans
^ 'BrpyhlBelds
£ ^Assessment ,"_ 7
S l>v J. 7T '**
_
Plaiorjitig
No
Whole Site
NOTI-
Site-specific
Site
Characterization
N/A
Non-Site Specific
Plans
-jSS|e Discovery v
->»»*%
_
Reported
No
Whole Site
Site-Specific
N/A
N/A
' N/A
EXHIBIT A.2 (2 OF 9)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING REQUIREMENTS
Planning Requirements
"< ' ; x* ' -\^
SCAP Target or Measure?
Internal Management?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole Site
Basis?
Reported Site-Specifically or
in Non-Site Specific portion
ofCERCLIS?
AOA Category, if Fund-
Financed?
AOA Category for
Oversight?
Basis for AOA?
PA; Starts at Non-
F,ederat Facilities
^ t
-
Planning
No
Whole Site
Site-Specific
Site
Characterization
N/A
Non-Site Specific
Plans
>^FF PAJKevie^ -
- ,. S'tarfc", **'
' y, V"h ^*
-
Elanfting
No
Whole Site
Site-Specific
Site
Characterization
N/A
Non-Site Specific
Plans
PA Completions
, at Njgp-Ff Beral-
, ^Facilities -ti_
-
Reported
No
Whole Site
Site-Specific
N/A
N/A
N/A
-FJ1 PA Review
s Completions- ^'
s"'^^ ,v -_. s*
-
Reported
No
Whole Site
Site-
Specific
N/A
N/A
N/A
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are planned and
reported quarterly.
Change 2: Redline indicates changed text.
A-35
April 23, 1998
-------
OSWER Directive 9200.3-14-1D
EXHIBIT A.2 (3 OF 9)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING REQUIREMENTS
Planning Requirements
SCAP Target or Measure?
Internal Management?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in Non-Site Specific
Portion of CERCLIS?
AOA Category, if Fund-
Financed?
AOA Category for
Oversight?
Basis for AOA?
SI Starts
-
Planned
No
Whole Site
Site-Specific
Site Characterization
N/A
Non-Site Specific
Plans
* SI Completions ,
- • •- -
Reported
No •
Whole Site
Site-Specific
N/A
N/A
N/A
Combined PA/SI,
,: '.Assessment '^,
| •
Reported
No
Wh|iieSite:
Site-Specific
Site
Characterization
N/A
Norn-Site Specific
Plans
, SIP Starts,
/I ^^^
-
Planned
No -
Whole Site
Site-Specific
Site
Characterization
N/A
Non-site
Specific Plans
EXHIBIT A.2 (4 OF 9)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING REQUIREMENTS
Planning Requirements
SCAP Target or Measure?
Internal Management?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in Non-Site Specific
Portion of CERCLIS?
AOA Category, if Fund-
Financed?
AOA Category for
Oversight?
Basis for AOA?
SIP Completions,;
-
Reported
No
Whole Site
Site-Specific
N/A
N/A
N/A
-
Planned
Yes
Whole Site
Site-Specific
Site
Characterization
N/A
Site-Specific Plans
ES|-C^n^S<«K
-
Reported
No
Whole Site
Site-Specific
N/A
N/A
N/A
-
Planned
Yes
Whole Site
Site-Specific
Site Characterization
N/A
Site-Specific Plans
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are planned and
reported quarterly.
April 23,1998
A-36
Change 2: Rellme indicates changed text.
-------
OSWER Directive 9200,3-14- ID
EXHIBIT A.2 (5 OF 9)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING REQUIREMENTS
Planning Requirements » -
SCAP Target or Measure?
Internal Management?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in Non-Site Specific
Portion of CERCLIS?
AOA Category, if Fund-
Financed?
AOA Category for
Oversight?
Basis for AOA?
; y^musti fe A
^^#1^ * j^
-
Reported
No
WhMSite
Site-Specific
N/A
N/A
N/A
MRS Bsjckage'Stta'rts
*~^ \
-
PlanrM
Yes
Whole Site
Site-Specific
Site Characterization
N/A
Site Specific Plans
Federal Facility SI/ESI
-
BJannea
No
wfoiSsii:
Site-Specifi6
SiteiChaiiacterizatlbn
N/k:
^n^Si^^ebiSclpIans
EXHIBIT A.2 (6 OF 9)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING REQUIREMENTS
Planning Requirements ~" x ;
a* / ^ --. "
SCAP Target or Measure?
Internal Management?
Planned Site-Specifically?
Planned/Reported on Operable
Unit or Whole Site Basis?
Reported Site-Specifically or in
Non-Site Specific Portion of
CERCLIS?
AOA Category, if Fund-
Financed?
AOA Category for Oversight?
Basis for AOA?
r H3R£ Package '"i^
Completions ' 1^
„< rt-
-
Reported
No
Whole Site
Site-Specific
N/A
N/A
N/A
^^ Integrated,
, > JRemoval/Remedial .,
' "Evaluation Starts
Planned
Yes
Whole Site
Site-Specific
Removal and Site
Characterization
N/A
Non-Site Specific Plans
,0 ' '" Bategrated
'.-Removal/Remedial
Evaluation Completion;
-
Reported
No
Whole Site
Site-Specific
N/A
N/A
N/A
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are planned and
reported quarterly.
Change 2: Redline indicates changed text.
A-37
April 23, 1998
-------
OSWER Directive 9200.3-14-1D
EXHIBIT A.2 (7 OF 9)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING REQUIREMENTS
Planning Requirements
SCAP Target or Measure?
Internal Management?
Planned bite-opecincally .'
Planned/Reported on Operable
Unit or Whole site Basis/
Reported Site-Specifically or in
Non-one specmc Portion 01
CERCLIS?
AOA Category, if Fund-
Financed?
AOA Category for Oversight?
Basis for AOA !
Regional
Decisions
-
Reported
JNo
Operable
Unit
o;t«
oite-
Specific
N/A
N/A
JN/A
EE/CA' ,-
-
Planned
ies
wnoie one
Site-Specific
Site
Characterization
Site
Characterization
ci- o 'tr
oite-opeciiic
Plans
i -., "••
=
=
Nj-if T^aj-inl.-jr.rl
VJL IV^LJUIIUU
©mannKIr, TTnlt
oltc
CthaiM~t~n/ratinn
v?V ._*v^niOV A
JNot Kequirea
wnoie oite
Site
Enforcement or
Federal Facility
oite- or iNon-oiie
Technical
: Assistance
-
-
XT *• T5 J
Site'
on
Enforcement
c. TVT
oite- or JNon-
Plans
o
*"To be determined" sites are allowed for first starts.
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are planned and
reported quarterly.
April 23, 1998
A-38
Change 2: Redline indicates changed text.
-------
OSWER Directive 9200.3-14-ID
EXHIBIT A.2 (8 OF 9)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING REQUIREMENTS
l*lffcttlftinff l£«»rtftirart*BCvni-V ~ /Tun'rtin^ji
^, VTI aircts ^Vs
=
=
N_t P -„,;.-„ 4
\Jt, J-WklUll^U
Not Fcciuired
Federal Fa ilitv
Soc~ifi Plans
JNPL Listing; ' ji
.
Planned
Yes
Whole Site
Site-Spec^
Other Response/
Federal Facility
JN/A
aiter&pecine Brians
t * «3RI Starts „ *
.
Planned
Yes*
Operable Unit
Site-Specific
Site
Characterization
Site
Characterization
Site-Specific
Plans
5PS Starts,^
„
Planned
Yes*
Operable Unit
Site-Specific
Site
Characterization
Site
Characterizatior
Site-Specific
Plans
EXHIBIT A.2 (9 OF 9)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING REQUIREMENTS
Planning Requirements ~
, -f&,~.^ ^ r*',_> 'x--r '^_ '<^
-•» x" x '"v* " r ^ >' >
j»^.1_t-. --. , .
SCAP Target or Measure?
Internal Management?
Planned Site-Specifically?
Planned/Reported on Operable
Unit or Whole Site Basis?
Reported Site-Specifically or in
Non-Site Specific Portion of
CERCHS?
AOA Category, if Fund-
Financed?
AOA Category for Oversight?
Basis for AOA?
^Combined
":«I/FS-Startsr
- -vAs
-^
-
Planned
Yes*
Operable unit
Site-Specific
Site
Characterization
Site
Characterization
Site-Specific
Plans
-.Staiitof Public ^
^Coniment.JPerioi „ "
{Pj^>posed Han>to
,.- ~ Public) *•-.
-
Reported
Yes
Operable Unit
Site-Specific
N/A'
N/A-
N/A
/ RM'S-J
'jDjuralftSn
-
Reported
No
Operable
Unit
Site-
Specific
N/A
N/A
N/A
- Decision "
"--Bocumenyt
,v_: Signed^ ^
Rep'ortirig
Yes
Operable unit
Site-Specific
N/A
N/A
N/A
1 ^ R'om,-^ '
Amendments
'andJENBS
'- ^ ' i- ;
_
Reported
No
Operable Unit
Site-Specific
N/A
N/A
N/A
* To be determined" sites are allowed for first starts.
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are planned and
reported quarterly.
Change 2: feline indicates changed text.
A-39
April 23, 1998
-------
OSWER Directive 9200.3-14-1D
This Page Intentionally
Left Blank
April 23,1998 A-40 Change 2: Kedjine; indicates changed text.
-------
I
OSWER Directive 9200.3-14-1D
Superfund/Oil Program Implementation Manual FY 98
Appendix B: Early/Long-Term Actions
(Reissued June 1,1998)
Change 1\ Redline indicates changecj text
June 1J998
-------
OSWER Directive 9200.3-14-lD
This Page Intentionally
Left Blank
August 21,1997
-------
OSWER Directive 9200.3-14-1D
Appendix B
Early and Long-Term Action
Targets and Measures
Table of Contents
EARLY AND LONG-TERM ACTION FY 98 SCAP TARGETS AND MEASURES B-1
Overview of FY 98 Early and Long-Term Action Targets/Measures B-1
Superfund Durations ', g_l
Early and Long-Term Action Definitions '' B-4
Community Relations (CR) B_4
Support Agency Assistance 3.4
Technical Assistance g_5
Technical Assistance Grants (TAGs) 3.5
Treatability Studies g_5
Pre-Design Assistance g.g
Remedial Design (RD) Start 3.7
RD Completion g_g
Remedial Action (RA) Start g.g
RA Contract Award B-10
ACT 5 • Start of Response Actions/Activities [Being Revised] B-10
ACT-6 • Completion of a Response Action [Being Revised] B-15
ACT-7 • NPL Site Construction Completions Through Early Actions, Long-Term
Actions, or RODs B-18
Operational and Functional (O&F) B-26
Long Term Response Action (LTRA) B-26
NPL Site Completions B-27
Operation and Maintenance (O&M) ; _ _ 5.35
Five-Year Reviews B-36
Partial NPL Deletion 3.37
Final NPL Deletion E-38
EI-1A • Populations Protected B-38
El-IB • Progress Through Environmental Indicators
(Achieving Permanent Cleanup Goals) B-40
EI-1C • Technologies Used and Volumes Handled at NPL and Non-NPL Sites B-41
Change 2: Redline indicates changed text
-------
OSWER Directive 9200.3-14-1D
Appendix B
Early and Long-Term Action
Targets and Measures
List of Exhibits
EXHIBITB.l EARLY AND LONG-TERM ACTION ACTIVITIES B-3
EXHIBITB.2 LONG-TERM ACTION FLOW CHARTS B-42
EXfflBITB.2 LONG-TERM ACTION FLOW CHARTS (continued) B-43
EXHIBIT B.3 EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS B-44
Change 2:rRedline''indicates changed text
-------
OSWER Directive 9200,3- 14-1D
APPENDIX B
EARLY AND LONG-TERM ACTION
FY 98 SCAP TARGETS AND MEASURES
OVERVIEW OF FY98 EARLY AND LONG-TERM ACTION TARGETS/MEASURES
The Superfund Comprehensive Accomplishments Plan (SCAP) is used by the Assistant Administrator for the Office
of Solid Waste and Emergency Response (AA SWER), Assistant Administrator for the Office of Enforcement and
Compliance Assurance (AA OECA), and senior Superfund managers to monitor the administrative progress each Region
is making towards achieving its Superfund goals. Superfund cleanup results are tracked through targets and
measures at the SCAP level as well as internal reporting measures. Those Superfund activities not tracked at the
SCAP level are monitored for internal management purposes by Headquarters (HQ).
The Superfund program will continue to serve as a pilot performance plan project under the Government
Performance and Results Act (GPRA), which was discussed in Chapter I. SCAP will serve as the mechanism through
which the Office of Emergency and Remedial Response (OERR) will track GPRA progress. As such, the program will
set national goals based on historical performance and performance expectations within a limited budget for the four
performance goals in GPRA and track accomplishments in the activities contributing to those goals. HQ will not
establish specific Regional targets and measures for GPRA. Regions should continue to plan and report accomplishments
in CERCLIS as they have traditionally. There are no additional GPRA-related reporting requirements for the Regions
inFY98.
The differences between SCAP targets and measures remain the same (i.e., a pre-determined numerical goal
versus an activity deemed essential to tracking overall program progress, respectively). OERR will continue to
track site assessment activities to document and evaluate administrative program progress and to analyze program trends.
SCAP accomplishments will be pulled from the Comprehensive Environmental Response, Compensation, and Liability
Information System (CERCLIS) on a quarterly basis. Planning measures are used to project the number of events and
activities that each Region expects to perform during the year using anticipated resources. Reporting measures simply
track the number of actions that occur throughout the year and are used to evaluate overall progress through the cleanup
pipeline. Planning measures also report accomplishments.
The following pages contain, in pipeline order, the definitions of the FY 98 early and long-term action activities,
SCAP measures (with the prefix ACT), internal management planning and reporting measures, and early and long-term
action project support activities. Exhibit B.I displays the full list of early and long-term action activities defined in this
Appendix. Exhibit B.2, at the end of this Appendix, illustrates the long-term action process. Exhibit B.3, also at the end
of this Appendix, identifies planning requirements for all early and long-term action activities.
SUPERFUND DURATIONS
The Superfund program has tracked remedial pipeline durations for several years in the Superfund Senior
Management Reports as part of Superfund progress evaluation. As program management emphasis shifts from
administrative progress to more comprehensive measurement of program progress, OERR will track additional durations
besides the remedial pipeline durations. These durations include: Engineering Evaluation/Cost Analysis (EE/CA)
duration; Expanded Site Inspection/Remedial Investigation (ESI/RI) duration; removal duration; average proposed listing
to first removal or remedial action; and average duration from action memorandum to first removal completion. In FY
98, OERR will track the average action and site durations presented below. These durations are not SCAP measures;
they are presented here for informational purposes only. HQ is responsible for calculating and publishing the durations
in the Superfund Senior Management Reports; however, Regions are responsible for entering and maintaining accurate
data from which durations can be derived.
Change 2;: iRedll^ Ifidieate:s;^J3^ged;t|xt B-l August 21,1997
-------
OSWER Directive 9200.3-14-1D
The durations only cover non-Federal actions and are calculated based on actual dates. In addition, they do not
include takeovers (within actions) or phased actions. These durations are tracked by the response and enforcement
programs.
• Average Remedial Investigation/Feasibility Study (RI/FS) Duration
• Duration from ROD to RD Start
• Duration from ROD to RA Start
August 21,1997 B-2.
-------
OSWER Directive 9200.3-14-1D
EXHIBIT B.I
EARLY AND LONG-TERM ACTION ACTIVITIES
ACTIVITY „ ^*V-> ^ "^ -^'£V, " * -.-'^
Community Relations
Support Agency Assistance
Technical Assistance
Technical Assistance Grants (TAGs)
Treatability Studies
Pre-Design Assistance
RD Start
RD Completion
RA Start
RA Contract Award
ACT-5 Start of Response Actions/Activities
ACT-6 Completion of a Response Action
ACT-7 NPL Site Construction Completions Through Early Actions,
Long-Term Actions, or RODs
Operational and Functional (O&F)
Long Term Response Action (LTRA)
Groundwater Monitoring
NPL Site Completions
Operation and Maintenance (O&M)
Five- Year Reviews
Partial 'NPL Deletion
Final NPL Deletion
EI-1 A-C Progress Through Environmental Indicators (El)
^scAP^ *
-
-
-
-
-
-
-
-
-
-
Measure
Measure
Measure
-
-
-
Measure
-
Measure
-
-
Measure
*"' INTERNAL *
-
-
-
*
-
-
Planning
Planning
Planning
Planning
-
-
-
-
*
*
-
*
-
*
*
-
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Those measures displayed in bold type
are program priorities for FY 98.
* These activities are planned for budgetary purposes.
B-3
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
EARLY AND LONG-TERM ACTION DEFINITIONS
COMMUNITY RELATIONS (CR)
Definition:
MJ *«*JL JUUIJL vAl •
CRs are the activities conducted in accordance with SARA, the National Contingency Plan (NCP), and the Community
Relations Handbook to involve the community in response activities conducted at a site.
Definition of Accomplishment:
The start of CR (Action Name = PRP Community Relations or Remedial Community Relations or Removal Community
Relations) is the obligation or tasking of funds for the development of the Community Relations Plan (CRP) or when
EPA initiates work on the CRP. For RP-lead or Federal facility sites where the PRP or other Federal agency is preparing
the CRP in accordance with an Administrative Order (AO), Consent Decree (CD), or Interagency Agreement (IAG), the
start of CR is defined as EPA's written approval of the CRP. When EPA is preparing the CRP at RP- or EP-lead sites,
CR begins when EPA initiates work on the CRP.
The completion of CR is the deletion of the site from the NPL or the conclusion of an early action at non-NPL or NPL
caliber sites.
Changes in Definition FY 97 - FY 98:
None
Special Planning/Reporting Requirements:
CR activities at Federal facilities are paid for by the Federal facility budget (Action Name = FF Community Relations).
Planned and actual start and completion dates are not required in CERCLIS. Funds may be planned site- or non-site
specifically; however, they must be obligated or tasked site-specifically. Once funds are obligated, the non-site specific
amount must be reduced. Funds for CR activities are in the Federal facility or site characterization Advice of Allowance
(AOA).
SUPPORT AGENCY ASSISTANCE
Definition:
The activities performed by another entity to support an EPA response is support agency assistance. The support agency
furnishes necessary data to EPA, reviews response data and documents, and provides other assistance to EPA.
EPA may provide States, political subdivisions, and Indian Tribes with funding to carry out a variety of management
responsibilities via a support agency Cooperative Agreement (CA) to ensure the meaningful and substantial
involvement in response activities.
Unless otherwise specified in the CA, all support agency costs, with the exception of RA support agency costs, may
be planned under a single Superfund account number designated specifically for support agency activities. RA
support agency activities must be planned site-specifically and require cost share provisions.
Definition of Accomplishment:
The start of support agency assistance (Action Name = Management Assistance) is the signature of the CA by the
Regional Administrator or his designee.
The completion of support agency assistance is the completion of all remedial activities at the site.
August 21,1997 B-4
-------
I
OSWER Directive 9200.3-14-1D
Changes in Dell nit ion FY 97 - FY 98:
None
Special Planning/Reporting Requirements:
Support agency assistance is paid for by the response program and is contained in the site characterization AOA.
Planned and actual start and completion dates are not required in CERCLIS. Funds may be planned or obligated site-
or non-site specifically; however, they must be outlayed site-specifically. Once funds are obligated, the non-site specific
amount must be reduced.
TECHNICAL ASSISTANCE
Definition:
Technical assistance is support provided by a third party to EPA regions to conduct response activities. Third parties
that may provide assistance include U.S. Army Corps of Engineers (USAGE), US EPA laboratories, U.S. Fish and
Wildlife Service, Alternative Remedial Contracting Strategy (ARCS), Superfund Technical Assistance and Response
Team (START) and Response Action Contracts (RAC) contractors.
Definition of Accomplishment:
The start of technical assistance (Action Name = Technical Assistance) is the obligation of funds for technical
assistance. The completion is defined as the completion of the response activities for the stage at which technical
assistance was requested.
Changes in Definition FY 97-FY 98:
None
Special Planning/Reporting Requirements:
Technical assistance is paid for by the response program and is contained in the site characterization AOA. Planned
and actual start and completion dates are not required in CERCLIS. Funds may be planned or obligated site- or non-
site specifically; however, they must be outlayed site-specifically. Once funds are obligated, the non-site specific
amount must be reduced.
TECHNICAL ASSISTANCE GRANTS (TAGs)
Definition:
The Superfund Amendments and Reauthorization Act of 1986 (SARA) established the TAG program to provide
technical assistance to eligible communities. The technical assistance allows communities to improve the decision
making process at their sites.
Definition of Accomplishment:
The start of the TAG (Action Name = Community Relations TA Grants) is the signature of the CA to the community
group which is the obligation of funds for the TAG. The completion of the TAG is the completion of the final RA or
early action, or the deletion of the site from the NPL.
Changes in Definition FY 97 - FY 98:
None
B-5
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
Special Planning/Reporting Requirements:
Planned and actual start and completion dates are not required in CERCLIS. Funds may be planned site-or non-site
specifically; however, they must be obligated site specifically. Once funds are obligated, the non-site specific
amount must be reduced. Funds for TAGs at non-Federal facility sites are contained in the response budget and
found in the other response AOA. Funds for TAGs at Federal facility sites are contained in the Federal facility
budget and found in the Federal facility AOA.
TREATABILITY STUDIES
Definition:
Treatability studies are laboratory or field tests used to evaluate and implement one or more remedial alternatives.
Definition of Accomplishment:
Fund-financed (F-, S- or TR- lead) - If unexpended ESI/RI, FS, or RD funds are used for the treatability study, the
start date is the date of EPA's written approval, as reflected in CERCLIS, of the treatability study work plan. The
completion is the written approval of the report on the results of the treatability study.
PRP-ftnanced (RP-, MR- or PS- lead) - The treatability study starts when EPA approves, in writing, the treatability
study work plan submitted by the Potentially Responsible Parties (PRPs). The completion is the approval of the
report on the results of the treatability study.
Changes in Definition FY 97-FY 98:
None
Special Planning/Reporting Requirements:
Treatability study (Action Name = Treatability Studies) planned and actual start (Planned Start and Actual Start) and
completion (Planned Complete and Actual Complete) dates are not required in CERCLIS. Treatability studies are
funded as part of an ESI/RI, RI/FS, or RD. Dollars are not budgeted, planned, or obligated separately.
PRE-DESIGNASSISTANCE
Definition:
Pro-Design assistance activities are undertaken by the USAGE in preparation for initiating RD activities. This
includes:
• Synopsizing RD requirements in the Commerce Business Daily (CBD); and
• Developing architect/engineer (A/E) firm pre-selection list; and
• Contacting A/E firms on the pre-selection list to ascertain interest in project; and
• Developing A/E selection list; and
• Tentatively selecting A/E firm.
Definition of Accomplishment:
The initiation of pre-design assistance (Action Name = Design Assistance) is the signature of the IAG by USAGE
(obligation of funds). The completion of design assistance is the start of RD.
August 21,1997 B-6
-------
OSWER Directive 9200.3-14-ID
Changes in Definition FY 97-FY 98:
None
Special Planning/Reporting Requirements:
Funds for design assistance should be obligated prior to the signature of the ROD. Planned and actual start and
completion dates are not required in CERCLIS. Funds may be planned site-or non-site specifically; however, they
must be obligated site-specifically. Once funds are obligated, the non-site specific amount must be reduced. Funds
for design assistance are in the site characterization AOA.
REMEDIAL DESIGN (RD) START
Definition:
The RD converts the remedy selected in the ROD into a final design documents for RA. The obligation of funds for
design assistance or technical assistance does not constitute a RD start.
Pre-design activities will not be counted as a RD start.
Definition of Accomplishment:
Fund-Financed (F- or S-lead actions) - A Fund RD is started when funds are obligated. An obligation is made
when:
• The EPA Contracting Officer (CO) signs the contract modification or work assignment for the RD; or
• A CA is signed by the Regional Administrator or his designee; or
• An IAG is signed by the other Federal agency.
In those instances where design assistance is conducted prior to ROD signature, and there is not a new obligation of
funds for a subsequent RD, the start of RD is defined as the written approval of the work plan to conduct these
activities. If there is a new obligation of funds, the start of RD is defined as the date funds are obligated. When a
RD has been prepared by other parties (e.g., water lines where the city already prepared plans and specifications) or
plans developed for a similar site will be used, the RD actual start date is the same as the RA actual start date.
PRP-financed (MR-, RP- or PS-lead actions) - For RP-lead, the start is credited on the date the earlier of the
following actions takes place:
• The enforcement document under which the RD is to be conducted becomes effective:
For an Administrative Order on Consent (AOC), this is the date of signature of the AOC for RD by the Regional
Administrator or his designee, or the date of signature of an amendment to an existing AOC to include RD;
For a Unilateral Administrative Order (UAO), this is the date of the PRP's written notice of intent to comply with
the UAO;
For a CD, this is either the date the CD is lodged by the DOJ, or the date the CD is entered with the court
(depending on the wording of the CD); or
• An official written notice to proceed is issued by EPA to the PRP.
For PS-lead sites, credit will be given based on the issuance or effective date of a State order or other comparable
State enforcement document for RD (or combined RD/RA). If the RD is covered by a pre-existing State order, credit
will be based on the notice to proceed date.
B-7 August 21, 1997
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OSWER Directive 9200.3-14-1D
Changes in Definition FY 97-FY 98:
None
Special Planning/Reporting Requirements:
The actual start date (Actual Start) of the RD (Action Name = Remedial Design or PRP RD) must be entered into
CERCLIS. Accomplishments are reported site-specifically. Funds for RDs are in the site characterization AOA.
This is an internal planning measure.
RD COMPLETION
Definition:
The RD converts the remedy selected in the ROD into a final design document for RA.
Definition of Accomplishment:
A RD is complete when:
• Fund-financed (F- or S-lead actions) - EPA approves, in writing, the final design document.
• PRP-financed (MR-, RP- or PS-lead actions) - EPA approves, in writing, the final design document. For State
enforcement-lead (PS) RDs, the RD is complete when the State approves the final design document.
Changes in Definition FY 97-FY 98:
None
Special Planning/Reporting Requirements:
The actual completion date (Actual Complete) of the RD (Action Name = Remedial Design or PRP RD) must be
entered into CERCLIS. Accomplishments are reported site-specifically. This is an internal planning measure.
REMEDIAL ACTION (RA) START
Definition:
A RA is the implementation of the remedy selected in the ROD.
Definition of Accomplishment:
Remedial Action
Fund-financed (F- or S-lead actions) - Credit for a RA start is given on the date a contract modification for the
RA is signed by the EPA CO or the IAG is signed by the other Federal agency or CA is awarded, and funds are
obligated.
Credit for a subsequent RA start under an existing IAG is given on the date the amendment to the IAG to include
the new work is approved.
The actual start date (Actual Start) is entered into CERCLIS with the RA (Action Name = Remedial Action).
PRP-financed (MR-, RP- or PS-lead actions) : Credit for a RA start is given when one of the following occurs
and has been recorded in CERCLIS:
September 16, 1997 B-8
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OSWER Directive 9200.3-14-1D
• If work is performed by the PRPs under the same CD or UAO as the RD, the RA start is the date EPA approves,
in writing, the PRP RD document (RE> completion); or
• If the PRP is doing work under a State order or comparable enforcement document, and the site is covered by a State
enforcement cooperative agreement or State Memorandum of Agreement (SMO A) (PS-lead) with a schedule for
long-term action work at the site, and EPA approved the ROD, the RA start is the date the State approves, in writing,
the PRP RD document; or
• Where the Fund performed the RD or the RD was done under a settlement/order for RD and the PRPs are doing the
RA under the terms of a CD, UAO or judgment for RA only, the RA start date (Actual Start) is the same as the date
(Action Complete) of the PRP's written notice of intent to comply with the UAO (Action Name = Unilateral Admin
Order) and (SubAction Name = PRPs Ntfy EPA, Intent to Comply) or the date the CD is transmitted by the Regional
Administrator to HQ or the DOJ [as recorded in CERCLIS as the actual CD (Action Name = Consent Decree) start
(Actual Start) and actual RA start (Actual Start)]. Where the PRP is in significant non-compliance with the UAO,
credit will be withdrawn.
For both Fund- and PRP-financed actions - The Region must enter the Alternative Name, Media Name, Media
Type, and the technology of the RA into the Response Action Type field (Selected Response Actions) and
whether the RA is an early action or long-term action (Critical Indicator = Early Action or Long-Term Action).
Limited Remedial Action (e.g., RODs where the only action selected is Monitored Natural Attenuation and/or
Institutional Controls). Limited actions are distiguished from No Action/No Further Action RODs, such as those
where groundwater monitoring is the only response activity selected.
Fund-financed (F- or S-lead actions) - Credit for a RA start is given on the date ROD selecting a limited
remedial action is signed.
The actual start date (Actual Start) is entered into CERCLIS with the RA (Action Name = Remedial Action).
PRP-financed (MR-, RP- or PS-lead actions) - When the PRPs are doing the RA under the terms of a CD,
UAO or judgment for RA only, the RA start date (Actual Start) is the same as the date (Action Complete) of the
PRP's written notice of intent to comply with the UAO (Action Name = Unilateral Admin Order) and
(SubAction Name = PRPs Ntfy EPA, Intent to Comply) or the date the CD is transmitted by the Regional
Administrator to HQ or the DOJ [as recorded in CERCLIS as the actual CD (Action Name = Consent Decree)
start (Actual Start) and actual RA start (Actual Start)]. Where the PRP is in significant non-compliance with the
UAO, credit will be withdrawn.
For both Fund- and PRP-financed actions - The Region must enter the Alternative Name, Media Name, Media
Type, and the technology of the RA into the Response Action Type field (Selected Response Actions) and
whether the RA is a limited remedial action (Critical Indicator = Limited Remedial Action).
Changes in Definition FY 97-FY 98:
Added requirement to record in CERCLIS, the Alternative Name, Media Name, and Media Type in addition to the
Selected Response Actions. Added limited remedial action category.
Special Planning/Reporting Requirements:
This is an internal planning measure. The actual start date (Actual Start) of the RA (Action Name = Remedial
Action or PRP RA) and the appropriate enforcement information must be entered into CERCLIS. The Region must
enter the Alternative Name, Media Name, Media Type, and the remedial response actions (Selected Response
Actions) associated with the RA into CERCLIS. Funds for Fund-financed RAs are planned on a site-specific basis
and are placed by name in the RA AOA. Funds for oversight of RP-lead RAs are planned on a site-specific basis
and are found in the site characterization AOA. See Long-Term Action Flow Chart at the end of this Appendix
(Exhibit B.2).
B-9 September 16, 1997
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OSWER Directive 9200.3-14-1D
RA CONTRACT AWARD
Definition:
Award of RA contract is the date a contract for construction of the remedy is awarded.
Definition of Accomplishment:
Fund-financed (F- or S-lead actions) - Date (recorded in CERCLIS as an Actual Complete) when the EPA, State,
USAGE, or Bureau of Reclamation (BUREC) awards (signs) a contract to initiate a Fund-financed RA.
If the RAG or ARCS contractor is assigned RA responsibility, the award of RA contract is defined as the date the RA
subcontract is signed by the contractor. If the Emergency Response Cleanup Services (ERCS) or Emergency and
Rapid Response Services (ERRS) contractor will be performing the RA, award of RA contract is defined as the date
(Actual Complete) the contract modification for the RA is signed by the EPA CO.
PKP-financed (MR-, RP- or PS-lead actions) - Date (recorded in CERCLIS as an Actual Complete) when the PRP
awards a contract to initiate the RA, as documented in a memorandum to the site file.
Changes in Definition FY 97 - FY 98:
None
Special Planning/Reporting Requirements:
The actual completion date (Actual Complete) must be placed in CERCLIS with the RA SubAction, Award of RA
Contract (Action Name = Remedial Action or PRP RA and SubAction Name = Award of Contract). See Long-Term
Action Flow Chart at the end of this Appendix (Exhibit B.2). This is an internal planning measure.
ACTS • START OF RESPONSE ACTIONS/ACTIVITIES
NOTE: DEFINITION OF VOLUNTARY '
Definition:
This measure counts all early actions (removal or remedial), remedial actions, limited remedial action, or RODs for
groundwater monitoring only.
Groundwater monitoring is defined as the collection and analysis of groundwater samples as a result of a ROD that
addresses groundwater contamination at a site or operable unit. The ROD will specify that (1) groundwater
monitoring is the only activity that will be taken at the site, or (2) groundwater monitoring is the only activity that
will be implemented during a operable unit groundwater cleanup. Do not enter a groundwater monitoring action
[Action Name = Grndwtr Monitor (Post-ROD)] into CERCLIS if natural attenuation is the only response
action selected to address groundwater at the site or operable unit
Definition of Accomplishment:
Early Action (Removal or Remedial Authority) — A site is addressed by an early action (removal or remedial
authority) when the EPA, RAG, ARCS, ERRS, ERCS, State, or PRP, or their contractors, have mobilized for
construction of the early action (removal or remedial authority) specified in die ROD or Action Memorandum.
June 1,1998 B-10 Change/ ?: Redline iiillS^lt^ph
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OSWER Directive 9200.3-14-1D
Removal Actions
Fund-financed (F-, S-, or CG- lead) actions - EPA, State or their contractors have begun work at a site for
construction of the removal (emergency, time-critical, or non-time critical) as documented by a Pollution Report
(POLREP). The date on-site construction is reported in CERCLIS as the removal (Action Name = Removal
Action) actual start date (Actual Start).
PRP-financed (RP-, PS-, or MR- lead) actions under the terms of an AOC, UAO, CD, or judgment - The
PRPs or their contractors have begun work on-site for construction of the removal (emergency, time critical, or
non-time critical) as documented in a POLREP and the PRPs provide written notice of intent to comply with a
UAO, or an enforcement instrument has been signed by EPA and the PRPs, or a judgment has been signed by a
Federal judge.
The date of on-site construction is reported in CERCLIS as the removal (Action Name = PRP Removal) actual
start date (Actual Start). The following information must be entered into CERCLIS for the enforcement
instrument:
- The date the AOC (Action Name = Admin Order on Consent) was signed by the PRPs and the designated
Regional official (Actual Complete), and the Response Actions Achieved of "PRP Removal"; or
- The date (Actual Complete) the PRPs provide notice of intent to comply (Action Name = PRP Notfy EPA of
Intent to Comply) with a UAO signed (Actual Complete) by the designated Regional official (Action Name =
Unilateral Admin Order), and the Response Actions Achieved of "PRP Removal"; or
- The date the CD (Action Name = Consent Decree) was signed by the PRPs, the designated Regional official,
and the Federal judge (Actual Complete), and the Response Actions Achieved of "PRP Removal"; or
- The date a judgment (Action Name = Judgment) was signed by the Federal judge (Actual Complete), and the
Response Actions Achieved of "PRP Removal".
PRP-financed (RP-, PS- lead) voluntary actions (no enforcement instrument exists) - The PRPs or their
contractors have begun work at a site for construction of the removal (emergency, time-critical, or non-time
critical) and EPA is part of the unified command as documented by a Pollution Report (POLREP). The date of
on-site construction is reported in CERCLIS as the removal (Action Name = PRP Removal) actual start date
(Actual Start).
For both Fund- and PRP-financed removals, the following additional information must be entered into CERCLIS:
- The Critical Indicator classification of the removal [(1) Time Critical, (2) Non-Time Critical, or (3) Emergency];
- The NPL Status of the site;
- The media addressed through the removal (Media Type);
- The Media Name; and
- The Response Action being conducted (Selected Response Actions).
Early Action (Remedial Authority)
Fund-financed (F-, or S- lead actions) - EPA, the State, or their contractors have begun work at a site for
construction of the early action (remedial authority) as documented by a memorandum to the file or other
documentation. The date is reported in CERCLIS as the actual completion date (Actual Complete) of the RA
on-site construction subAction (Action Name = Remedial Action and SubAction Name = RA On-site
Construction).
B-ll September 16, 1997
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OSWER Directive 9200.3-14-ID
The following data must also be entered into CERCLIS:
The date of obligation of funds for the early action (remedial authority) as the RA (Action Name = Remedial
Action) actual start date (Actual Start). Funds are obligated when the CO signs the contract modification, the
IAG is signed by the other Federal agency, or a CA is signed by the Regional Administrator or his/her designee;
and
The Critical Indicator which classifies the RA as an early action (remedial authority) [Critical Indicator = (4)
Early Action]; and
The NPL Status of the site as Proposed for NPL or Currently on Final NPL.
PRP-financed (RP-, MR- or PS- lead actions) - The PRPs or their contractors have begun work at a site for
construction of the early action (remedial authority) as documented in a memo to the file indicating that the
contractor has begun the early action (remedial authority) or a report of mobilization from the contractor. The date
of start up is reported in CERCLIS as the actual completion date (Actual Complete) of the RA on-site construction
subAction (Action Name = PRP RA and SubAction Name = RA On-site Construction). Regions also need to ensure
that the critical indicator which classifies the RA as an early action (Remedial Authority) [Critical Indicator = (4)
Early Action] has been entered into CERCLIS.
In addition, to receive credit under this measure, the PRPs must be in compliance with a UAO, or an enforcement
instrument signed by EPA and the PRPs, or a judgment signed by a Federal judge. The following information must'
be entered into CERCLIS for the enforcement instrument:
- The date the AOC (Action Name = Admin Order on Consent) was signed by the PRPs and the designated
Regional official (Actual Complete), and the Response Actions Achieved of "PRP RA"; or
- The date (Actual Complete) the PRPs provide notice of intent to comply (Action Name = PRP Notfy EPA of
Intent to Comply) with a UAO signed (Actual Complete) by the designated Regional official (Action Name
= Unilateral Admin Order), and the Response Actions Achieved of "PRP RA"; or
- The date the CD (Action Name = Consent Decree) was signed by the PRPs, the designated Regional official,
and the Federal judge (Actual Complete), and the Response Actions Achieved of "PRP RA"; or
- The date a judgment (Action Name = Judgment) was signed by the Federal judge (Actual Complete), and the
Response Actions Achieved of "PRP RA".
- For both Fund- and PRP- financed actions - the Region must indicate the following:
- The name of the Alternative being constructed (Alternative Name);
- The media addressed (Media Type);
- The Media Name; and
- The response actions being constructed (Selected Response Actions).
Remedial Action (RA On-Site Construction) - A site is addressed through a remedial action when the EPA, ARCS,
RAC, the USAGE, BUREC, State or PRP, or their contractors, have begun work at a site for on-site construction of the
remedial action remedy selected in the ROD.
September 16, 1997 B-12
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OSWER Directive 9200.3-14-1D
• Fund-financed (F-, or S- lead) actions - EPA, the State or their contractors have begun work for on-site
construction of the remedy. A memo to file documenting that the contractor has mobilized to begin construction
or a report of mobilization from the contractor is required. This date is entered into CERCLIS as the RA on-site
construction subAction (Action Name = Remedial Action and SubAction Name = RA On-Site Construction)
actual completion date (Actual Complete). The following additional data must be entered into CERCLIS:
•
- A "final" NPL status indicator (NPL Status = Currently on the Final NPL); and
- A Critical Indicator which classifies the RA as a Long-Term Action [Critical Indicator = (5) Long-Term
Action].
• PRP-financed (RP-, MR-, or PS- lead) actions - The PRPs or their contractors have begun work at a site for
on-site construction of the remedy. The date of on-site construction must be documented in a memorandum to
the site file stating when the contractor began substantial and continuous remedial activity. A copy of a report
of start up from the contracting party is also acceptable. The date of on-site construction must be entered into
CERCLIS as the RA on-site construction SubAction (Action Name = PRP RA and SubAction Name = RA On-
Site Construction) actual completion date (Actual Complete). Also, the RA must be classified as a Long-Term
Action (Critical Indicator - (5) Long-Term Action).
In addition, to receive credit under this measure, the PRPs must be in compliance with a UAO, or an
enforcement instrument signed by EPA and the PRPs, or a judgment signed by a Federal judge. The following
information must be entered into CERCLIS for the enforcement instrument:
AOC (Action Name = Admin Order on Consent) was signed by the PRPs and the designated Regional official
(Actual Complete), and the Response Actions Achieved of "PRP RA"; or
- The date (Actual Complete) the PRPs provide notice of intent to comply (Action Name = PRP Notfy EPA
of Intent to Comply) with a UAO signed (Actual Complete) by the designated Regional official (Action
Name = Unilateral Admin Order), and the Response Actions Achieved of "PRP RA"; or
- The date the CD (Action Name = Consent Decree) was signed by the PRPs, the designated Regional official,
and the Federal judge (Actual Complete), and the Response Actions Achieved of "PRP RA"; or
- The date a judgment (Action Name = Judgment) was signed by the Federal judge (Actual Complete), and the
Response Actions Achieved of "PRP RA".
For both Fund- and PRP-financed actions, the Region must indicate the following:
- The name of the Alternative being constructed (Alternative Name);
- The media addressed (Media Type);
- The Media Name; and
- The response actions being constructed (Selected Response Actions) .
Limited Remedial Action (e.g., RODs where the only action selected is Monitored Natural Attenuation and/or
Instutional Controls). Limited actions are distinguished from No Action/No Further Action RODs, such as
those where groundwater monitoring is the only response activity selected.
Fund-financed (F- or S-lead actions) - Credit for a RA start is given on the date ROD selecting a limited
remedial action is signed.
B-13 September 16, 1997
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OSWER Directive 9200.3-14-1D
The actual start date (Actual Start) is entered into CERCLIS with the RA (Action Name = Remedial Action).
PRP-financed (MR-, RP- or PS-lead actions) - When the PRPs are doing the RA under the terms of a CD, UAO
or judgment for RA only, the RA start date (Actual Start) is the same as the date (Action Complete) of the PRP's
written notice of intent to comply with the UAO (Action Name = Unilateral Admin Order) and (SubAction Name
= PRPs Ntfy EPA, Intent to Comply) or the date the CD is transmitted by the Regional Administrator to HQ or
the DOJ [as recorded in CERCLIS as the actual CD (Action Name = Consent Decree) start (Actual Start) and
actual RA start (Actual Start)]. Where the PRP is in significant non-compliance with the UAO, credit will be
withdrawn.
For both Fund- and PRP-financed actions - The Region must enter the Alternative Name, Media Name, Media Type,
and the technology of the RA into the Response Action Type field (Selected Response Actions) and whether the RA
is a limited remedial action (Critical Indicator = Limited Remedial Action).
Croundwater Monitoring
Credit is given for a groundwater monitoring [Action Name = Grndwtr Monitor (Post-ROD)] start (Actual Start) when:
Fund-financed (F-, or S- lead actions) - Funds are obligated for the groundwater monitoring. Funds are obligated
when:
- A contract modification or work assignment for groundwater monitoring is signed by the EPA CO; or
- A CA for groundwater monitoring is signed by the Regional Administrator or his/her designee; or
- An IAG for groundwater monitoring is signed by the other Federal agency.
PRP-financed (MR-, RP- or PS-lead actions) - PRP-financed groundwater monitoring starts when:
- An AOC which includes groundwater monitoring is signed by the PRPs and the designated Regional official; or
- A UAO which includes groundwater monitoring is signed by the designated Regional official.
Changes in Definition FY 97 - FY 98:
Separated the definitions for groundwater monitoring from the RA definition. Provided a definition for removals being
conducted voluntarily by the PRPs. Included the CERCLIS 3 coding requirements for removals, RAs and early actions
(remedial authority). Provided CERCLIS 3 coding requirements for the enforcement instruments under which the PRP
actions are being conducted. The PRPs must have provided a notice of intent to comply with a UAO in order to receive
credit for a PRP-financed removal with enforcement instrument, or early action (remedial authority), or RA. Added
limited remedial action and moved the groundwater monitoring definition into this measure.
Special Planning/Reporting Requirements:
Funds for removals may be planned or obligated site- or non-site specifically; however, they must be reported into
CERCLIS site-specifically. This is a SCAP reporting measure. Fund, PRP with enforcement instrument, and PRP
voluntary removal starts, early actions (remedial authority), RAs, limited remedial actions, and groundwater monitoring
(post-ROD) starts will be tracked separately for internal management purposes. The date work of RA on-site
construction (Action Name = Remedial Action or PRP RA and SubAction Name = RA On-site Construction) will be
used for purposes of establishing the statute of limitation (SOL) determination.
September 16, 1997 B-14 September 16, 1997
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OSWER Directive 9200.3-14-1D
ACT-6 • COMPLETION OF A RESPONSE ACTION/ACTIVITY
NOTE: DEFINITION OF VOLUNTARY REMOVAL IS UNDER REVISION.
Definition:
Early Actions (Removal or Remedial Authority) - Early actions (removal or remedial) are responses performed at NPL,
non-NPL, or NPL caliber sites that eliminate or reduce threats to public health or the environment from the release, or
potential release, of hazardous substances. These risk reduction activities can be conducted as emergency responses,
time-critical or NIC removal actions, or as early actions (remedial authority). This measure tracks each early action
(removal or remedial) completion at a site.
Remedial Actions - Remedial actions are cleanup responses intended to achieve the completion of more extensive site
remediation . This measure tracks each remedial action completion at a site.
Limited Remedial Action -Limited remedial actions are those RODs which select monitored natural attenuation and/or
institutional controls as the only response actions. Limited actions are distinguished from NoAction/No Further Action
RODs, such as those where groundwater monitoring is the only response activity selected.
Groundwater Monitoring (Post-ROD) - This measure tracks the completion of groundwater monitoring when the ROD
specifies that groundwater monitoring is the only activity that will be taken at the site or groundwater monitoring is
the only activity that will be implemented during an operable unit groundwater cleanup. This measure tracks each
groundwater monitoring (post-ROD) completion at a site.
Early action (remedial or removal authority), remedial action, and groundwater monitoring (post ROD)
completions will be tracked separately but accomplishments will be reported on a combined basis.
Definition of Accomplishment:
Remo val Actions
• A Fund-financed removal is considered complete when the actions specified in the Action Memorandum are met,
OR when a ROD is signed which encompasses the actions specified in the Action Memorandum, (the ROD actual
complete date should be the same as the Removal actual complete date) OR when the contractor has demobilized
and left the site (as documented in the POLREP) and recorded as the removal (Action Name = Removal Action)
actual completion date (Actual Complete) in CERCLIS.
• A PRP-financed removal performed by the PRP under the terms of an enforcement instrument, is considered
complete when the Region has certified that the PRPs have fully met the terms of an AOC, UAO, CD, or judgment
and EITHER have completed the actions specified in the Action Memorandum (as documented in the POLREP)
and recorded as the removal (Action Name = PRP Removal) actual completion date (Actual Complete) in
CERCLIS OR a ROD (Action Name = Record of Decision) is signed which encompasses the actions specified
in the Action Memorandum (the ROD actual complete date should be the same as the PRP Removal actual
complete date).
A PRP-financed removal performed voluntarily by the PRPs without an enforcement instrument is considered
complete when the actions specified in the Action Memorandum are met, OR when a ROD is signed which
encompasses the actions specified in the Action Memorandum, (the ROD actual complete date should be the same
as the PRP Removal actual complete date) OR when the contractor has demobilized and left the site (as
documented in the POLREP) and recorded as the removal (Action Name = PRP Removal) actual completion date
(Actual Complete) in CERCLIS.
In order to receive credit for a removal completion an endangerment assessment must be performed. This endangerment
assessment may be documented in an Action Memo, Removal Action Decision Document or enforcement instrument.
B-15
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OSWER Directive 9200.3-14-1D
Regions must enter one (or more) of these actions and the actual completion date (Actual Complete) into CERCLIS.
For cither Fund- or PRP-fmanced removals, an action qualifier (Qualifier) must be recorded to identify whether the
action resulted in a "Total Site Cleanup," a "Partial Site Cleanup," or "Site Stabilzed."
Action qualifiers are defined as follows:
- Total Site Cleanup: All threats have been addressed as defined in the Action Memo and the Region determines
that it has addressed all threats posed by the site (will not be returning for subsequent response activity). Also,
all removal obligations and related work have been completed.
- Partial Site Cleanup: Removal action(s) have been completed that have taken specified waste(s) off site, or
permanent treatment technologies have been applied such that specified waste(s) will not have to be handled.
again. Example: Contaminated drums are removed but soil contamination remains. Site is partially cleaned up.
- Site Stabilzed: All threats identified in the Action Memo have been addressed and the Region may take additional
removal actions as new threats are identified/investigatory information is available. Example: Site is fenced to
preclude entry/exit and drums are segregated and overpacked to prevent a release/contamination. Site is
stabilized.
Exceptions:
Temporary demobilization and temporary storage on-site are not considered completions, unless temporary storage
is the only action specified in the Action Memorandum to mitigate threats to public health, welfare, and the
environment. Likewise, temporary off-site storage of hazardous substances at a Treatment, Storage, and Disposal (TSD)
facility other than the facility of ultimate disposal is a continuation of the action, not a completion, unless temporary
off-site storage at a TSD is the only action specified in the Action Memorandum. In addition, a removal would not be
considered complete if:
• The Action Memorandum requires the EPA contractor to monitor the hazardous substances stored on-site or
additional contractor expenditures are anticipated; or
• Hazardous substances are being stored at an off-site facility, other than the ultimate TSD facility required in the
Action Memorandum.
A removal would be considered complete if:
• The scope of work for the action does not specify final off-site disposal of hazardous substances; the substances
have been stabilized and are stored on-site due to circumstances such as the unavailability of a final
treatment/disposal remedy; and no additional Comprehensive Environmental Response, Compensation, and
Liability Act (CERCLA) removal authority funds are anticipated to be expended on this action. In this instance,
no CERCLA removal authority funds will be expended for long-term site O&M. Any long-term site O&M (greater
than 6 months) should be performed by the PRP or another agency (e.g., the State); or
• Hazardous substances are being stored off-site at the location of final disposal, and no additional contractor
expenditures are anticipated for this action.
Remedial Action or Early Action (Remedial Authority) - (Fund- or PRP-fmanced)
These actions are considered complete for each OU when the designated Regional or State official (Branch Chief or
above) signs a letter accepting the RA Report. The date of the acceptance of the RA Report must be entered into
CERCLIS as the RA (Action Name = Remedial Action or PRP RA) actual completion date (Actual Complete).
Change 2: Redline indicates changed text B-16
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OSWER Directive 9200.3-14-1D
The date the RA Report is accepted varies depending on the remedy that was implemented. The following table
provides example RAs and indicates when the RA Report would be prepared.
Completion of RA or Early Action (Remedial Authority) >
Example RAs
Excavation and off-site disposal of contamination
Landfill caps or other remedies where Long Term
Response Action (LTRA) is not required
Groundwater pump and treat or other remedies where
LTRA is required
RA Report Prepared
After the final inspection
After physical construction is complete and the
Operational and Functional (O&F) period begins (see
definition of O&F).
When the LTRA performance goals/cleanup standards
are met. The timeframe for these actions may extend
beyond .the LTRA 10-year period and into the
Operation and Maintenance (O&M) phase before
cleanup goals are met and the final RA Report is
accepted by EPA.
Limited Remedial Actions (Fund- or PRP-financed) and Groundwater Monitoring
The following table shows the definition of accomplishment dates:
" Limited Remedlial Action and Groundwater Monitoring"
Type of Action/Activity
Institutional Controls
Monitored Natural Attenuation
Groundwater Monitoring
Completion Definition
Performance goals at all OUs have been met,
including the ground- or surface-water restoration
goals associated with LTRA and, if necessary, O&M;
and the institutional controls specified in the ROD are
in place; and a Final Superfund Site Close-Out Report
containing documentation of the institutional controls
has been signed by the Regional Administator.
Performance goals at all OUs have been met,
including the ground- or surface-water restoration
goals associated with LTRA and, if necessary, O&M;
and groundwater cleanup goals are met through
monitored natural attenuation; and a Final Superfund
Site Close-Out Report containing documentation of
the institutional controls has been signed by the
Regional Administator.
Groundwater monitoring [Action Name = Grndwtr
Monitor (Post-ROD)] completion is defined as the
date (Actual Complete) EPA determines that
groundwater monitoring is no longer necessary. This
determination may be included in the Final Superfund
Close-Out Report, five-year review report, or
memorandum signed by the appropriate Regional
official.
Change 2: Redline indicates changed text
B-17
September 16, 1997
-------
OSWER Directive 9200.3-14-1D
Changes in Definition FY 97 - FY 98:
Though the final determination of accomplishment of the RA Completion remains the acceptance of the RA Report,
the steps that lead to the preparation of the RA Report were deleted since all the steps previously included in the
definition may not occur at all sites. Examples of various remedies and the timeframes for preparation of the RA Report
were provided. Clarified the language to ensure that there would be no confusion between accomplishments under this
measure and Long-Term Response Actions. Added clarification that if a signed ROD, which encompasses the actions
specified in the Action Memorandum is used to document the accomplishment of a removal completion, the ROD actual
completion date should be the same as the Removal actual completion date. Provided a definition for the completion
of a voluntary removal conducted by the PRPs without an enforcement instrument. Added language for Limited
Remedial Actions.
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. This measure tracks each early action (removal or remedial authority),
remedial action, limited remedial actions, and groundwater monitoring (post ROD) completion at a site. Early
action (remedial or removal authority), remedial action, and groundwater monitoring (post ROD) completions
will be tracked separately but accomplishments will be reported on a combined basis. For removals, an action
Qualifier must be recorded to identify whether the removal resulted in a "Total Site Cleanup," a "Partial Site Cleanup,"
or "Site Stabilization." See Long-Term Action Flow Chart at the end of this Appendix (Exhibit B.2).
ACT-7 ONPL SITE CONSTRUCTION COMPLETIONS THROUGH EARLY ACTIONS,
LONG-TERM ACTIONS, OR RODS
Definition:
Construction at a NPL site is considered complete when:
• Physical construction is complete for the entire site as a result of one or several early or long-term actions; or
• A ROD is signed stating that No Action or No Further Action is required for the final OU. This includes RODs
where groundwater monitoring is the only response activity selected; or
• A ROD is signed for the final OU stating that all physical construction is complete; or
• A Limited Action ROD is signed for the final OU stating that the only activities to be performed are monitored
natural attenuation and/or implementation of institutional controls; and
• Headquarters has received appropriate documentation of construction completion.
Sites that receive credit under this measure will have no further response actions, other than the ongoing "long-
term response action" (LTRA) component of the cleanup actions being performed. Regions receive credit for
construction completion only once per site.
Accomplishments under this measure will count toward the goal of 900 site construction completions by the end of the
year 2000.
Definition of Accomplishment:
The following tables have been provided to more clearly depict coding and accomplishment requirements.
September 16, 1997 B-18
-------
I
OSWER Directive 9200.3-14-ID
• N " ' •* NPL Site Construction Completion *; -\ ,,„„,
Through Early Actions (Remedial Authority) or Long-Term Actions" *'~,
Definition of Accomplishment
Construction activities at all
OUs are complete; and
A pre-fmal inspection for the
final OU has been
conducted; and
A Preliminary Site Close-Out
Report has been prepared*;
or
A Final Site Close-Out
Report has been prepared;
and
AND
HQ has received appropriate
documentation that confirms
all pre-requisite activities.
Actual Completion Date
Region:
Date the designated Regional
official signs the Preliminary or
Final Superfund Site Close-Out
Report
AND
HQ:
Date HQ confirms construction
completion.
Coding Requirements
Region:
The completion date of the report
must be entered into CERCLIS as the
actual completion date (Actual
Complete) of the Preliminary
Superfund Site Close-Out Report
[Action Name = Remedial Action or
PRP RA and SubAction Name =
Prelim Close-Out Rep Prepared], or
. the actual completion date (Actual
Complete) of the Final Superfund
Site Close-Out Report [Action Name
= Remedial Action or PRP RA and
SubAction Name = Close Out
Report]
AND
HQ:
The Construction Completion
indicator and the date HQ confirms
that construction is complete must be
entered into CERCLIS.
A Preliminary Superfund Site Close-Out Report is not required if the Region immediately prepares a Final
Superfund Site Close-Out Report (Action Name = Remedial Action or PRP RA and SubAction Name = Close
Out Report). Refer to "Close-Out Procedures for NPL Sites" for additional information.
B-19
September 16, 1997
-------
OSWER Directive 9200.3-14-1D
No Action/Groundwater Monitoring RODs that Document Construction Completion
(There should be no further early or long-term actions ; -^
conducted at the site after these RODs are signed.) '* '
Definition of Accomplishment
ROD is signed for the final
Operable Unit (OU) with no
previous RAs stating that no
physical construction is required
f J *
or the only activity performed is
groundwater monitoring.
AND
HQ has received appropriate
documentation of construction
completion.
Actual Completion Date
Region:
Date Regional Administrator/
Deputy Regional
Administrator signs the ROD.
AND
HQ:
Date HQ confirms
construction completion.
Coding Requirements
Region:
Regions enter the following into
CERCLIS: The date of the ROD
signature as the actual completion date
(Actual Complete) of the ROD (Action
Name = Record of Decision); the
Alternative Name; the Media Name;
the Media Type (Groundwater,
Leachate, Liquid Waste, Other,
Sediment, Sludge, Soil, Solid Waste, '
Surface Water); a Selected Response
Action(s) of No Action or Monitoring
and the actual completion date (Actual
Complete) of the Final Superfund Site
Close-Out Report (Action Name =
Record of Decision and SubAction
Name = Close Out Report).
AND
HQ:
The construction completion indicator
and date HQ confirms that construction
is complete must be entered into
CERCLIS.
NOTE: The Region does not need to prepare a Preliminary Close-Out Report (PCOR) and should instead place
the certification of completion in the ROD. A ROD that includes a construction completion certification is
equivalent to a Final Superfund Site Close-Out Report. The ROD actual completion date should be the same as
the Final Superfund Site Close-Out Report actual completion date.
September 16,1997
B-20
-------
1
OSWER Directive 9200.3-14-1D
' •] ^° Furtfaer-Action/Groundwater Monitoring
RObs that Document Construction Completion (Cont'd)
x •¥,,»' , ^ ^ <" _
(There~shoi|Id be no furtfier earlyvbr long-term actions
conducted at tne;site after^these ROPs are signed.).
Definition of Accomplishment
ROD is signed for the final OU
stating_that all physical
construction is complete or the
only activity performed is
groundwater monitoring. The
ROD must include a construction
completion certification or a
Separate Final Superfund Site
Close-Out Report must be
prepared and signed by the
Regional Administrator.
AND
HQ has received appropriate
documentation of construction
completion.
Actual Completion Date
Region:
Date Regional Administrator/
Deputy Regional
Administrator signs the ROD
or the date the Regional
Administrator signs the Final
Superfund Site Close-Out
Report.
AND
HQ:
Date HQ confirms
construction completion.
Coding Requirements
Regions enter the following into I
CERCLIS:
RODs with a construction completion
certification - The date of ROD
signature as the actual completion date
(Actual Complete) of the ROD (Action
Name = Record of Decision); the
Alternative Name; the Media Name;
the Media Type (Groundwater,
Leachate, Liquid Waste, Other,
Sediment, Sludge, Soil, Solid Waste,
Surface Water); a Selected Response
Action of No Further Action, No
Action or Monitoring; and the actual
completion date (Actual Complete) of
the Final Superfund Site Close-Out
Report (Action Name = Record of
Decision and SubAction Name = Close
Out Report).
AND
HQ:
The construction completion indicator
and date HQ confirms that construction
is complete must be entered into
CERCLIS.
[Continued on Next Page]
NOTE:
A ROD that includes a construction completion certification is equivalent to a Final Superfund Site
Close-Out Report. The ROD actual completion date should be the same as the Final Superfund Site
Close-Out Report actual completion date.
B-21
September 16, 1997
-------
OSWER Directive 9200.3-14-1D
No Further Action/Groundwater Monitoring
RODs that Document Construction Completion (Cont'd)
(There should be no further early or long-term actions,
conducted at the site after these ROPs are signed.)
Definition of Accomplishment
[Continued From Previous
Page]
ROD is signed for the final OU
stating that all physical
construction is complete or the
only activity performed is
groundwater monitoring. The
ROD must include a construction
completion certification or a
Separate Final Supefund Site
Close-Out Report must be
prepared and signed by the
Regional Administrator.
AND
HQ has received appropriate
documentation of construction
completion.
Actual Completion Date
[Continued From Previous
Page]
Region:
Date Regional Administrator/
Deputy Regional Administrator
signs the ROD or the date the
Regional Administrator signs the
Final Superfund Site Close-Out
Report.
AND
HQ:
Date HQ confirms construction
completion.
Coding Requirements
[Continued From Previous Page]
Regions enter the following into
CERCLIS:
RODs with separate Final
Superfund Site Close Out Report 7
the actual completion date (Actual
Complete) of the ROD (Action
Name = Record of Decision); the
Alternative Name; the Media
Name; the Media Type
(Groundwater, Leachate, Liquid
Waste, Other, Sediment, Sludge,
Soil, Solid Waste, Surface Water);
a Selected Response Action of No
Further Action, No Action, or
Monitoring; and the actual
completion date (Actual Complete)
of the Final Superfund Site Close-
Out Report (Action Name =
Record of Decision and SubAction
Name = Close Out Report).
AND
HQ:
The construction completion
indicator and date HQ confirms
that construction is complete must
be entered into CERCLIS.
NOTE: The ROD actual complete date may not be the same as the Final Superfund Site Close-Out Report
actual complete date.
September 16, 1997
B-22
-------
OSWER Directive 9200.3-14-1D
Limited Action RODs that DocumentConstruction Completion (Cont'd) s
* ~ I '-, -'\ ~\_ " \ / VH-
(There should beno further early or long-term actions'',
conducted at the site.after these RODs are signed.)
Definition of Accomplishment
A Limited Action ROD is signed
for the final OU stating that the
only activities performed were
monitored natural attenuation of
the groundwater or
implementation of institutional
controls. The ROD must include a
construction completion
certification or a Separate Final
Superfund Site Close-Out Report
must be prepared and signed by
the Regional Administrator.
AND
HQ has received appropriate
documentation of construction
completion.
Actual Completion Date
Region:
Date Regional Administrator/
Deputy Regional
Administrator signs the ROD
or the date the Regional
Administrator signs the Final
Superfund Site Close-Out
Report.
AND
HQ:
Date HQ confirms
construction completion.
Coding Requirements
Regions enter the following into
CERCLIS:
RODs with a construction
completion certification - The date of
the ROD signature as the actual
completion date (Actual Complete) of
the ROD (Action Name = Record of
Decision); the Alternative Name; the
Media Name; the Media Type (Air,
Groundwater, Leachate, Liquid
Waste, Other, Residuals, Sediment,
Sludge, Soil, Solid Waste, Surface
Waste); the Selected Response
Action(s) [Access Restriction, Access
Restriction - Guards, Access
Restriction - Fencing, Deed
Restriction, Drilling Restriction,
Fishing Restriction, Institutional
Controls Not Otherwise Specified
(N.O.S.), Land Use Restriction,
Recreational Restriction,
Revegetation, Swimming Restriction,
Water Supply Use Restriction, Natural
Attenuation]; and the actual
completion date (Actual Complete) of
the Final Superfund Site Close-Out
Report (Action Name = Record of
Decision and Sub Action Name =
Close Out Report).
AND
HQ:
HQ adds construction completion
indicator and the construction
completion date.
[Continued on Next Page]
NOTE:
A ROD that includes a construction completion certification is equivalent to a Final Superfund Site I
Close-Out Report. The ROD actual completion date should be the same as the Final Superfund Site
Close-Out Report actual completion date. •
B-23
September 16, 1997
-------
OSWER Directive 9200.3-14-1D
Limited Action RODs that Document Construction Completion (Cont'd)
(There should be no further early or long-term actions
conducted at the site after these RODs are signed.).
Definition of Accomplishment
[Continued From Previous
Page]
A Limited Action ROD is signed
for the final OU stating that the
only activities performed were
monitored natural attenuation of
the groundwater or
implementation of institutional
controls. The ROD must include a
construction completion
certification or a separate Final
Superfund Site Close-Out Report
must be prepared and signed by
the Regional Administrator.
AND
HQ has received appropriate
documentation of construction
completion.
Actual Completion Date
[Continued From Previous
Page]
Region:
Date Regional Administrator/
Deputy Regional Administrator
signs the ROD Or the date the
Regional Administrator signs the
Final Superfund Site Close-Out
Report.
AND
HQ:
Date HQ confirms construction
completion.
Coding Requirements
[Continued From Previous Page]
Regions must enter the following
into CERCLIS:
RODs with separate Final
Superfund Site Close-Out Report
- the actual completion date
(Actual Complete) of the ROD
(Action Name = Record of
Decision); the Alternative Name;
the Media Name; the Media Type
(Air, Groundwater, Leachate,
Liquid Waste, Other, Residuals,
Sediment, Sludge, Soil, Solid
Waste, Surface Waste); the
Selected Response Action(s)
[Access Restriction, Access
Restriction - Guards, Access
Restriction - Fencing, Deed
Restriction, Drilling Restriction,
Fishing Restriction, Institutional
Controls Not Otherwise Specified
(N.O.S.), Land Use Restriction,
Monitoring, Recreational
Restriction, Revegetation,
Swimming Restriction, Water
Supply Use Restriction, Natural
Attenuation or Monitoring ]; and
the actual completion date (Actual
Complete) of the Final Superfund
Site Close-Out Report (Action
Name = Record of Decision and
SubAction Name = Close Out
Report).
AND
HQ:
HQ adds construction completion
indicator and the construction
completion date.
NOTE: The ROD actual complete date may not be the same as the Final Superfund Site Close-Out Report
actual complete date.
September 16, 1997
B-24
-------
OSWER Directive 9200.3-14-ID
Early Action (Removal Authority) - -;./'< f~" *
' s. (Tnere should^jbe no further early or long-term actions conducted at the site)
Definition of
Accomplishment
Actual Completion Date
Coding Requirements
Fund-Financed:
Contractor demobilized
(recorded in POLREP)
PRP-Financed:
Region certifies PRPs or their
contractor have completed the
early actions specified in the
Action Memorandum and
fully met the terms of AO, CD
or judgement
Both Fund- and PRP-
Financed:
A Final Superfund Site Close-
Out Report has been prepared
and signed by the Regional
Administrator/Deputy
Regional Administrator
OR
A ROD that includes a
construction completion
certification is signed for the
final OU that states that all
necessary remediation is
complete.
AND
HQ has received appropriate
documentation that confirms
all pre-requisite activities.
Region:
Date Regional
Administrator/Deputy
Regional Administrator
signs the ROD or Final
Superfund Site Close-Out
Report
AND
HQ:
Date HQ confirms
construction completion.
Region enters the following into CERCLIS:
Final Superfund Site Close-Out Report-
The removal (Action Name = Removal
Action or PRP Removal) actual completion
date (Actual Complete) as reported in the
POLREP; and the early action Qualifier that
indicates that the site is Cleaned Up; and the
actual completion date (Actual Complete) of
the Final Superfund Site Close-Out Report
(Action Name = Removal Action or PRP
Removal and SubAction Name = Close Out
Report);
OR
ROD with Construction Completion
Certification - The date of the ROD
signature as the actual completion date
(Actual Complete) of the ROD (Action
Name = Record of Decision); the Alternative
Name; the Media Name; the Media Type; a
Selected Response Action of No Action or
No Further Action; and the actual
completion date (Actual Complete) of the
Final Superfund Site Close-Out Report
(Action Name = Record of Decision and
SubAction Name = Close Out Report).
AND
HQ:
HQ adds construction completion indicator
and the construction completion date
NOTE: There should be no further early or long-term actions conducted at the site after this ROD or Close-but
Report is signed. Regions may receive credit under this measure if LTRA is ongoing at another OU.
The actual completion date for a ROD with a construction completion certification should be the same
as the Final Superfund Site Close-Out Report actual completion date.
B-25
September 16, 1997
-------
OSWER Directive 9200.3-14-1D .
Changes in Definition FY 97-FY 98:
Added limited action RODs. Identified Regional reporting requirements and HQ reporting requirements. Regions do
not receive credit for a NPL Site Construction Completion until HQ enters the construction completion indicator with
a date.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Regions will not receive credit for a NPL Site Construction Completion until
the Region enters the applicable dates into CERCLIS and submits the necessary documentation to HQ, and HQ
enters the construction completion indicator with a date into CERCLIS. The appropriate Critical Indicator must
also be entered into CERCLIS for early actions (removal or remedial) — (1) Emergency, (2) Time-Critical, (3) Non-
Time Critical, or (4) Early Action. This is a SCAP planning and reporting measure. Accomplishments under this
measure will count toward the goal of 900 NPL Construction Completions by the end of the year 2000. Regions
identify sites to meet the goal prior to the start of the FY. There is only one NPL construction completion at a site.
Regions may receive credit under both the NPL Site Completion measure and ACT-7 NPL Site Construction
Completion, as a result of the same long-term action, early action (Remedial Authority), or ROD.
OPERATIONAL AND FUNCTIONAL (O&F)
Definition:
O&F activities are conducted after physical construction of the remedy is complete to ensure that it is functioning
properly and operating as designed. The NCP provides for a maximum timeframe of one year for performing O&F
activities, though EPA may extend the one-year period, as appropriate.
Definition of Accomplishment:
O&F starts (Actual Start) when construction of the remedy is complete as documented by EPA's acceptance of the RA
Report. If the remedy requires LTRA, the completion of construction and the start of O&F is documented in a draft
RA Report. For these OUs, O&F starts when EPA accepts the draft RA Report.
O&F is complete either one year after the construction of the remedy is complete (i.e., one year after the RA report is
accepted by EPA), or when the remedy is determined concurrently by EPA and the State to be functioning properly and
performing as designed, whichever is earlier. The date is documented in the site files.
Changes in Definition FY 97 - FY 98:
The Definition of Accomplishment for the O&F completion was revised to reflect the NCP language for a maximum
timeframe of one year after construction is complete or when the remedy is functioning properly and operating as
designed. Provided a definition for the start of O&F. Revised the documentation required for O&F completion.
Special Planning/Reporting Requirements:
The start (Actual Start) and completion (Actual Complete) of O&F (Action Name = Operational and Functional) are
reported site specifically in CERCLIS.
LONG TERM RESPONSE ACTION (LTRA)
Definition:
LTRAs are response actions undertaken for the purpose of restoring ground or surface water quality. These actions
require a continuous period of on-site activity before cleanup levels, specified in the ROD or Action Memorandum, are
achieved. The operation of treatment or other measures to restore contaminated ground- or surface- water quality to
a level that assures protection of human health and the environment for a period up to^lO years after completion of the
operational and functional period (see definition of O&F) will be considered part of RA. Monitored natural attenuation
is considered a LTRA.
September 16, 1997 B-26
-------
OSWER Directive 9200.3-14-1D
Activities required to maintain the effectiveness of such treatment or measures following the 10-year period shall be
considered O&M. Ground- or surface- water measures initiated for the primary purpose of providing drinking water,
not for the purpose of restoring ground- or surface- water shall not be considered treatment.
Definition of Accomplishment:
LTRA (Action Name = Long Term Response or PRP LR) begins (Actual Start Date) when the O&F period is complete
(See definition of O&F). LTRA is complete (Actual Complete Date) 10 years after it begins or when performance goals
are reached as documented by EPA acceptance of the RA Report.
If the only action being conducted at the site or operable unit is Natural Attenuation, LTRA begins (Actual Start Date)
when the ROD is signed. LTRA is complete (Actual Complete Date) when the Notice of Intent to Delete (NOID) is
published in the Federal Register.
If LTRA is the only remedy implemented at the site or operable unit (i.e., a RA was not performed), LTRA starts (Start
Date) when the ROD is signed. LTRA is complete (Actual Complete Date) 10 years after the ROD is signed or when
performance goals are reached as documented by EPA acceptance of the RA Report.
Changes in Definition FY 97 - FY 98:
Revised the definition for the start and completion of LTRA to match the NCP definition and to be consistent with the
RA and O&F definitions. Added Natural Attenuation as a LTRA. Added a definition for situations where only LTRA
is being performed at the site or operable unit.
Special Planning/Reporting Requirements:
LTRA is planned on a site-specific basis (Action Name = Long-term Response or PRP LR) in CERCLIS and is used
for resource allocation purposes only. Funds for LTRA are issued site-specifically in the RA AOA. Funds for oversight
of the PRP LTRA are contained in the site characterization AOA. LTRA may not be required at all sites. Where LTRA
is not being conducted, Regions should not enter the action into CERCLIS. See Long-Term Action Flow Chart at the
end of the Appendix (Exhibit B.2).
NPL SITE COMPLETIONS
Definition:
An NPL site is completed when:
• Performance goals are reached as a result of one or several response actions (early actions under remedial or
removal authority, RAs, or LTRA). Performance goals may be met at the completion of the removal or RA, at the
completion of LTRA, or at the completion of O&M, where O&M is necessary for completion of ground- or
surface-water remediation post-LTRA; or
• A ROD is signed stating that No Action or No Further Action is required for the final OU. This includes RODs
where ground water monitoring is the only response activity selected; or
• A ROD is signed for the final OU at a site stating that all physical construction is complete. This includes
Groundwater monitoring if is it the only activity required; or
• A ROD is signed for the final OU stating that only limited remedial actions are required such as Institutional
Controls and/or Monitored Natural Attenuation.
• A determination is made that the site is available for industrial, residential or recreation use.
B-27 September 16, 1997
-------
OSWER Directive 9200.3-14-1D
Definition of Accomplishment:
The following tables have been provided to more clearly depict coding and accomplishment requirements:
,<"-'' -" . \' '
NPL Site Completions Through Final Remedial Action, Long-Term Response Action^ Early Action /
(Remedial Authority)' , ,'
,'H ~" * lO*
Definition of Accomplishment
• Construction activities at all
OUs are complete; and
• Performance goals at all OUs
have been met, including the
ground- or surface-water
restoration goals associated
with LTRA and, if necessary,
O&M; and
• A Final Superfund Site Close-
Out Report has been signed
by the Regional
Administrator.
Actual Completion Date
Date the Regional Administrator
signs the Final Superfund Site
Close-Out Report.
CERCLIS Data Entry
Requirements
The completion date (Actual
Complete) of the Final Superfund
Site Close-Out Report [Action
Name = Remedial Action or PRP
RA or Long Term Response or
PRP LR and SubAction Name =
Close Out Report]
NOTE: The Final Superfund Site Close-Out Report documents that the cleanup goals have been achieved
and no further response actions are necessary, including LTRA and O&M activities to restore
ground- or surface-water quality.
September 16, 1997
B-28
-------
OSWER Directive 9200.3-14-1D
', " RODs^That Document Site Completion *%
^Therexshbuld,be no future JRemedtal Action, fcong^erm Action, or Early Action (Rentedial or-Removal
Authority) or ©roundwaterMonitoring, conducted atjhe site after this ROD is signed. If LTRA, or
O&M activities associated with LTRA,.are ongoing at another OU, the signature ofcth^ROD will not tie
credited as a site completion accomplishment. • , " - ,'. "%. „ "•$. - '* N -._ ^M
Definition of Accomplishment
ROD is signed for the final
Operable Unit (OU) with no
previous RAs stating that no
physical construction is required.
Actual Completion Date
Date Regional Administrator/
Deputy Regional Administrator
signs the ROD.
CERCLIS Data Entry
Requirements
The date of the ROD
signature as the actual
completion date (Actual
Complete) of the ROD
(Action Name = Record of
Decision);
The Alternative Name;
The Media Name and Media
Type;
Selected Response Action(s)
of "No Action"; and
The actual completion date
(Actual Complete) of the
Final Superfund Site Close-
Out Report (Action Name =
Record of Decision and
SubAction Name = Close Out
Report).
NOTE: The actual complete date of the ROD should be the same as the actual complete date of the Final
Superfund Site Close-Out Report.
B-29
September 16, 1997
-------
OSWER Directive 9200.3-14-1D
RODs That Document Site Completion (Cont'd) ' /-'. -' -', '•»
There should be no future Remedial Action, Long-Term Action, or Early Actiott (Remedial or Removal „
Authority) or Groundwater Monitoring, conducted at the site after, this ROD is signed. £f LTRA, , or O&M*
activities associated with LTRA, are ongoing at another OU, the signature of>the ROD wUBnot be credited
as a site completion accomplishment. • „ < v f . ,-,X*" $' , /f/, ^^" .,
Definition of Accomplishment
ROD is signed for the final OU
stating that all physical
construction is complete. The
ROD must include a construction
completion certification or a
separate Final Superfund Close-
Out Report must be prepared and
signed by the Regional
Administrator.
Actual Completion Date
Date Regional Administrator/Deputy
Regional Administrator signs the
ROD that includes a construction
completion certification
OR
Date the Regional Administrator
signs the Final Superfund Site Close-
Out Report.
CERCLIS Data Entry
Requirements
RODs with a construction
completion certification -
• The date of the ROD signature
as the actual completion date
(Actual Complete) of the ROD
(Action Name = Record of
Decision);
• The Alternative Name;
• The Media Name and Media
Type ;
• Selected Response Action(s) =
"No Action" or "No Further
Action" and
• The actual completion date
(Actual Complete) of the Final
Superfund Site Close-Out
Report (Action Name = Record
of Decision and SubAction
Name = Close Out Report).
OR
[Continued on Next Page]
NOTE: A ROD that includes a construction completion certification is equivalent to a Final Superfund Site
Close-Out Report. The ROD actual completion date should be the same as the Final Superfund Site
Close-Out Report actual completion date.
September 16, 1997
B-30
-------
OSWER Directive 9200.3-14-1D
:-:„ ^ 1 " "ROBs I That Document Site Completion (Cont'd) ;^ - •
""%,., s ^v< f--. V<" -, "ff s^''""1 IrV , "<*/• x '^ '
There^hoittd WnoJufure Rem^djal Aetio^; Long-Of pn Act|on,,or Early Action (Remedial or Removal
Ajithor%) otygro«ndwater^M«jnit<>a^g, eondi%ted,at: the-site after this >OIXis signed. If LIRA, or O&M
actiBtiestassociaiPe|l with LTO&gare ongoing at anothetOU, the signature ofi1fe;ROD will not be creditejl
as^asitd.comrfetionT&cconiplishnient:'' v- , r- , ^ I,- , ^ ' . ®*p*g. ^ , "% ''-., ^
Definition of Accomplishment
[Continued From Previous
Page]
ROD is signed for the final OU
stating that all physical
construction is complete. The
ROD must include a construction
completion certification or a
separate Final Superfund Close-
Out Report must be prepared and
signed by the Regional
Administrator.
Actual Completion Date
[Continued From Previous Page]
Date Regional Administrator/Deputy
Regional Administrator signs the
ROD that includes a construction
completion certification.
OR
Date the Regional Administrator
signs the Final Superfund Site Close-
Out Report.
CERCLIS Data Entry
Requirements
[Continued From Previous
Page]
OR
RODs with separate Final
Superfund Site Close-Out Report
• The actual completion date
(Actual Complete) of the ROD
(Action Name = Record of
Decision);
« The Alternative Name;
• The Media Name and Media
Type;
• Selected Response Action (s) =
"No Further Action" or "No
Action"; and
• The actual completion date
(Actual Complete) of the Final
Superfund Site Close-Out
Report (Action Name = Record
of Decision and SubAction
Name = Close-Out Report).
NOTE: The ROD actual completion date may not be the same as the Final Superfund Site Close-Out Report
actual complete date; however, accomplishment credit will not be given until the Final Site Close-Out
Report is signed (Actual Complete).
B-31
September 16, 1997
-------
I
OSWER Directive 9200.3-14-1D
4: .*- \:^,
-------
OSWER Directive 9200.3-14-1D
/ ^ ^
; NPL Site Compkt
x V^ "^ "^ f
#-^ *.
-fj. ^ ^
Definition of Accomplishment
• Performance goals at all
OUs have been met,
including the ground- or
surface-water restoration
• goals associated with LTRA
and, if necessary, O&M;
and
• Institutional controls
specified in the final ROD
are in place; and
• A Final Superfund Site
Close-Out Report containing
documentation of the
institutional controls has
been signed by the Regional
Administrator.
v * , " " % ». .. •• * -•.'•£.->•''
ions Through'Limited Action RODs - Institutional Controls - ." s: - *
. > ' >• V • , ' N \
*, * ~ a' i'* 'y •
Actual Completion Date
Date the Regional Administrator
signs the Final Superfund Site Close-
Out Report.
CERCLIS Data Entry
Requirements
The completion date (Actual
Complete) of the Final Superfund
Site Close-Out Report [Action
Name = Record of Decision and
SubAction Name = Close-Out
Report.]
NOTE: A ROD actual completion date will not be the same as the Final Superfund Site Close-Out Report
actual completion date. Accomplishment credit will not be given until the Final Superfund Site Close-
Out Report is signed (Actual Complete).
B-33
September 16, 1997
-------
OSWER Directive 9200.3-14-1D
"-.-./. V ~e i
NPL Site Completions Through Limited Action RODs- Natural Attenuatton .
Definition of Accomplishment
• Performance goals at all
OUs have been met,
including the ground- or
surface-water restoration
goals associated with LTRA
and, if necessary, O&M; and
* Groundwater cleanup goals
are met through monitored
natural attenuation; and
• A Final Superfund Site
Close-Out Report has been
signed by the Regional
Administrator.
Actual Completion Date
Date the Regional Administrator
signs the Final Superfund Site Close-
Out Report.
CERCLIS Data Entry
Requirements
The completion date (Actual
Complete) of the Final Superfund
Site Close-Out Report [Action
Name = Record of Decision and
SubAction Name = Close-Out
Report.]
NOTE: The ROD actual complete date will not be the same as the Final Superfund Site Close-Out Report
actual complete date; however, accomplishment credit will not be given until the Final Superfund Site
Close-Out Report is signed (Actual Complete),
September 16, 1997
B-34
-------
OSWER Directive 9200.3-14-1D
Definition of Accomplishment
Construction activities at all
OUs are complete; and
A Preliminary Superfund
Site Close-Out Report has
been prepared and signed by
the designated Regional
official; and
The Region has determined
that the site is available for
reuse.
Actual Completion Date
Memo to the file or other
document that provides the
determination that the site may be
used for industrial, residential or
recreational purposes.
CERCLIS Data Entry
Requirements
The actual completion date
(Actual Complete) of the
determination that the site is
available for reuse (Action Name
= Land Reuse Determination.*)
[* This action must be added to
CERCLIS 3.]
Changes in Definition FY 97 - FY 98:
The definition was expanded to include sites where all actions may not be complete, but the site is available for reuse.
The CERCLIS 3 data entry requirements were explained and the response actions that must be selected to receive credit
for the RODs that document site completion were identified. Definitions and requirements for limited action RODs
were included in this measure.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. See Long-Term Action Flow Chart at the end of this Appendix (Exhibit B.2).
Regions may receive credit under both the NPL Site Completion and ACT-7, NPL Site Construction Completion
measures, as a result of the same remedial action, early action (removal or remedial authority), or ROD. There is only
one site completion at a site.
OPERATION AND MAINTENANCE (O&M)
Definition:
O&M are the activities required to maintain the effectiveness or the integrity of the remedy, and, in the case of
measures to restore ground- or surface- waters, continued operation of such measures beyond a period of ten years or
when the remediation levels are achieved, whichever is earlier. Except for ground- or surface- water restoration actions
covered under Section 300.435(f)(4) of the NCP, 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 O&F (see definition of O&F).
Depending on the remedy that was implemented at the site/OU, O&M may not be required, may only be required for
a defined timeframe, or may be required to be performed indefinitely. Examples of sites/OUs where O&M may have
an indefinite period of performance include sites where waste is contained on-site and the integrity of the cap must be
maintained; or sites where groundwater monitoring is either the only activity, a component of the selected remedy, or
is required after completion of LTRA; or sites where institutional controls must be maintained. In some instances,
O&M may be complete when the ground- or surface- water restoration goals are met. The State or PRP is totally
responsible for O&M.
B-35
September 16, 1997
-------
OSWER Directive 9200.3-14-1D
Definition of Accomplishment:
O&M [Action Name = Operations and Maintenance] starts when the State or PRPs assume responsibility for all
activities necessary to operate and/or maintain the long term effectiveness or integrity of the actions selected in the
ROD.
For OUs that do not require LTRA, this is defined as the date (Actual Start) the designated Regional official accepts
the RA Report. For OUs where LTRA is required, O&M (Action Name = Operation and Maintenance) begins when
LTRA is complete [see Definition of Long Term Response Action (LTRA)]. For OUs where institutional controls must
be maintained, O&M starts when all controls required by the ROD are in place. Copies of the institutional controls must
be placed in the Administrative Record.
Where required, the completion of O&M is defined as the date (Actual Complete) specified in the Cooperative
Agreement that provides funds for the RA, Superfund State Contract (SSC), or CD signed by EPA, the PRPs and
Federal judge. If O&M must be conducted indefinitely, Regions should not enter an actual completion date.
Changes in Definition FY 97 - FY 98:
Revised the definition to clarify the start date of O&M when LTRA is being conducted at an OU vs OUs where LTRA
is not required. Added a definition for O&M of institutional controls. Also added information on sites where O&M
may not have a completion date.
Special Planning/Reporting Requirements:
O&M is planned site-specifically (Action Name = Operation and Maintenance) in CERCLIS and is used for resource
allocation purposes only. Funds for oversight of O&M are contained in the site characterization AOA. If O&M is not
required, Regions should not enter the action into CERCLIS. Where O&M must be conducted indefinitely, Regions
should not enter a planned or actual completion date for the O&M action. See Long-Term Action Flow Chart at the
end of this Appendix (Exhibit B.2).
FIVE-YEAR REVIEWS
Definition:
Five-year reviews are intended to evaluate whether the response action implemented at a NPL site remains protective
of public health and the environment, is functioning as designed, and necessary operation and maintenance is being
performed. Every five years, EPA will review any site at which a remedy, upon attainment of the ROD or Action
Memorandum cleanup levels, will not allow unlimited use and unrestricted exposure. Five-year reviews generally
involve a site visit or documentation of conditions noted through ongoing presence at the site.
EPA is responsible for conducting five-year reviews at all sites where required. Consistent with relevant settlement
agreements, a lead agency may authorize PRPs to visit sites for five-year review purposes and to conduct studies and
investigations for EPA. Five-year reviews are conducted on a site-wide basis.
Definition of Accomplishment:
Five-Year Review Starts - Credit is given
for a five-year review start when:
> Fund-financed (F-, S- or EP-lead actions) - EPA or the State begins any of the tasks discussed in the five-year review
guidance, "Structure and Components of Five-Year Reviews," OSWER Directive 9355.7-02 (May 23, 1991) or its
first supplement, OSWER Directive 9355.7-02A (July 24, 1994). This action may be documented by a memo to the
file or EPA approval of a workplan for the five-year review.
• PRP-financed (MR-, RP- or PS-lead actions) - EPA approves the five-year review workplan submitted by the PRPs
under the terms of a settlement agreement.
September 16, 1997 . B-36
-------
I
OSWER Directive 9200.3-14-ID
The five-year review should start within five years of the start of the first RA or early action (remedial authority), as
defined in ACT-5, Start of Response Actions/Activities, that results in any hazardous substances, pollutants, or
contaminants remaining at the site.
The actual start date (Actual Start) for the five-year review (Action Name = Five-Year Remedy Assessment) must be
entered into CERCLIS.
Five-Year Review Completions
The five-year review is complete on the date the EPA Division Director signs a determination stating whether the
remedy is, or is not, protective of human health and the environment. The actual completion date (Actual Complete)
for the five-year review (Action Name = Five-Year Remedy Assessment) must be entered into CERCLIS.
The five-year review must be complete within five years of the start of on-site construction.
Changes in Definition FY 97-FY 98:
None
Special Planning/Reporting Requirements:
Five-Year Review Starts only is a SCAP reporting measure. Five-year review starts and completes must be planned
and reported site-specifically (Action Name = Five-Year Remedy Assessment) in CERCLIS. Funds are allocated in
theRAAOA. See Long-Term Action Flow Chart at the end of this Appendix (Exhibit B.2).
PARTIAL NPL DELETION
Definition:
EPA will consider partial deletion for portions of sites when no further response is appropriate for that portion of the
site. Such portion may be a defined geographic unit of the site, perhaps as small as a residential unit, or may be a
specific medium at the site, e.g., groundwater, depending on the nature or extent of the release(s). The criteria for
partial deletion are the same as for final deletion. Given State concurrence, EPA considers:
• Whether responsible or other parties have implemented all appropriate and required response actions;
• Whether all appropriate Fund-financed responses under CERCLA have been implemented and EPA has determined
that no further cleanup by responsible parties is appropriate; or
• Whether the release of hazardous substances poses no significant threat to the public health, welfare, or the
environment, thereby eliminating the need for remedial action.
Partial deletion should only be used when the deletion does not address the remaining release listed on the NPL. If a
deletion does cover the remaining release listed on the NPL, the action should be treated as a Final NPL Deletion,
discussed below.
Definition of Accomplishment:
The partial NPL deletion process (Action Name = Partial Deletion from NPL) starts (Actual Start) when a Notice of
Intent to Partially Delete is published in the Federal Register for the specified portion of a site on the NPL.
The partial NPL deletion process (Action Name = Partial Deletion from NPL) is complete (Actual Complete) when the
Notice of Partial Deletion is published in the Federal Register for the specified portion of a site on the NPL.
HQ will enter the Partial Deletion from the NPL Action and the actual start and completion dates into CERCLJS.
B-37
February 3, 1998
-------
OSWER Directive 9200.3-14-1D
Changes in Definition FY97-FY 98:
HQ is responsible for entering partial deletion starts and completions into, CERCLIS.-
Special Planning/Reporting Requirements:
Partial NPL deletions are tracked separately from final NPL deletions. Partial site NPL deletions will be entered by
HQ if a portion, or portions of the release remain listed onjhe NPL following coinpletion of the partial deletion. When
the Notice of Partial pefeTi&^ frdrn l^fPL." A site
deletion (Action Name = Final Deletion from NPL) ipbe entered by HQ if the deletion activity addresses the
remaining release listed on the NPL (either as a one-time deletion activity for the entire site as originally listed, or as
the last deletion activity associated with a site subject to previous partial deletions).
FINAL NPL DELETION
Definition:
With State concurrence, EPA may delete sites from the NPL when it determines that no further response is appropriate
under CERCLA. In making that determination, EPA considers:
• Whether responsible or other parties have implemented all appropriate and required response actions;
• Whether all appropriate Fund-financed responses under CERCLA have been implemented and EPA has determined
that no further cleanup by responsible parties is appropriate; or
• Whether the release of hazardous substances poses no significant threat to the public health, welfare, or the
environment, thereby eliminating the need for remedial action.
EPA will consider deleting the entire site or portions of sites from the NPL, as appropriate. EPA will consider partial
deletion for portions of sites when no further response is appropriate for that portion of the site. Such portions may be
a defined geological unit of the site, or may be a specific medium at the site. If a decision does cover the remaining
release listed on the NPL, the action should be treated as a Final NPL Deletion. State concurrence will be required for
any deletion.
Definition of Accomplishment:
The deletion process for the entire site [Action Name = Final Deletion from the NPL] starts (Actual Start) when a Notice
of Intent to Delete is published in the Federal Register.
The deletion process for the entire site [Action Name = Final Deletion from the NPL] is complete (Actual Complete)
when the Notice of Deletion is published in the Federal Register.
HQ will enter the Final Deletion from the NPL Action and the actual start and completion dates into CERCLIS.
Changes in Definition FY 97-FY 98:
HQ is responsible for entering final deletion starts and completions into CERCLIS.
Special Planning/Reporting Requirements:
An entire site deletion action (Action Name = Final Deletion from NPL) will be entered by HQ if the deletion activity
addresses the remaining release listed on the NPL (either as a one-time deletion event for the entire site as originally
listed, or as the last deletion activity associated with a site subject to previous partial deletions). When the Notice of
Deletion is published, the NPL Status in CERCLIS should be changed to "Deleted from Final NPL."
February 3, 1998 B-38 February 3, 1998
-------
OSWER Directive 9200.3-14-1D
NON~NPL SITE COMPLETION
Definition:
^non-NPL site is complete as a fesiilt o£a completed removal action that has mitigated all threats and cleaned up
the site and no further site assessment work or remedial actions are required or planned.
Definition of Accomplishment:
A Fund-financed removaTis considered complete when the actions specified in the Action Memorandum are met, OR
wjhen (he contractor ha's demobilized, and left the site (as-documented nTthe POLREP) and recorded as the removal
(Action Ndmej= Removal, Action) actuatcqmpletion date (Actual Cdmplete) in CERCLIS.
A PRP-financed removal performed by the PRP under the terms of an enforcement instrument, is considered cqmplete
when the Region has certified that the PRPs have fully met the terms of an AOC, UAO, CD, or judgment and have
completed the actions specified in the Action Memorandum (as documented in the POLREP) and recorded as the
rernoval (Action,Name = PRP Removal) actual completion date (Actual Complete) in CERCLIS.
[EPA: Need definition for State enforcement "(PS- or SD-lead)]
A PRP-financed removal performed ^voluntarily by the PRPs without an enforcement instrument is considered
complete when the actions specified in the Action Memorandum are met OR when the contractor has demobilized
and left the site (as documented in the POLREP) and recorded as the removal (Action Name = PRP Removal) actual
completion date (Actual Complete) in CERCLIS, v
For either Fund- or PRP-financed removals, an action qualifier (Qualifier) oif'-'Cleaned Up"must be recorded to identify
all threats nave been addressed as definejd in the Action Memo and the Region has determined that it has addressed all
threats posed by the "site (will not-be returning for subsequent response activity). Also, all removal obligations and
related work have been completed.
Under a Non-NPL Site Completion, the latest site assessment action (PA, SI, ESI or ESFRI) must have a qualifier of
liNo further remedial action planned (N)"jDr "Referred to Removal (W)". The completion date of the site assessment
action shquld be the same as or after- the removal completion date.
A Non-NPL Site Completion requires a memo to the site file signed by both the removal and site assessment programs,
Changes in Definition FY 98 - FY 99/00:
New response activity
Special Planning/Reporting Requirements:
The removal must have a qualifier of "Cleaned Up" (C). Under a Non-NPL Site Completion, the latest site assessment
action (PA, SI, ESI or ESI/RI) must have a qualifier of '"No further remedial action planned (N)" or "Referred to
Removal (W)". The completion date'of the site assessment action should be the same as or after the removal completion
date.
EI-IA • POPULATIONS PROTECTED
Definition:
This measure tracks the environmental progress achieved at NPL, NPL-caliber and non-NPL sites through the
completion of removal actions taken to prevent human exposure to contaminated materials. The following will be
reported under this measure:
B-39
February 3, 1998
-------
OSWER Directive 9200.3-14-ID
• Total number of sites where a removal was conducted, and
• The number people and receptors protected during removals that provide for:
Implementation of site security measure;
Relocation of affected populations; or
Provision of an alternate water supply.
Definition of Accomplishment:
A removal action (Action Name = Removal or PRP Removal) is complete (Actual Completion) when the actions
specified in the Action Memo are met or when a ROD is signed which encompasses the actions specified in the Action
Memo (see ACT-6 Completion of Response Actions). The response actions taken, and number of people and receptors
protected, should be documented in the file, in a POLREP or in the OSC's after action report.
The following table identifies the medium-specific information that must be entered into CERCLIS for each category
of protection provided:
Site Security Measures
Implemented
Media Type (groundwater, soil,
sediment, surface water, air, liquid
waste, solid waste, leachate, debris,
residuals, or other)
Media Name
Site Security/Institutional Control
Response Actions Selected
[Access Restriction, Access
Restriction - Guards, Access
Restriction - Fencing, Deed
Restriction, Drilling Restriction,
Fishing Restriction, Institutional
Controls (N.O.S.), Land Use
Restrictions, Swimming
Restrictions and Water Supply
Use Restrictions]
The predominant receptor type
protected (Receptors =
Recreational, Residential,
Industrial, Agricultural
(Residential), Agricultural
(Industrial), Other, Not
Documented, Commercial,
Trespassing, Hospital, or School)
Population Protected (number)
Population Relocated ~ - *^
Media Type (groundwater, soil,
sediment, surface water, air, liquid
waste, solid waste, leachate, debris,
residuals, or other)
Media Name
Population Relocated Response
Actions Selected [Population
Relocation - Temporary,
Population - Relocation Returned,
Population Relocation -
Permanent, Population Relocation
(N.O.S.)]
The predominant receptor type
protected (Receptors =
Recreational, Residential,
Industrial, Agricultural
(Residential), Agricultural
(Industrial), Other, Not
Documented, Commercial,
Trespassing, Hospital, or School)
Population Protected (number)
Alternate Water Supply^Prcjvidedy
? ,
Media Type (groundwater, surface
water)
Media Name
Alternative Water Supply
Response Actions Selected
[Alternative Drinking Water
(N.O.S.), Alternative Drinking
Water - Temporary Replacement,
Alternative Drinking Water -
Supply Reinstated, Alternative
Drinking Water - Permanent
Replacement]
The predominant receptor type
protected (Receptors =
Recreational, Residential,
Industrial, Agricultural
(Residential), Agricultural
(Industrial), Other, Not
Documented, Commercial,
Trespassing, Hospital, or School)
Population Protected (number)
Changes in Definition FY 97 - FY 98:
None
August 21, 1997
B-40
February 3, 1998
-------
OSWER Directive 9200.3-14-1D
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The CERCLIS data may be entered using the SCAP Smart Screen for the Action
Memo. This is a SCAP reporting measure.
El-IB • PROGRESS THROUGH ENVIRONMENTAL INDICATORS (ACHIEVING
PERMANENT CLEANUP GOALS)
Definition:
This measure tracks environmental progress at NPL, NPL-caliber and non-NPL sites by categorizing the cleanup goals
attained for each medium addressed by an early (removal or remedial) or long term action. Cleanup goals are
established in the ROD or Action Memo.
Goal attainments categories are defined as follows:
• Fully achieved - All goals established in the ROD or Action Memo for a specific medium have been achieved through
one or more cleanup actions and no further cleanup activities are anticipated for that medium. Site that have achieved
this goal for a specific medium may be candidates for partial NPL deletion (see Partial NPL Deletion definition);
• Partially achieved - One or more cleanup actions that address a specific medium have been completed and one or
more of the cleanup goals established in the ROD or Action Memo for a specific medium have be achieved;
• Underway - At least one cleanup action to address a specific medium has been initiated; or
• Media affected - A medium has been affected at a site, but cleanup actions have not been initiated.
Definition of Accomplishment:
Fully Achieved and Partially Achieved - An early action (removal or remedial authority) or a long term action has been
completed as defined in ACT-6 Completion of Response Actions. Regions must document in the RA Report, final
POLREP or in a memo to the file the cleanup goals that have been achieved for a specific medium.
Underway - An early action (removal or remedial authority) or a long term action has started as defined in ACT-5 Start
of Response Actions/Activities. Regions must document in a POLREP, memo to the file or other documentation that
work has begun on-site to address a specific medium.
Media Affected - A ROD that identifies permanent cleanup goals for a specific medium has been signed (as defined
in RDT-1 Decision Documents Signed) or a removal was completed as defined in ACT-6 Completion of Response
Actions that partially cleaned up or stabilized a medium or site. Regions must document in the ROD, POLREP or
memo to the file the specific medium that is affected.
The following information must be entered into CERCLIS for each medium addressed by a planned, ongoing or
completed response action:
• Media Name;
• Media Type (groundwater, soil, sediment, surface water, air, liquid waste, solid waste, leachate, debris, residuals, or
other);
• Goal Attainment (fully achieved, partially achieved, cleanup underway, or medium affected);
• Goal Description, including an identification of whether the goal is based on human health standards, ecological
standards or both; and
B-41 August 21, 1997
-------
OSWER Directive 9200.3-14-1D
• Threat Addressed (direct contact threat was addressed, direct contact threat remains, or direct contact threat does not
exist).
Changes in Definition FY 97 - FY 98:
El data must be entered for non-NPL sites.
Special Planning and Reporting Requirements:
See Definition of Accomplishment. The El data are entered into CERCLIS by selecting Views, Remedy Selection, and
Site Characterization. On the Site Characterization screen, select Options and Add/Edit El Data. This is a SCAP
reporting measure.
EMC • TECHNOLOGIES USED AND VOLUMES HANDLED AT NPL AND NON-NPL
SITES
Definition:
This measure tracks the technologies selected and the volume of hazardous waste handled during each early action
(removal or remedial authority) or long term action conducted at a NPL or non-NPL site.
Definition of Accomplishment:
An early action (removal or remedial authority) or a long term action has been completed as defined in ACT-6
Completion of Response Actions. Regions must document in the RA Report or final POLREP the technologies that
were implemented and the volume of hazardous waste handled.
The following information must be entered into CERCLIS for each medium addressed by the completed response
action:
• Media Name;
• Media Type (groundwater, soil, sediment, surface water, air, liquid waste, solid waste, leachate, debris, residuals, or
other);
• Response Actions Selected; and
• Volume High/Volume Low and Units.
Changes in Definition FY 97 - FY 98:
El data must be entered for non-NPL sites.
Special Planning and Reporting Requirements:
See Definition of Accomplishment. This is a SCAP reporting measure. The technologies selected and the volume of
hazardous materials addressed through a removal action can be entered into CERCLIS through the Removal SCAP
Screen or the El screen (Views, Remedy Selection, Site Characterization, Options, Add/Edit El). The technologies
selected and the volume of hazardous materials addressed through an early action (remedial authority) or RA can be
entered into CERCLIS through the ROD SCAP Screeft or El screen (Views, Remedy Selection, Site Characterization,
Options, Add/Edit El).
August 21, 1997 B-42
-------
EXHIBIT B.2
LONG TERM ACTION FLOWCHARTS
Excavation and Off-Site Disposal RAs (No O&M Required at this OU)
RA
Start
i
•*•
RA
Contract Award
~*
RA Mobilization/On-Site
Construction Start
(ACT-5)
No
NPL Site Construction Completion/
Preliminary Close-Out Report
(ACT-7)
td
RAs Without LIRA - O&M and Five Year Review Required (e.g. Landfill Cap)
Start
i
-
RA
Contract Award
->
RA Mobilization/On-Site
Construction Start
(ACT-5)
No
NPLSite Constraction Completion/
Preliminary Close-Out Report
(ACT-7)
00
VO
vo
-J
Yes
1
NPL Site Completion/
Final Close-Out Report
i
;
i
i
i
i
i
^i£
V /
\ /
/\
/ \
NPL Deletion
i
V I
Archive Site
o
CO
^
w
?3
D
CD
VO
to
o •
p
oo
-------
era
VO
EXHIBIT B.2
LONG TERM ACTION FLOWCHARTS - continued
w
O
RAs with LIRA
O&M
Start
i
~*
RA
Contract
Award
-*
RA Mobilization/
On-Site Construction
Start (ACT-5)
No
--
LIRA
i
i
* >
RA Completion/
RA Report
(ACT-6)
NPL Site Construction Completion/
Preliminary Close-Out Report
(ACT-7)
-------
OSWER Directive 9200.3-14-1D
EXHIBIT B.3(l of 7)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
Planning Requirements , ^
> / ~ • *"
\ ? i
SCAP Planning or Reporting
Measure?
Internal Planning or Reporting
Measure?
Planned Site-Specifically
Planned/Reported on Operable Unit or
Whole Site Basis?
Reported Site-Specifically or in Non-
site Specific Portion of CERCLIS?
AOA Category, if Fund-Financed?
AOA Category for Oversight?
Basis for AOA?
'l __ ' .Community
, '"Relations t'~'»
-
-
Not Required
Operable Unit
Not Required
Site Characterization
Site Characterization
Site- or Non-Site
Specific Plans
• "\ Support Agency,,
•Assistance- '/
-
-
Not Required
Whole Site
Not Required
Site Characterization
Site Characterization
Site- or Non-Site
Specific Plans
Technical Assistancl?'
s ™i
-
-
Not Required ,
Operable Unit
Not Required
Site Characterization
Enforcement
Site- or Non-Site
Specific Plans
EXHIBIT B.3 (2 of 7)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
Planning Requirements ,x * '
SCAP Planning or Reporting
Measure?
Internal Planning or Reporting
Measure?
Planned Site-Specifically?
Planned/Reported on Operable Unit or
Whole Site Basis?
Reported Site-Specifically or in Non-
site Specific Portion of CERCLIS?
AOA Category, if Fund-Financed?
AOA Category for Oversight?
Basis for AOA?
* Technical Assistance
'« Grants (TAGs)
-
-
Not Required
Whole Site
Not Required
Other Response
Other Response or
Federal facility
Site- or Non-Site
Specific Plans
", Treatability Study
-
-
Not Required
Operable Unit
Not Required
N/A
N/A
N/A
V' Pj-erDesign
Assistance
- " -
-
Not Required
Operable Unit
Site-Specific
Site Characterization
N/A
Site- or Non-Site
Specific Plans
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis.
B-45
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
EXHIBIT B.3 (3 of 7)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
SCAP Planning or Reporting
Measure?
Internal Planning or
Reporting Measure?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole Site
Basis?
Reported Site-Specifically or
in Non-site Specific Portion
ofCERCLIS?
AOA Category, if Fund-
Financed?
AOA Category for
Oversight?
RD
Start
-
Planning
Yes
Operable.Unit
Site-Specific
Site Characterization
Site Characterization
Site-Specific Plans
RD
Completion
-
Planning
Yes
Operable Unit
Site-Specific
N/A
N/A
N/A
' "" RA t.
Start "
-
Planning
Yes
, Operable Unit
Site-Specific
Remedial Action
Site Characterization
Site-Specific Plans
RA Contract
xAward < *
-
Planning
Yes
Operable Unit
Site-Specific
N/A
N/A,
N/A
EXHIBIT B.3 (4 of 7)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
Planning Requirements
SCAP Planning or Reporting
Measure?
Internal Planning or
Reporting Measure?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole Site
Basis?
Reported Site-Specifically or
in Non-site Specific Portion of
CERCLIS?
AOA Category, if Fund-
Financed?
AOA Category for Oversight?
Basis for AOA?
ACT-5 Start of
Response
Actions/Activities
Reporting
-
Yes
Operable Unit
Site-Specific
Removal or Remedial
Action
Site Characterization
Site- or Non-Site
Specific Plans
ACT-6 Completion
of a Response
Reporting
-
Yes
Operable Unit
Site-Specific
N/A
N/A
N/A
'ACT-7 NPL Site Construction -
Completions Through Early
-Action, Long-Teem Actions, or
"'>"*' . ,RODs' ' - '
Planning and Reporting
-
Yes
Whole Site
Site Specific
N/A
N/A
N/A
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis.
August 21, 1997
B-46
-------
OSWER Directive 9200.3-14-1D
EXHIBIT B.3 (5 of 7)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
, Planning Requirements " i '
>• ">£*
V / '(
SCAP Planning or Reporting
Measure?
Internal Planning or Reporting
Measure?
Planned Site-Specifically?
Planned/Reported on Operable Unit
or Whole Site Basis?
Reported Site-Specifically or in Non-
site Specific Portion of CERCLIS?
AOA Category, if Fund-Financed?
AOA Category for Oversight?
Basis for AOA?
' - Operational and Functional I
-/ -,',• (O&FM'", , ">
-
- .
No
Operable Unit
Site-Specific
Remedial Action
N/A
Site-Specific Plans
', Long Term Response Actions
"'', (LTRA) -
-
-
Yes
Operable Unit
Site-Specific
Remedial Action
Site Characterization
Site-Specific Plans
EXHIBIT B.3 (6 of 7)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
Planning Requirements * r ''«&
SCAP Planning or Reporting
Measure?
Internal Planning or Reporting
Measure?
Planned Site-Specifically?
Planned/Reported on Operable Unit
or Whole Site Basis?
Reported Site-Specifically or in Non-
site Specific Portion of CERCLIS?
AOA Category, if Fund-Financed?
AOA Category for Oversight?
Basis for AOA?
"™NPIi* Site Completions
', *"' " f „ "i
-
-
Yes
Whole Site
Site-Specific
N/A
N/A
N/A
* , -Operation and — -
Maintenance (O&Mjk
-
.
Yes
Operable Unit
Site-Specific
N/A
Site Characterization
Site-Specific Plans
Five- Year Review
;" '•- Started K -
Reporting
-
Yes
Whole Site
Site Specific
Remedial Action
Site Characterization
Site-Specific Plans
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis
B-47
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
EXHIBIT B.3 (7 of 7)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
Planning Requirements
SCAP Planning or
Reporting Measure?
Internal Planning or
Reporting Measure?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in Non-site Specific
Portion of CERCLIS?
AOA Category, if Fund-
Financed?
AOA Category for
Oversight?
Basis for AOA?
Five- Year Review
Completion
-
-
Yes
Whole Site
Site-Specific
N/A
N/A
N/A
NPL Partial
Deletion *
-
-
. Yes
Portion of Site as
Identified
Site-Specific
N/A
N/A
N/A
Final NPL
Deletion^ ,,/
-
-
Yes
Whole Site
Site-Specific
Other Respose
N/A
Site-Specific Plans
EI-lsA-C Progress
Through
Environmental
Indicators
Reporting
-
No
Operable Unit or
Whole Site
Site-Specific
N/A
N/A
N/A
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis
August 21, 1997
B-48
-------
OSWER Directive 9200.3-14-ID
Superfund/Oil Program Implementation Manual FY 98
Appendix C: Enforcement
August 21, 1997
-------
OSWER Directive 9200.3-14-lD
This Page Intentionally
Left Blank
August 21,1997
-------
OSWER Directive; 9200.3-14-1D
Appendix C
Enforcement
Table of Contents
FY 98 ENFORCEMENT TARGETS AND MEASURES C-l
Overview c-1
Enforcement Target and Measure Definitions C-3
Potentially Responsible Party (PRP) Search Starts C-4
PRP Search Completions C-4
Section 104(e) Letters Issued C-5
Section 104(e) Referrals and Orders Issued C-5
Issuance of General Notice Letters (GNLS) C-6
Issuance of Special Notice Letters (SNLS) C-6
Expanded Site Inspection/Remedial Investigation/Feasibility Study (ESI/RI/FS) Negotiation Starts ... C-7
Remedial Design/Remedial Action (RD/RA) Negotiation Starts C-7
RD/RA Negotiation Completions C-8
Cleanup Negotiation Completions C-9
State Order for ESI/RI/FS '.'.'.'.'.'.'.'.'.'.'C-ll
State Consent Decree for RD/RA C-12
Total Response Settlements (including dollar value) C-12
De Minimis Settlements and Number of Parties C-14
Section 106, 106/107, 107 Case Resolution C-15
Compilation of Administrative Record for Selection of Response Action C-l 6
Issue Demand Letter C-16
Total Cost Recovery Settlements (including dollar value) C-17
Past Costs Addressed ;> $200,000 C-18
FY 98 ENFORCEMENT REFORMS C-20
Overview of Enforcement Reforms C-20
Enforcement Reforms Definitions C-20
Use of Alternative Dispute Resolution (ADR) C-20
Settlements Where EPA Settled Based on Ability-to-Pay Determinations C-21
Recoverable Past Costs That Have Been Addressed Program to Date C-22
Prospective Purchaser Agreements (PPAs) C-23
Number and Amount of CERCLA Penalties Assessed C-24
Number and Amount of Supplemental Environmental Projects (SEPs)
Agreed Upon Under CERCLA C-25
Noncompliance With Consent Decrees, Administrative Orders on Consent, and
Unilateral Administrative Orders C-25
Noncompliance With Consent Decrees, Administrative Orders on Consent, and
Unilateral Administrative Orders That Has Been Addressed C-27
Orphan Share - EPA Offer And Compensation C-28
Cashout Settlements C-29
Use of Interest Bearing Special Accounts C-30
Issue Cleanup Orders to Parties in an Equitable Manner C-31
De Micromis Settlements and Number of Parties C-32
PRP Oversight Administration C-33
August 21, 1997
-------
OSWER Directive 9200.3-14-ID
Appendix C
Enforcement
List of Exhibits
EXHIBIT C.I ENFORCEMENT ACTIVITIES C-2
EXHIBIT C.2 ENFORCEMENT PLANNING REQUIREMENTS C-36
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
APPENDIX C
FY 98 ENFORCEMENT
TARGETS AND MEASURES
OVERVIEW
The Superfund Comprehensive Accomplishments Plan (SCAP) is used by the Assistant Administrator for the Office
of Solid Waste and Emergency Response (AA SWER), Assistant Administrator for the Office of Enforcement and
Compliance Assurance (AA OECA), and senior Superfund managers to monitor the administrative progress each Region
is making towards achieving its Superfund goals. Superfund cleanup results are tracked through targets and measures
at the SCAP level as well as internal reporting measures. Those Superfund activities not tracked at the SCAP level are
monitored for internal management purposes by Headquarters (HQ).
The difference between SCAP targets and measures remains the same (i.e., a pre-determined numerical goal versus
an activity deemed essential to tracking overall program progress, respectively). SCAP accomplishments will be pulled
from CERCLIS on a quarterly basis. Planning measures are used to project the number of actions that each Region
expects to perform during the year using anticipated resources. Planning and reporting measures simply track the number
of actions that occur throughout the year and are used to evaluate overall progress through the cleanup pipeline.
This appendix has been expanded to include the enforcement Measures of Success that were devised by HQ in
consultation with the Regions. These measures, which can be found following the description of the existing SCAP
measures, have been developed to respond to an increasing demand for information that is not currently tracked or
reported through the SCAP process. By supplementing the existing SCAP targets and measures with these Measures
of Success, the program hopes to produce a more complete picture of enforcement-related successes and
accomplishments at Superfund sites.
The following pages contain the definitions of the FY 98 enforcement SCAP measures, internal management
planning and reporting measures, and Measures of Success. Exhibit C.I displays the full list of enforcement activities
defined in this Appendix. Exhibit C.2, at the end of this Appendix, identifies planning requirements for these
enforcement activities.
In addition to the measures in this manual, the Regions should continue to provide information regarding PRPs and
Compliance Monitoring as requested in OSWER directives.
C-l
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
EXHIBIT C.1
ENFORCEMENT ACTIVITIES
ACTIVITY
Potentially Responsible Party (PRP) Search Starts
PRP Search Completions
Section 104(e) Letters Issued
Section 104(e) Referrals and Orders Issued
Issuance of General Notice Letters (GNLs)
Issuance of Special Notice Letters (SNLs)
Expanded Site Inspection/Remedial Investigation/Feasibility
Study (ESI/RI/FS) Negotiation Starts
Remedial Design/Remedial Action (RD/RA) Negotiation Starts
RD/RA Negotiation Completions
Cleanup Negotiation Completions
State Orders for ESI/RI/FS
State Consent Decree for RD/RA
Total Response Settlements (including dollar value)
De Minimis Settlements and Number of Parties
Section 106, 106/107, 107 Case Resolution
Administrative Record Compilation Completion
Issue Demand Letter
Total Cost Recovery Settlements (including dollar value)
Past Costs Addressed ;> $200,000
Use of Alternative Dispute Resolution (ADR)
Settlements Where EPA Settled Based on Ability-to-Pay
SCAP
-
-
-
-
-
-
-
Measure
Measure
Target
-
-
Measure
Target
Measure
-
-
Measure
Target
-
-
INTERNAL'
Reporting
Reporting
Reporting
Reporting
Reporting
Reporting
Reporting
-
-
-
Reporting
Reporting
-
-
-
Reporting
Reporting
-
-
-
REFORMS
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- •
-
-
-
-
Measure
Measure
August 21, 1997
C-2
-------
OSWER Directive 9200.3-14-ID
EXHIBIT C.1
ENFORCEMENT ACTIVITIES (cont'd)
„- 5 ' > . ACTIVITY-', ' <
f T$ * * ' r
Recoverable Past Costs That Have Been Addressed Program to
Date
Prospective Purchaser Agreements (PPAs)
Number and Amount of CERCLA Penalties Assessed
Number and Amount of Supplemental Environmental Projects
(SEPs) Agreed Upon Under CERCLA
Noncompliance with Consent Decrees, Administrative Orders on
Consent, and Unilateral Administrative Orders
Noncompliance with Consent Decrees, Administrative Orders on
Consent, and Unilateral Administrative Orders That Have Been
Addressed
Orphan Share - EPA Offer and Compensation
Cashout Settlement
Use of Interest Bearing Special Accounts
Issue Cleanup Orders to Parties in an Equitable Manner
De Micromis Settlements and Number nf ParHp.s
PRP Oversight Administration
3 SCAP
-
-
-
-
-
-
-
-
-
-
-
INTERNAL
-
-
-
-
-
-
-
-
-
.
_
REFORMS,
Measure
Measure
Measure
Measure
Measure
Measure
Target
Measure
Measure
Measure
Measure
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are planned and
reported quarterly.
ENFORCEMENT TARGET AND MEASURE DEFINITIONS
Note: CERCLIS coding requirements contained in the definitions are only for key data elements. For a full list of
requirements and suggested data elements, see the SCAP Quick Reference Coding Guide.
C-3
August 21, 1997
-------
OSWER Directive 9200.3-14-ID
POTENTIALLY RESPONSIBLE PARTY (PRP) SEARCH STARTS
Definition:
A PRP search identifies PRPs at the site. At all sites, the PRP search activities should be initiated as soon as possible
after the Region decides that a response (removal or remedial) action is likely to be required at the site. For sites where
remedial actions will be conducted, the PRP search should be initiated in time to send a GNL, which should be
approximately two months before the SNL date and at least 90 days prior to the obligation of funds for an ESI/RI, RI/FS
or long-term action. For sites where removal actions will be conducted, the PRP search should be initiated as soon as
the need for the removal has been identified in order to give a verbal notice of potential liability or to issue a general
notice letter. .
Definition of Accomplishment:
If the National Priorities List (NPL) PRP search (Action Name = NPL RP Search) or non-NPL PRP search (Action Name
= Non-NPL PRP Search) is being conducted by a contractor, the actual start date (Actual Start) is considered to be the
date the PRP search work assignment or procurement request is signed by the Contracting Officer (CO). For non-NPL
PRP searches, the start is the initiation of title search through a procurement request or work assignment. The start for
both the NPL and non-NPL PRP search is documented by the signed procurement request or work assignment. If the
NPL or non-NPL PRP Search is conducted by EPA in-house, the actual start date (Actual Start) is the date EPA staff
develops the PRP search plan, the date the On-Scene-Coordinator (OSC) receives confirmation of a spill identification
number from the Regional Finance Office, or EPA initiates and documents the search by some other means.
Changes in Definition FY 97 - FY 98:
Clarified the documentation requirement if the search is conducted by a contractor. Clarified the definition of in-house
searches.
Special Planning/Reporting Requirements:
PRP searches (Action Name = Non-NPL PRP Search or NPL RP Search) are planned and funds requested on a site-
specific basis. PRP search starts is an internal reporting measure.
PRP SEARCH COMPLETIONS
Definition:
A PRP search completion constitutes the completion of the activities taken by the Region to identify PRPs at a site. In
conducting the PRP search, the Region must consider which of the criteria outlined below are cost effective and
reasonable to meet relative to the anticipated overall cleanup costs, at .the site. Upon completion, Regions should
document in the site file that they have met all reasonable achievable criteria. Criterion 1 is mandatory for all PRP search
completions. The PRP search should ideally be completed prior to completion of cleanup negotiations; however, it is
recognized that this may not be achievable in all situations.
The recommended criteria for a thorough PRP search are:
1. Initiate a dialogue with early identified PRPs for the purpose of cooperative development of PRP search plans;
2. Collect the financial and contribution data needed to perform equitable share calculations;
3. Follow-up on all leads as a way to identify parties to the site;
4. Make de minimis and de micromis determinations for all parties at the site;
August 21, 1997 C-4
-------
OSWER Directive 9200.3-14-ID
5. Categorize all parties [e.g., Generator/Transporter, Owner/Operator, Small Business ($2 million or less gross annual
revenue and 25 or less employees), Municipal Solid Waste Contributor, etc.]; and
6. Perform a financial viability determination on all recalcitrant parties and PRPs asserting ability-to-pay problems.
Definition of Accomplishment:
The PRP search (Action Name = NPL RP Search or Non-NPL PRP Search) is complete when all applicable activities
described in the Agency's PRP Search Manual have been completed and documentation has been placed in the site file
that the Region has met all reasonable achievable criteria for the PRP search, a PRP search outcome report with a list
of PRPs has been prepared and the actual completion date (Actual Complete) and the outcome (Qualifier) of the search
have been entered into CERCLIS. If no PRPs are found, the Region .must document in the site file that it has met all
reasonable achievable criteria for the PRP search and enter the actual completion date (Actual Complete) and the
Qualifier of 'No PRPs Identified (NP)' into CERCLIS. This definition applies to both Phase I (single owner, operator
site) and Phase II (multi-generator site) PRP searches.
Changes in Definition FY 97 - FY 98:
None. . '
Special Planning/Reporting Requirements:
PRP search completions (Action Name = Non-NPL PRP Search or NPL RP Search) are planned on a site-specific basis.
The search outcome (Qualifier) is to be entered into CERCLIS. The number of PRPs found is system generated by
entering and associating PRPs with sites and selecting an Identification Source of "PRP Search." PRP search
completions is an internal reporting measure.
SECTION 104(E) LETTERS ISSUED
Definition:
This is a letter issued under Section 104(e) of the Superfund Amendments and Reauthorization Act of 1986 (SARA).
It requests information from PRPs on matters such as: the nature and extent of a release or threatened release at a site;
the nature and quantity of hazardous materials at the site; financial indemnification; and the financial ability of the PRP
to pay for possible response actions.
Definition of Accomplishment:
This activity is accomplished on the date the information request letter is signed by the appropriate EPA official and
entered into CERCLIS as a SubAction [SubAction Name = Issue Req Lttrs - (104e)] to a non-NPL PRP Search or NPL
PRP Search with an actual completion date (Actual Complete).
Changes in Definition FY97-FY98:
None.
Special Planning/Reporting Requirements:
Section 104(e) letters issued is an internal reporting measure.
SECTION 104(E) REFERRALS AND ORDERS ISSUED
Definition:
Section 104(e) referrals/orders are enforcement actions to compel PRPs to respond to EPA requests for information or
to obtain site access.
C'5 August 21, 1997
-------
OSWER Directive 9200.3-14-ID
Definition of Accomplishment:
The date of the memo from the Regional Administrator transmitting the Section 104(e) referral to HQ or to the
Department of Justice (DOJ) is recorded in CERCLIS as the actual start date (Actual Start) of the Section 104(e) referral
(Action Name = Section 104(e) Ref. Litigation). The date a Section 104(e) order [generally under the auspices of a
Unilateral Administrative Order (UAO)] is signed by the Regional Administrator is recorded in CERCLIS as the actual
completion date (Actual Complete) of the UAO (Action Name = Unilateral Admin Order).
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
The actual start date (Actual Start) of the referral (Action Name = Section 104(e) Ref. Litigation) or the actual
completion date (Actual Complete) of the order (Action Name = Unilateral Admin Order) is entered into CERCLIS site-
specifically. The Law/Section reported in CERCLIS should be "CERCLA 104(e)" [(Law/Section = CERCLA 104(e)].
This is an internal reporting measure.
ISSUANCE OF GENERAL NOTICE LETTERS (GNLs)
Definition:
Letter sent by EPA under Section 122 of SARA informing recipients of their potential liability for cleanup actions at the
site. It is usually sent out during the PRP search or during preparation for negotiations.
Definition of Accomplishment:
This activity is accomplished on the date the GNL is signed by the appropriate EPA official and entered into CERCLIS
as a SubAction (SubAction Name = Notice Letters Issued) to a PRP Search or Negotiation action with an actual
completion date (Actual Complete).
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
General Notice Letters are recorded at the SubAction level. GNL is an internal reporting measure.
ISSUANCE OF SPECIAL NOTICE LETTERS (SNLs)
Definition:
A SNL is a letter from EPA to the PRPs informing them of their potential liability and inviting them to offer to conduct
the planned response action(s) at the site. This letter, under Section 122(e) of SARA, triggers a negotiation moratorium
allowing the PRPs to consider EPA's invitation to negotiate. The moratorium period varies depending on the response
action [ESI/RI/FS, RD, RA, early action (remedial authority)] and can be extended if necessary.
Definition of Accomplishment:
This activity is accomplished on the date the SNL is signed by the appropriate EPA official and entered into CERCLIS
as a SubAction (SubAction Name = Special Notice Issued) to a PRP Search or Negotiation action with an actual
completion date (Actual Complete). The date of issuance of the SNL also constitutes the start of negotiations [Action
Name = RI/FS Negotiations, RD/RA Negotiations, Negotiations (Generic), or Removal Negotiations].
August 21, 1997 C-6
-------
OSWER Directive 9200.3-14-1D
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
SNLs are recorded at the SubAction level. The actual completion date of the SNL is the same as the actual start date
(Actual Start) of the applicable negotiation action. Issuance of SNLs is an internal reporting measure.
EXPANDED SITE INSPECTION/REMEDIAL INVESTIGATION/FEASIBILITY STUDY
(ESI/RI/FS) NEGOTIATION STARTS
Definition:
ESI/RI/FS negotiations are discussions between EPA and the PRPs on their liability, willingness, and ability to conduct
the ESI/RI/FS.
Definition of Accomplishment:
ESI/RI/FS negotiations start when:
• The first SNL is signed by the appropriate EPA official. This date is reported in CERCLIS as the start (Actual Start)
of negotiations [Action Name = Negotiations (Generic) or RI/FS Negotiations] and the completion (Actual
Complete) of the SNL SubAction (SubAction Name = Special Notice Issued); or
• A Section 122(a) waiver of SNL is signed by the appropriate EPA official with the intent to pursue negotiations
without moratorium procedures. This date is reported in CERCLIS as the start (Actual Start) of negotiations [Action
Name = Negotiations (Generic) or RI/FS Negotiations] and the completion (Actual Complete) of the SNL waiver
SubAction (SubAction Name = Notice of S 122 Waiver Issued).
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
If the Region does not plan to perform ESI/RI/FS negotiations at a site, negotiation dates should not be placed in
CERCLIS. The start of ESI/RI/FS negotiations [Action Name = Negotiations (Generic) or RI/FS Negotiations] should
be planned site-specifically. The "Response Actions Sought" and "Response Actions to be Reimbursed" (if applicable)
are to be entered into CERCLIS. The actual start of the negotiation action is the same as the actual complete date (Actual
Complete) of the SNL or waiver of SNL. ESI/RI/FS negotiation starts is an internal reporting measure.
REMEDIAL DESIGN/REMEDIAL ACTION (RD/RA) NEGOTIATION STARTS
Definition:
RD/RA negotiations are discussions between EPA and the PRPs on their liability, willingness, and ability to implement
the long-term remedy selected in the ROD for the site or Operable Unit (OU).
Definition of Accomplishment:
RD/RA negotiations start when:
• The first SNL is signed by the appropriate EPA official. This date is reported in CERCLIS as the start (Actual Start)
of negotiations [Action Name = Negotiations (Generic) or RD/RA Negotiations] and the completion (Actual
Complete) of the SNL SubAction (SubAction Name = Special Notice Issued); or
C-7
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
• A Section 122(a) waiver of SNL is signed by the appropriate EPA official with the intent to pursue negotiations
without moratorium procedures. This date is reported in CERCLIS as the start (Actual Start) of negotiations [Action
Name = Negotiations (Generic) or RD/RA Negotiations] and the completion (Actual Complete) of the SNL waiver
SubAction (SubAction Name = Notice of S 122 Waiver Issued).
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
If the Region does not plan to conduct RD/RA negotiations, dates should not be entered into CERCLIS. The start ot
RD/RA negotiations [Action Name = Negotiations (Generic) or RD/RA Negotiations] is planned site-specifically. The
"Response Actions Sought" and "Response Actions to be Reimbursed" (if applicable) are to be entered into CERCLIS.
The "Response Actions Sought" must include one or more of the following actions: Remedial Design, Remedial Action,
PRP RD or PRP RA. The actual start of the negotiation action is the same as the actual completed date (Action
Complete) of the SNL or waiver of SNL. RD/RA negotiation starts is a SCAP measure.
RD/RA NEGOTIATION COMPLETIONS
\
Definition: .
RD/RA negotiations are discussions between EPA and the PRPs on their liability, willingness, and ability to implement
the long-term remedy selected in the ROD for the site or Operable Unit (OU).
RD/RA Negotiations end when the Region decides how to proceed with the RD/RA.
Definition of Accomplishment:
Credit is given at NPL sites when:
. A signed Consent Decree (CD) under Section 106 or Section 106/107 and a 10-point analysis for RD or RA is
referred by the Regional Administrator to either DOJ or HQ. The negotiation [Action Name = Negotiations
(Generic) or RD/RA Negotiations] actual completion date (Actual Complete) is the date of the Regional
Administrator's signed transmittal memo, which is the CD (Action Name = Consent Decree) actual start date (Actual
Start); or
• A Unilateral Administrative Order (UAO) for RD or RA is signed by the Regional Administrator. The negotiation
[Action Name = Negotiations (Generic) or RD/RA Negotiations] actual completion date (Actual Complete) is the
date the UAO (Action Name = Unilateral Admin Order) is signed, which is the UAO actual completion date (Actual
Complete); or
• A Section 106 or Section 106/107 injunctive referral to compel the PRP to perform the RD or RA as specified in
a UAO is referred by the'Regional Administrator to DOJ or HQ. The negotiation [Action Name = Negotiations
(Generic) or RD/RA Negotiations] actual completion date (Actual Complete) is the date of the Regional
Administrator's transmittal memo, which is the litigation [Action name = Litigation (Generic), Section 106 & 107
Litigation, or Section 106 Litigation] actual start date (Actual Start); or
• EPA and PRPs are notified by a memo from DOJ of the date on which they will proceed to trial under an existing
case. The negotiation [Action Name = Negotiations (Generic) or RD/RA Negotiations] actual completion date
(Actual Complete) is the same as the date (Actual Complete) the trial begins (SubAction Name = Trial Started); or
. An Administrative Order on Consent (AOC) for RD only is signed by the Regional Administrator. Where an AOC
for RD only is issued, no credit will be given for the subsequent RA negotiation starts and completions. Credit will
be given under Total Response Settlements for the referral of a CD for RA to DOJ or HQ. The negotiation [Action
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OSWER Directive 9200.3-14-ID
Name = Negotiations (Generic) or RD/RA Negotiations] actual completion date (Actual Complete) is the date the
AOC is signed by the Regional Administrator, which is the AOC (Action Name = Admin Order on Consent) actual
completion (Actual Complete).
If Special Notice Letters are issued specifically to initiate RD/RA negotiations and the negotiations result in an
amendment to an existing settlement to include RD/RA, the negotiation [Action Name = Negotiations (Generic) or
RD/RA Negotiations] actual completion date'(Actual Complete) is the date the amended settlement is signed. This
amendment date is tracked as the actual completion date (Actual Complete) 'of the settlement SubAction,
Enforcement Action Amended; or
• Funds are obligated through a contract modification or work assignment signed by the CO, an IAG signed by the
other Federal agency, or a CA signed by the designated Regional official for a Fund-financed RD, RA or early action
(remedial authority). The negotiation [Action Name = Negotiations (Generic) or RD/RA Negotiations] actual
completion date (Actual Complete) is the date funds are obligated. If funds are not available and the Region decides
a UAO is not appropriate and HQ concurs (in writing), the negotiation [Action Name = Negotiation (Generic) or
RD/RA Negotiations] actual completion date (Actual Complete) is the date of the HQ memorandum concurring with
the decision not to issue the UAO.
Credit is given at NPL-caliber sites when:
• A signed CD under Section 106 or Section 106/107 and a 10-point analysis for RD or RA is referred by the Regional
Administrator to either DOJ or HQ. The negotiation [Action Name = Negotiations (Generic) or RD/RA
Negotiations] actual completion date (Actual Complete) is the date of the Regional Administrator's memo
transmitting the CD to HQ, which is the CD (Action Name = Consent Decree) actual start date (Actual Start). •
This measure will track and report NPL and NPL-caliber sites separately.
Changes in Definition FY 97 - FY 98:
This is a new measure.
Special Planning/Reporting Requirements:
This is a SCAP measure. RD/RA negotiation completions are planned site-specifically. The negotiation completion date
is reported in CERCLIS as the actual completion date (Actual Complete) of either generic negotiations or RD/RA
negotiations [Action Name = Negotiations (Generic) or RD/RA Negotiations]. The "Response Actions Sought" and the
outcome of the negotiations [Outcome(s) Selected or Outcome Actions Selected] also must be reported in CERCLIS.
The "Response Actions Sought" must include one or more of the following actions: Remedial Design Remedial Action
PRP RD or PRP RA. e ,
CLEANUP NEGOTIATION COMPLETIONS
Definition:
Cleanup negotiations are discussions between EPA and the PRPs on their liability, willingness, and ability to conduct
the cleanup. Negotiations are complete (for NPL and NPL-caliber sites) when a decision has been made as to how the
Region will proceed with the cleanup.
Definition of Accomplishment:
Credit is given at NPL sites when:
• A signed CD under Section 106 or Section 106/107 and a 10-point analysis for RD, RA, ground water monitoring
activities post ROD, institutional controls, early action (remedial authority), or a time-critical or NTC early action
(removal authority) is referred by the Regional Administrator to either DOJ or HQ. The negotiation [Action Name
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OSWER Directive 9200.3-14-1D
= Negotiations (Generic), RD/RA Negotiations, or Removal Negotiations] actual completion date (Actual Complete)
is the date of the Regional Administrator's signed transmittal memo, which is the CD (Action Name = Consent
Decree) actual start date (Actual Start); or
• A UAO for RD, RA, groundwater monitoring activities post ROD, institutional controls, early action (remedial
authority), or a time-critical or NTC early action (removal authority) is signed by the Regional Administrator. The
negotiation [Action Name = Negotiations (Generic), RD/RA Negotiations, or Removal Negotiations] actual
completion date (Actual Complete) is the date the UAO (Action Name = Unilateral Admin Order) is signed which
is the UAO actual completion date (Actual Complete); or
• A Section 106 or Section 106/107 injunctive referral to compel the PRP to perform the cleanup (RD or RA) as
specified in a UAO is referred by the Regional Administrator to DOJ or HQ. The negotiation [Action Name =
Negotiations (Generic) or RD/RA Negotiations] actual completion date (Actual Complete) is the date of the
Regional Administrator's transmittal memo, which is the litigation [Action Name = Litigation (Generic), Section
106 & 107 Litigation, or Section 106 Litigation] actual start date (Actual Start); or
• A Prospective Purchaser Agreement (PPA) implementing the. remedy is signed by the Regional Administrator. The
negotiation [Action Name = Negotiations (Generic), Removal Negotiations or RD/RA Negotiations] actual
completion date (Actual Complete) is the date the PPA (Action Name = Admin Order on Consent or Consent
Agreement and Enf. Instrument Category = Prospective Purchaser Agreement) is signed by the Regional
Administrator which is the actual completion date (Actual Complete) of the AOC or CA; or
• EPA and PRPs are notified by a memo from DOJ of the date on which they will proceed to trial under an existing
case. The negotiation [Action Name = Negotiations (Generic) or RD/RA Negotiations] actual completion date
(Actual Complete) is the same as the date (Actual Complete) the trial begins (SubAction Name = Trial Started); or
• An AOC for RD only, for groundwater monitoring activities post ROD or institutional controls is signed by the
Regional Administrator. Where an AOC for RD only is issued, no credit will be given for the subsequent RA
negotiation start and completion. Credit will be given, under Total Response Settlements for the referral of a CD
for RA to DOJ or HQ. The negotiation [Action Name = Negotiations (Generic) or RD/RA Negotiations] actual
completion date (Actual Complete) is the date the AOC is signed by the Regional Administrator, which is the AOC
(Action Name = Admin Order on Consent) actual completion date (Actual Complete).
For settlements that are amended to include cleanup actions, the negotiation [Action Name = Negotiations (Generic),
RD/RA Negotiations, or Removal Negotiations] actual completion date (Actual Complete) is the date the amended
instrument is signed. This amendment date is tracked as the actual completion date (Actual Complete) of the
SubAction, Enforcement Action Amended; or
• An AOC for a time-critical or NTC early action (removal authority) is signed by the Regional Administrator. The
negotiation [Action Name = Negotiations (Generic) or Removal Negotiations] actual completion date (Actual
Complete) is the date the AOC is signed by the Regional Administrator, which is the AOC (Action Name = Admin
Order on Consent) actual completion date (Actual Complete); or
• Funds are obligated through a contract modification or work assignment signed by the CO, an IAG signed by the
other Federal agency, or a CA signed by the designated Regional official for a Fund-financed time-critical or NTC
early action (removal authority), early action (remedial authority) or long-term action. The negotiation [Action
Name = Negotiations (Generic), Removal Negotiations, or RD/RA Negotiations] actual completion date (Actual
Complete) is the date funds are obligated. If funds are not available and the Region decides a UAO is not
appropriate and HQ concurs (in writing), the negotiation [Action Name = Negotiations (Generic), Removal
Negotiations, or RD/RA Negotiations] actual completion date (Actual Complete) is the date of the HQ memorandum
concurring with the decision not to issue the UAO.
August 21, 1997
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OSWER Directive 9200.3-14-1D
Credit is given at NPL-caliber sites when:
• A signed CD under Section 106 or Section 106/107 and a 10-point analysis for RD, RA, groundwater monitoring
activities post ROD, institutional controls, early action (remedial authority), or a time-critical or NTC early action
(removal authority) is referred by the Regional Administrator to either DOJ or HQ. The negotiation [Action Name
= Negotiations (Generic), RD/RA Negotiations, or Removal Negotiations] actual completion date (Actual Complete)
is the date of the Regional Administrator's memo transmitting the CD to HQ, which is the CD (Action Name =
Consent Decree) actual start date (Actual Start); or
• A UAO or an AOC to initiate a time-critical or NTC early action (removal authority) is signed by the Regional
Administrator. The negotiation [Action Name = Negotiations (Generic) or Removal Negotiations] actual completion
date (Actual Complete) is the date the order is signed by the Regional Administrator, which is the AOC [Action
Name = Admin Order on Consent] actual completion date (Actual Complete) or the UAO (Action Name = Unilateral
Admin Order) actual completion date (Actual Complete); or
• Funds are obligated through contract modification or work assignment signed by the CO, an IAG signed by the other
Federal agency, or a CA signed by the designated Regional official for a Fund-financed time-critical or NTC early
action (removal authority). The negotiation [Action Name = Negotiations (Generic), or Removal Negotiations]
actual completion date (Actual Complete) is the date funds are obligated. If funds are not available and the Region
decides a UAO is not appropriate and HQ concurs (in writing), the negotiation [Action Name = Negotiations
(Generic) or Removal Negotiations] actual completion date (Actual Complete) is the date of the HQ memorandum
concurring with the decision not to issue the UAO.
This measure will track and report NPL and NPL-caliber sites separately.
Changes in Definition FY97-FY98:
A start date is no longer required in order to receive credit for the completion of negotiations which results in an AOC
or UAO for a removal.
Special Planning/Reporting Requirements:
This is a SCAP target. Cleanup negotiation completions are planned site-specifically. The negotiation completion date
is reported in CERCLIS as the actual completion date (Actual Complete) of either generic negotiations, RD/RA
negotiations, or removal negotiations [Action Name = Negotiations (Generic), RD/RA Negotiations, or Removal
Negotiations]. The "Response Actions Sought" and the outcome of the negotiations [Outcome(s) Selected or Outcome
Actions Selected] also must be reported in CERCLIS. Regions will receive credit for the completion of cleanup
negotiations that result in the signature of an AOC or CA with a Prospective Purchaser that is implementing the remedy.
STATE ORDER FOR ESI/RI/FS
Definition:
Administrative Order (AO) or CD signed by the State and the PRPs for the PRPs to conduct the Expanded Site
Instection/Remedial Investigation/Feasibility Study (ESI/RI/FS).
Definition of Accomplishment:
The date the last State official signs the order or CD. All CERCLIS coding requirements for Federal AOs and CDs
apply. The enforcement action type should be State decree or State order (Action Name = State Consent Decree or State
Order) and the actual completion date should be entered in the "Actual Complete" field in CERCLIS. The "Response
Actions Achieved" and "Response Actions to be Reimbursed" (if applicable) also must be reported in CERCLIS.
Changes in Definition FY 97 - FY 98:
None.
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OSWER Directive 9200,3-14-lD
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Projections for AOs for ESI/RI/FS are made site-specifically. State Orders for
ESI/RI/FS is an internal reporting measure.
STATE CONSENT DECREE FOR RD/RA
Definition:
A State CD is a judicial agreement between the State and the PRPs when fully or partially settling a claim under the
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA). The settlement may be for
response work or both response and cost recovery work.
Definition of Accomplishment:
The date the State CD is signed by the PRPs and all appropriate State officials. All CERCLIS coding requirements for
Federal CDs apply. The Region should enter State decree (Action Name = State Consent Decree) with an actual
completion date (Actual Complete) and the "Response Actions Achieved." The "Response Actions Achieved" fields
must include one or more of the following actions: Remedial Design, Remedial Action, PRP RD, PRP RA or
Groundwaler monitoring (post ROD). If the State CD includes a cost recovery agreement the "Costs Achieved" and
"Response Actions to be Reimbursed" also should be entered into CERCLIS.
Changes in Definition FY 97 - FY 98:
Added language indicating the cost recovery information that is required for State CDs that include a cost recovery
component.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. State CD for RD/RA is an internal reporting measure.
TOTAL RESPONSE SETTLEMENTS (INCLUDING DOLLAR VALUE)
Definition:
Total Response Settlements is the total universe of CERCLA enforcement settlements where the PRPs agree to conduct
cleanup work. This measure will require reporting of both the number of settlements as well as the estimated value of
the response work pursuant to each of those settlements.
Definition of Accomplishment:
Settlements at NPL, NPL-caliber, and non-NPL sites include:
• A Consent Decree (CD) signed by the Regional Administrator and PRPs and 10-point analysis is transmitted by the
Regional Administrator to DOJ or HQ, under Section 106 or 106/107 for PRPs to conduct or pay for the response
action [ESI/RI, RI, RI/FS, FS, RD, RA, groundwater monitoring activities post ROD, institutional controls, time-
critical or NTC early action (removal authority) or early action (remedial authority)]. Credit for the CD referral
(Action Name = Consent Decree) is given on the date on which the Regional Administrator's transmittal memo is
sent to DOJ or to HQ as recorded in CERCLIS as the actual start date (Actual Start). This includes CDs for mixed
funding and cashout settlements. The appropriate Enforcement Instrument Category (Enf Instrument Category =
Cashout, De_ minimis/Cashout, De micromis/Cashout, or Mixed Work/Preauthorization, or Preauthorization, or
Mixed Funding) also must be entered into CERCLIS; or .
• A Unilateral Administrative Order (UAO) is signed by the Regional Administrator for RD, RA, groundwater
monitoring activities post ROD, institutional controls, time-critical or NTC early action (removal authority) or early
action (remedial authority), and PRPs provide written notice of intent to comply with the UAO. For SCAP
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OSWER Directive 9200.3-14-1D
reporting purposes, UAOs where PRPs have, notified the Agency of their intention to comply, are considered
settlements. Settlement credit for UAOs is given on the date of the PRP's written notice of intent to comply with
the order. This is reported in CERCLIS as the actual completion date (Actual Complete) of the notice of intent to
comply SubAction (SubAction Name = PRPs Ntfy EPA, Intent to Comply). The actual completion date (Actual
Complete) of the order (Action Name = Unilateral Admin Order) is the date it is signed; or
• If a PRP initially complies with a UAO, and later a CD is agreed to for the same work, credit will be given for the
UAO when the PRPs provide written notice of intent to comply. Credit will be given for the CD when it is referred
by memo to DOJ or HQ. At this point the UAO is converted to a CD and Regions will receive credit for the CD
only and not the UAO.
The Region must revise the estimated value of work to be performed (Estimated Present Worth Value) to the actual
value or estimated value of the work actually performed by the PRPs under the UAO (Estimated Present Worth
Value). When adding the Consent Decree Action, the Region should identify the UAO as the predecessor Action
through Action Relationships. The CERCLIS reporting requirements for the CD apply.
• An Administrative Order on Consent (AOC) is signed by the Regional Administrator for an ESI/RI, RI, RI/FS, PS,
time-critical or NTC early action (removal authority) or RD. The date the Regional Administrator signs the AOC
(Action Name = Admin Order on Consent) is reported in CERCLIS as the actual completion date (Actual Complete).
• Settlement credit is also given when an AOC or Consent Agreement (CA) is signed that provides protection from
potential future liability to a Prospective Purchaser that is implementing the remedy. The actual completion date
(Actual Complete) is the date the AOC or CA (Action Name = Admin Order on Consent or Consent Agreement and
Enf Instrument Category = Prospective Purchaser Agreement)' is signed by the Regional Administrator.
Total Response Settlements will be reported as a combined total of CDs, CAs with Prospective Purchasers, AOCs, and
UAOs (where the PRPs are in compliance), where response actions have been achieved. The value of Total Response
Settlements is based on the estimated value of PRP response work.
Changes in Definition FY 97 - FY 98:
Changed the name of the measure to Total Response Settlements. Added RI and RI/FS actions to appropriate settlement
documents. Deleted the discussion of the estimated value of PRP work for converted UAOs. Regions no longer receive
credit under this measure for Section 106 or Section 106/107 injunctive referrals. Regions no longer receive credit under
this measure for amended settlements.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The applicable "Response Actions Achieved," the "Estimated Present Worth
Value" of the response actions the PRPs are performing (see supplement to: OSWER Directive #9200.3-14-la) and, if
necessary, the "Enf Instrument Category" are to be reported in CERCLIS. Settlement credit will be given for an AOC
or CA with a Prospective Purchaser if "Prospective Purchaser Agreement" is the selected enforcement instrument
category. Existing settlements for ESI/RI, RI/FS or FS that are amended to include RD should be reported in CERCLIS.
The date the amendment is signed is the actual completion date (Actual Complete) of the SubAction "Enforcement
Activity Amended." The Region should also check the amended instrument flag (Amended Instrument?) and indicate
the "Response Actions Added" under the settlement. Total Response Settlements will be reported in the ENFR-03 report.
This is a SCAP measure.
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OSWER Directive 9200.3-14-1D
DE MINIMIS SETTLEMENTS AND NUMBER OF PARTIES
Definition:
This measure reports the total number of administrative or judicial settlements that are reached under Section 122(g) of
SARA, with PRPs qualified as efe minimis. This type of settlement results in PRPs paying a minor portion of the
estimated response costs at the site, and is embodied in a CD or an AOC. If the total response costs at the site exceed
$500,000 (excluding interest), the AOC can only be signed by the Regional Administrator after prior written approval
from DOJ. if DOJ does not approve or disapprove the order within 30 days, the order is considered approved and can
then be signed by the Regional Administrator. The DOJ and the Regional Administrator can agree to extend the 30-day
period if necessary.
This measure counts the total number of de minimis settlements under Section 122(g) and the number of PRPs who settle.
Definition of Accomplishment:
Credit is given for de minimis Section 122(g) settlements in the following two categories.
Category 1: De minimis settlements include:
• An AOC (Action Name = Admin Order on Consent) signed by the Regional Administrator, as reported in CERCLIS,
as the actual completion date (Actual Complete); or
• When the Regional Administrator signs the memorandum transmitting the CD (Action Name = Consent Decree)
signed by the de_ minimis parties to DOJ or HQ, as reported in CERCLIS, as the actual start date (Actual Start).
The number of signatories to the settlement will be system generated in CERCLIS from the identification of the PRPs
associated with the settlement.
Category 2: Early de_ minimis settlements include:
• An AOC (Action Name = Admin Order on Consent) signed by the Regional Administrator prior to the first remedy
selection (ROD) at the site, or prior to a subsequent ROD which addresses response costs that are included in the
settlement. The date the AOC is signed is reported in CERCLIS as the actual completion date (Actual Complete)
of the AOC (Action Name = Admin Order on Consent).
• When the Regional Administrator signs the memorandum transmitting the CD (Action Name = Consent Decree)
signed by the de, minimis parties and the Regional Administrator to DOJ or HQ prior to the first remedy selection
(ROD) at the site or prior to a subsequent ROD which addresses response costs that are included in the settlement.
The date the CD is signed is reported in CERCLIS as the actual start date (Actual Start) of the CD (Action Name
= Consent Decree).
The number of signatories to the settlement will be system generated in CERCLIS from the identification of the PRPs
associated with the settlement.
The following information should be entered into CERCLIS for both Category 1 and Category 2 settlements:
• Enf Instrument Category of De minimis or De minimis/Cashout;
• Law/Section Selected of CERCLA 122(g);
• PRPs or PRP group that signed settlement (PRP Name or PRP Group Selected); and
August 21, 1997 C-14
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OSWER Directive 9200.3-14-ID
• Dollar amount that will be used for future or past work covered by the settlement [Past Costs Achieved and/or
Cashout Funds Achieved (as applicable)].
To indicate the de minimis parties that signed the settlement, the following information must be entered for each party:
• PRP Involvement Status of "De Minimis Party"; and
• Involvement Type of "Owner", "Operator", "Generator" or "Transporter".
Changes in Definition FY97-FY98:
Added site specific targeting. Moved the de micromis settlements to a new measure and changed the title of the measure
to De Minimis Settlements and Number of PRPs.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. This is a SCAP target.
Since many de. minimis settlements are cashouts, Regions also must enter the Enforcement Instrument Category for
"Cashout" (Enf Instrument Category = De_ minimis/Cashout) and the Past Costs Achieved or Cashout Funds Achieved,
where applicable.
The number of signatories to the settlement will be system generated in CERCLIS from the identification of the PRPs
associated with the settlement.
Regions are requested to provide site-specific targets for de_ minimis settlements.
SECTION 106,106/107,107 CASE RESOLUTION
Definition:
Case resolution is the conclusion of a Section 106,106/107, or 107 judicial action by full settlement, final judgment, case
dismissal, or case withdrawal.
Definition of Accomplishment:
Credit for case resolution is given when:
• A CD is entered in the court and signed by the judge fully addressing the complaint with all parties; or
• The Region receives a memo or letter from DOJ withdrawing the case; or
• A decision document is submitted by the judge dismissing the case; or
• A trial has concluded and a judgment rendered and signed by the judge fully addressing the complaint.
The Litigation or case resolution (Action Name = Litigation (Generic), Section 106 & 107 Litigation, Section 107
Litigation, or Section 106 Litigation) actual completion date (Actual Complete) is defined as follows:
• Date full settlement CD is entered. This is the CD action (Action Name = Consent Decree), entered by the court
SubAction (SubAction Name = Entered by Court), and the litigation action actual completion date (Actual
Complete);
• Date case is withdrawn (SubAction Name = Case Withdrawn) as the SubAction completion and litigation actual
completion date (Actual Complete);
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OSWER Directive 9200.3-14-1D
• Date case is dismissed (SubAction Name = Case Dismissed) as the SubAction and litigation actual completion date
(Actual Complete); or
• Date judgment is entered (Action Name = Judicial/Civil Judgment) as the judgment and the litigation actual
completion date (Actual Complete).
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The Outcome Actions Selected or Outcome(s) Selected are entered with the
litigation action. In addition, if the litigation resulted in a CD or judgment, the "Response Actions Achieved" with their
"Estimated Present Worth Value" and, if the settlement includes cost recovery, "Response Actions to be Reimbursed,"
with Future Costs Achieved and/or Past Costs Achieved also must be entered into CERCLIS with the CD or judgment
action. This is a SCAP measure.
COMPILATION OF ADMINISTRATIVE RECORD FOR SELECTION OF RESPONSE
ACTION
Definition:
An Administrative Record (AR) is a compilation of all documents EPA used to make a specific decision on the
appropriate response action to be taken at a Superfund site, regardless of whether the document supports or opposes the
Agency's selected action. SARA specifies that such ARs be compiled at sites where responses under remedial or
removal authority are planned or are occurring, or where EPA is issuing a UAO or initiating litigation.
Definition of Accomplishment:
The AR compilation (Action Name = Administrative Records) begins when the letter is signed transmitting the AR to
the site repository and the actual start date (Actual Start) is entered into CERCLIS. The AR compilation is complete
when the certification of completion memo is signed by the program office and the actual completion date (Actual
Complete) is entered into CERCLIS.
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
The start and completion of the compilation of the AR must be reported site-specifically (Action Name = Administrative
Records) in CERCLIS. An Action Qualifier indicates whether the AR is for a remedial or a removal activity
[Qualifier = (E) Admin Record Compiled For a Remedial Event, or (V) Admin Record Compiled For a Removal Event].
The completion of the Administrative Record compilation is an internal reporting measure.
ISSUE DEMAND LETTER
Definition:
A Section 122(e) letter issued pursuant to Section 107 from EPA to the PRP requesting that the PRP reimburse the Fund
for a specific amount associated with one or more response activities. Demand letters are typically sent for each separate
response activity.
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OSWER Directive 9200.3-14-ID
Definition of Accomplishment:
This SubAction is accomplished on the date (Actual Complete) the demand letter is signed by the appropriate EPA
official and recorded in CERCLIS as a SubAction (SubAction Name = Demand Letters Issued) to the Negotiation
actions, Administrative/Voluntary Cost Recovery action, Litigation actions, or Decision Documents.
Changes in Definition FY97-FY98:
None. • .
Special Planning/Reporting Requirements:
This is an internal reporting measure.
TOTAL COST RECOVERY SETTLEMENTS (INCLUDING DOLLAR VALUE)
Definition:
Total Cost Recovery Settlements is the total universe of CERCLA enforcement cost recovery settlements where the PRPs
agree to pay past costs to the Agency. This measure will require reporting of both the number of settlements as well as
the value of the past costs pursuant to each of these settlements. " ',
Definition of Accomplishment:
Settlements at NPL, NPL-caliber, and non-NPL sites include:
• Consent Decrees - Credit is given for CD settlements (Action Name = Consent Decree) for RD/RA with a cost
recovery component, or CDs for cost recovery only that do not result from a previous litigation referral, on the date
of the Regional Administrator's memo transmitting the settlement to DOT or HQ and recorded in CERCLIS as the
actual start date (Actual Start).
For CD settlements that are for cost recovery only and result from a previous litigation referral do not count in this
measure. Regions should not add a start date (Actual Start) for these actions in CERCLIS. Only the lodged
(SubAction Name = Lodged by DOJ) and entered (SubAction Name = Entered by Court) SubActions, their actual
completion dates (Actual Complete), and the actual completion date (Actual Complete) of the CD are recorded. The
actual completion date of the CD is the date it is entered by the court.
• Administrative Settlements - Credit is given on the date that the Regional office or DOJ receives payment from the
PRPs in direct response to a demand letter for voluntary cost recovery or the date the Regional Administrator signs
the AOC or CA for cost recovery. The date must be reported in CERCLIS as the actual completion date (Actual
Complete) of the administrative/voluntary cost recovery (Action Name = Admin/Voluntary Cost Recovery), AOC
(Action Name = Admin Order on Consent), or Consent Agreement (Action Name = Consent Agreement).
Total Cost Recovery Settlements will be reported as the combined total of CDs, CAs, Administrative/Voluntary Cost
Recovery actions and AOCs where cost recovery has been achieved.
Changes in Definition FY 97 - FY 98:
This is a new measure.
Special Planning/Reporting Requirements:
The "Costs Achieved" and "Response Actions to be Reimbursed" or "Other Activities for Cost Recovery" must be
entered into CERCLIS. This is a new SCAP measure and will be reported in the ENFR-03 report.
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August 21, 1997
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OSWER Directive 9200.3-14-1D
PAST COSTS ADDRESSED 2 $200,000
Definition:
Past costs addressed s $200,000 is the decision to take cost recovery action by use of administrative cost recovery
settlement, Section 106/107 or 107 judicial referral for cost recovery, including settlements for past costs under a CD
(with no prior litigation referral), preparation of a decision document or 10-point settlement analysis document not to
pursue cost recovery, or bankruptcy filing.
This measure includes cost recovery actions (at NPL and non-NPL sites) for reimbursement of Trust Funds amounts of
greater than or equal to $200,000. It is vital to the management of the cost recovery program that sites with upcoming
Statute of Limitations (SOLs) be addressed prior to the expiration of the SOL. Therefore, Regions will not be allowed
to substitute FY 98 targeted sites that have SOLs occurring in FY 98 or before.
Definition of Accomplishment:
Administrative Settlements - Credit is given on the date the Regional office or DOJ receives payment from the PRPs
in direct response to a demand letter for voluntary cost recovery, or the date the Regional Administrator signs the AOC
or CA that recovers 100 percent of the Trust Fund expenditures or settles a claim where the total response cost are less
than $500,000. The accomplishment of the administrative settlement is recorded in CERCLIS as the actual completion
date (Actual Complete) of the administrative/voluntary cost recovery (Action Name = Admin/Voluntary Cost Recovery),
AOC (Action Name = Admin Order on Consent), or CA (Action Name = Consent Agreement). If the settlement is
compromised and total response costs are more than $500,000, the AOC must be sent to DOJ for approval prior to
signature by the Regional Administrator.
Section 107 or 106/107 Judicial Referrals - Credit is given on the date of the Regional Administrator's memo
transmitting the referral to DOJ or HQ [Action Name = Litigation (Generic), Section 107 Litigation, or Section 106 &
107 Litigation] as recorded in CERCLIS as the actual start date (Actual Start).
This includes CD settlements (Action Name = Consent Decree) for RD/RA with a cost recovery component or CD
settlements for cost recovery only that were not the result of a prior litigation referral. CD settlements that are for cost
recovery only and result from a previous litigation referral do not count towards this target. The start date (Actual Start)
for these actions is not reported in CERCLIS. Only the lodged (SubAction Name = Lodged by DOJ) and entered
(SubAction Name = Entered by Court) SubActions, the Sub Action actual completion date (Actual Complete), and the
actual completion date (Actual Complete) of the CD are recorded. The actual completion date of the CD is the date it
is entered by the court.
Decision Documents not to Pursue Cost Recovery - Credit is given when the decision document (Action Name = Cost
Recvry Decsn Docmt - No Sue) is signed by the Regional office and recorded in CERCLIS as the actual completion date
(Actual Complete). The decision not to pursue cost recovery also may be documented in a 10-point settlement analysis.
This decision is coded in CERCLIS with the enforcement instrument by checking the "Cost Written Off flag. For both
the Cost Recovery Decision Document Not to Sue and the enforcement instrument 10-point settlement analysis, the past
costs that will not be recovered (Past Costs), the "Response Action Costs Written Off and the reason the costs were
written off should be reported in CERCLIS.
Bankruptcy Filing - Credit is given based on the date that the bankruptcy strategy package is prepared or on the date
of the first creditor committee meeting as documented by the summary of the meeting. These dates are reported in
CERCLIS as the SubAction "Creditors Committee Meeting" and/or "Bankruptcy Strategy Package" actual completion
dates (Actual Complete). These SubActions are entered with the Claim in Bankruptcy action. For each Claim in
Bankruptcy, the "Past Costs Sought" must be entered into CERCLIS.
Changes in Definition FY 97 - FY 98:
Cashout Settlements and Initiation of Debt Procedures were deleted from this target.
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Special Planning/Reporting Requirements:
See Definition of Accomplishment. All dates must be entered into CERCLIS. Credit for referrals is based on the referral
package, not on the number of sites. Credit will be withdrawn if a case is returned to the Region by DOJ or HQ for
additional work, but will be reinstated upon re-referral. For each settlement, the Region must enter the following
information into CERCLIS: " Costs Achieved" and "Response Actions to be Reimbursed" or "Other Activities for Cost
Recovery". For each judicial referral, Regions must enter the following information: "Amount Sought" and "Response
Actions to be Reimbursed" or "Other Activities for Cost Recovery." For each decision not to pursue cost recovery, the
following information must be entered: "Past Costs" (Costs Written Off), "Response Action Costs Written Off and
Rationale for Cost Write-Off. This is a SCAP target.
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OSWER Directive 9200.3-14-1D
FY 98 ENFORCEMENT REFORMS
OVERVIEW OF ENFORCEMENT REFORMS
Over the past several years, EPA's Superfund Enforcement Program has been very successful in reaching settlements
with PRPs. As a result of these efforts, PRPs now conduct the majority of cleanups throughout the United States. PRP
site cleanup commitments have exceeded $1 billion per year for three of the past five years.
Despite this success, the Superfund program has been criticized in the past by the Inspector General (IG),
Government Accounting Office (GAO), the PRP community, and the general public for failing to have a successful
program. To improve the Superfund program prior to reauthorization by the U.S. Congress, EPA has issued three rounds
of administrative reforms. These rounds highlight enforcement reforms, improved cleanup effectiveness and efficiency,
expanded community involvement and environmental justice, and enhanced State and local government roles in the
Superfund program. In October 1995, EPA issued the third round of Superfund Reforms. These reforms were intended
to assist Regions, State and local governments, communities, and private parties involved in Superfund cleanups to more
easily make cost effective choices that protect human health and environment, increase fairness, reduce transaction costs
and help communities to become more involved and informed during the cleanup decision making phase of the process.
The initial Measures of Success (MOS) were developed in FY 96 to address these reform requirements. Additional
measures were added in FY 97 to address the third round of reforms. Two of the measures have been identified as targets
in FY 98. These measures seek to provide a more complete picture of enforcement-related successes and
accomplishments at Superfund sites.
Note: Information that is in bold and italicized type is currently being translated into discrete, reportable data elements.
It cannot be reported in CERCLIS 3 as of the date of distribution of this manual.
ENFORCEMENT REFORMS DEFINITIONS
USE OF ALTERNATIVE DISPUTE RESOLUTION (ADR)
Definition:
This measure reports the number of sites where ADR techniques are employed in an attempt to reach settlement under
CERCLA. Sites using ADR tools are divided into two categories: sites where the Agency employs and funds ADR in
the CERCLA process; and sites where the Agency supports private party use of ADR in the CERCLA process. ADR,
is a tool that is being used to increase enforcement fairness. This measure will report site-specific use of ADR.
Definition of Accomplishment:
Credit is given for ADR activities when:
• Allocation of Shares of Responsibility - The parties involved choose a neutral allocator. The date on which the
allocator is chosen is recorded in CERCLIS as the actual start date (Actual Start) of the Alternative Dispute
Resolution action. The ADR type of "Allocation" should also be entered.
• Arbitration - The parties involved in binding or advisory negotiation (in a judicial setting) choose an arbitrator. The
date on which the arbitrator is selected is recorded in CERCLIS as the actual start date (Actual Start) of the
Alternative Dispute Resolution action. The ADR type of "Arbitration"should also be entered.
• Convening - A neutral third party is selected to organize disputants for negotiations, assist them in the decision to
use ADR, and assist in the selection of an ADR professional. The date on which the neutral third party is selected
is recorded in CERCLIS as the actual start date (Actual Start) of the Alternative Dispute Resolution action. The
ADR type of "Convening" should also be entered.
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OSWER Directive 9200.3-14-1D
• Fact Finding - A specialized neutral party with subject matter expertise is selected to resolve technical or factual
issues. The date that the specialized neutral party is selected is recorded in CERCLIS as the actual start date (Actual
Start) of the Alternative Dispute Resolution action. The ADR type of "Fact Finding" should also be entered.
• Mediation - The parties select a neutral third party with no decision-making authority to assist during non-binding
negotiations. The date on which the neutral party is selected is recorded in CERCLIS as the actual start date (Actual
Start) of the Alternative Dispute Resolution action. The ADR type of "Mediation" should also be entered.
• Mini-Trial - The involved parties begin the mini-trial. The date on which the mini-trial begins is recorded in
CERCLIS as the actual start date (Actual Start) of the Alternative Dispute Resolution action. The ADR type of
"Mini-Trial" should also be entered.
• Neutral Evaluation - A neutral party is selected to assist a negotiation team in evaluating the potential for settlement
or use of ADR professionals. The date on which the neutral party is selected is recorded in CERCLIS as the actual
start date (Actual Start) of the Alternative Dispute Resolution action. The ADR type of "Neutral Evaluation" should
also be entered.
• Settlement Judge - A settlement judge (other than the one hearing the case) is selected (or agreed upon) to act as
a mediator during the negotiation and settlement discussions of the parties. The date on which the settlement judge
is selected is recorded in CERCLIS as the actual start date (Actual Start) of the Alternative Dispute Resolution
action. The ADR type of "Settlement Judge" should also be entered.
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
This is a Federal enforcement-lead (FE) activity with an action name of "Alternative Dispute Resolution". The response
actions being discussed during the ADR process ("Response Actions Selected") and the ADR type are to be entered into
CERCLIS.
Credit will be based on the start date (Actual Start) of the ADR (Action Name = Alternative Dispute Resolution).
SETTLEMENTS WHERE EPA SETTLED BASED ON ABILITY-TO-PAY
DETERMINATIONS
Definition:
The measure will help assess the extent to which EPA is using ability-to-pay determinations to achieve its goal of
Enforcement Fairness. The measure will report the percentage of administrative or judicial settlements that are reached
under CERCLA with PRPs qualified as limited ability-to-pay parties. This type of settlement results in: (1) PRPs paying
less than their respective portion of the cost for site cleanup based on an ability-to-pay determination; (2) Payment over
time for parties with limited ability to raise annual revenues; or (3) Parties providing in-kind service in lieu of cash
payments.
Definition of Accomplishment:
Total ability-to-pay settlements are counted as follows:
• When an AOC (Action Name = Admin Order on Consent) with the ability-to-pay PRPs is signed by the Regional
Administrator and reported in CERCLIS as the actual completion date (Actual Complete).
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OSWER Directive 9200.3-14-1D
• When the Regional Administrator signs the memorandum transmitting the CD (Action Name = Consent Decree)
signed by the ability-to-pay parties (and the Regional Administrator) to DOT or HQ as reported in CERCLIS as the
actual start date (Actual Start).
Changes in Definition FY97-FY98:
None.
Special Planning/Reporting Requirements:
The following information should be entered into CERCLIS:
- An Enforcement Instrument of "Ability to Pay" or, if the ability to pay settlement is a cashout, an Enforcement
Instrument Category of "Ability to Pay/Cashout";
"Past Cost Achieved" and/or "Cashout Funds Achieved"; and
"Response Actions to be Reimbursed" or "Other Activities for Cost Recovery".
RECOVERABLE PAST COSTS THAT HAVE BEEN ADDRESSED PROGRAM TO DATE
Definition:
This measure supports the goal of Trust Fund Stewardship by reporting the amount and percentage of recoverable past
costs that'were addressed versus all recoverable past costs (i.e., past costs eligible for recovery, program-to-date). The
measure encourages addressing all of the recoverable past costs through enforcement activities so that the maximum
amount of recoverable funds can be obtained to support Superfund cleanups.
Recoverable past costs are past costs that are considered potentially recoverable. These costs include EPA direct and
indirect costs, plus contractor program management costs which are allocated to sites annually.
Some Superfund past costs are considered unrecoverable, including funds expended at orphan sites, Federal facilities
costs, costs that were compromised during previous cost recovery efforts, and costs that were previously written off
Indirect costs over and above those that are recoverable under the current indirect rates are also considered not
recoverable.
Past Costs Addressed are costs addressed through administrative settlements, Section 107 or 106/107 judicial referrals
including settlements for past costs under a CD, decision documents or 10-point settlement analysis documents not to
pursue cost recovery, or bankruptcy filing. Depending on the enforcement action, the "Past Costs Achieved," "Past Costs
Written Off," or "Past Costs Sought" must be entered into CERCLIS.
Recoverable Past Costs include all past costs at the site, regardless of cost recovery status or previous cost recovery
efforts. Recoverable costs include direct response costs, indirect costs allocated to the site using the applicable indirect
rates, an estimate of contractor program management costs as allocated to the site, and any other costs charged to the
site, as indicated by the Integrated Financial Management System (IFMS) or the Superfund Cost Organization and
Recovery Enhancement System (SCORES).
The percentage of recoverable past costs addressed is the amount of past costs addressed compared to the estimated total
amount of recoverable past costs.
Definition of Accomplishment:
Cost may be addressed through one or more of the following actions:
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Administrative Settlements - Credit is given on the date the Regional office or DOJ receives payment from the PRPs
in direct response to a demand letter for voluntary cost recovery, or the date the Regional Administrator signs the AOC
or CA that recovers 100 percent of the Trust Fund expenditures or settles a claim where the total response cost are less
than $500,000. The accomplishment of the administrative settlement is recorded in CERCLIS as the actual completion
date (Actual Complete) of the administrative/voluntary cost recovery (Action Name = Admin/Voluntary Cost Recovery),
AOC (Action Name = Admin Order on Consent), or CA (Action Name = Consent Agreement). If the settlement is
compromised and total response costs are more than $500,000, the AOC must be sent to DOJ for approval prior to
signature by the Regional Administrator.
Section 107 or 106/107 Judicial Referrals - Credit is given on the date of the Regional Administrator's memo
transmitting the referral to DOJ or HQ [Action Name = Litigation (Generic), Section 107 Litigation, or Section 106 &
107 Litigation] as recorded in CERCLIS as the actual start date (Actual Start).
This includes CD settlements (Action Name = Consent Decree) for RD/RA with a cost recovery component or CD
settlements for cost recovery only that were not the result of a prior litigation referral. CD settlements that are for cost
recovery only and result from a previous litigation referral do not count towards this target. The start date (Actual Start)
for these actions is not reported in CERCLIS. Only the lodged (SubAction Name = Lodged by DOJ) and entered
(SubAction Name = Entered by Court) SubActions, the SubAction actual completion date (Actual Complete), and the
actual completion date (Actual Complete) of the CD are recorded. The actual completion date of the CD is the date it
is entered by the court.
Decision Documents not to Pursue Cost Recovery - Credit is given when the decision document (Action Name = Cost
Recvry Decsn Docmt - No Sue) is signed by the Regional office and recorded in CERCLIS as the actual completion date
(Actual Complete). The decision not to pursue cost recovery also may be documented in a 10-point settlement analysis.
This decision is coded in CERCLIS with the enforcement instrument by checking the "Cost Written Off flag. For both
the Cost Recovery Decision Document Not to Sue and the enforcement instrument 10-point settlement analysis, the past
costs that will not be recovered (Past Costs), the "Response Action Costs Written Off and the reason the costs were
written off should be reported in CERCLIS.
Bankruptcy Filing - Credit is given based on the date that the bankruptcy strategy package is prepared or on the date
of the first creditor committee meeting as documented by the summary of the meeting. These dates are reported in
CERCLIS as the SubAction "Creditors Committee Meeting" and/or "Bankruptcy Strategy Package" actual completion
dates (Actual Complete). These SubActions are entered with the Claim in Bankruptcy action. For each Claim in
Bankruptcy, the "Past Costs Sought" must be entered into CERCLIS.
Changes in Definition FY 97 - FY 98:
Deleted the cashout settlement from the measure.
Special Planning/Reporting Requirements:
See Definition and Definition of Accomplishment.
PROSPECTIVE PURCHASER AGREEMENTS (PPAs)
Definition:
This measure will report progress toward the goals of Enforcement Fairness and redevelopment of contaminated
properties. Redevelopment of contaminated properties is facilitated by providing protection from CERCLA liability to
prospective purchasers of contaminated property.
This measure counts the total number of Prospective Purchaser Agreements.
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OSWER Directive 9200.3-14-1D
For EPA to consider entering into a PPA, the agreement must result in: (1) A substantial direct benefit to the Agency
in terms of cleanup or funds for cleanup; or (2) A substantial indirect benefit to the community coupled with a lesser
direct benefit to the Agency.
Definition of Accomplishment:
Credit is given for a PPA based on the date (Actual Complete) the AOC or CA (Action Name = Admin Order on Consent
or Consent Agreement) is signed by the Regional Administrator. Regions also must enter the Enforcement Instrument
Category to indicate a PPA (Enf Instrument Category = Prospective Purchaser Agreement).
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
For each settlement, the Region must enter the following information into CERCLIS to receive credit for the
accomplishment: "Estimated Present Worth Value" and "Response Actions Achieved," and/or "Past Cost Achieved",
"Cashout Funds Achieved", and "Response Actions to be Reimbursed", or "Other Activities for Cost Recovery" and an
Enforcement Instrument Category of "Prospective Purchaser Agreement".
NUMBER AND AMOUNT OF CERCLA PENALTIES ASSESSED
Definition:
This measure supports the goal of Trust Fund Stewardship by providing information on the amount and number of final
CERCLA penalties assessed. The measure identifies monies that are provided for the Trust Fund as a result of penalties
assessed for violations of the CERCLA statute. The measure also supports the systematic reporting on the programmatic
impacts of compliance and enforcement.
This measure is expressed as the dollar amount of the final assessed penalty under CERCLA. For civil judicial cases,
this amount is the penalty assessed against the defendant(s) as specified in the Consent Decree or Court Order entered
by the court. For administrative cases, it is the penalty assessed in the final AOC or UAO.
The number of CERCLA penalties assessed is the number of civil, judicial, or administrative enforcement actions where
a penalty was assessed under a CERCLA statute.
Definition of Accomplishment:
• The number of CERCLA penalties assessed is the total number of enforcement actions (CDs, AOCs, UAOs,
judgements, or court orders) where a penalty was assessed under a CERCLA statute, including actions that are only
for CERCLA or multi-media actions th'at contain a CERCLA component.
• The value of CERCLA penalties assessed is the total dollar amount of penalties assessed under the CERCLA statute
for violations of requirements contained in civil, judicial, and administrative enforcement actions. If the
enforcement action consists of multi-media actions, this measure will only include the amount that is assessed under
the CERCLA statute, to the extent that it can be specified.
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
The "Penalty Assessed Amount" should be entered into CERCLIS with the enforcement instrument. The number and
value of CERCLA penalties will be obtained from the Office of Compliance using information reported on Case
Conclusion Data Sheets.
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OS WER Directive 9200.3-14-1D
NUMBER AND AMOUNT OF SUPPLEMENTAL ENVIRONMENTAL PROJECTS (SEPs)
AGREED UPON UNDER CERCLA
Definition:
SEPs are environmentally beneficial projects which a violator agrees to undertake in settlement of an enforcement action,
but which the violator is not otherwise legally required to perform. The SEP could be for public health, pollution
prevention, pollution reduction, environmental restoration and protection, assessments and audits, environmental
compliance promotion, emergency planning and preparedness, or other program-specific projects.
This measure supports the goal of Trust Fund Stewardship by measuring the number and value of SEPs under CERCLA.
The measure provides the opportunity for the violator to undertake environmentally beneficial projects that will
potentially prevent the creation of additional Superfund sites, thus avoiding the need fpr using Trust Fund monies for
future cleanups. The measure also supports the systematic reporting on the programmatic impacts of compliance and
enforcement.
Definition of Accomplishment:
• The number of CERCLA SEPs is the total number of cases where a SEP was agreed upon under a CERCLA statute,
including cases that are only for CERCLA or multi-media cases that contain a CERCLA component.
• The value of the CERCLA SEPs agreed upon is the estimated value of the SEP under the CERCLA statute for civil,
judicial, and administrative enforcement actions. If the action is a multi-media action, the SEP will be the total value
for all media not just media covered under CERCLA.
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
The following information should be entered into CERCLIS with the enforcement instrument: the SEP "EPA Estimated
Value" and SEP "Category." The number and value of SEPs agreed upon under CERCLA will be obtained from the
Office of Compliance using the information reported on the Case Conclusion Data Sheet.
NONCOMPLIANCE WITH CONSENT DECREES, ADMINISTRATIVE ORDERS ON
CONSENT, AND UNILATERAL ADMINISTRATIVE ORDERS
Definition:
This measure identifies the number and percentage of enforcement instruments where PRPs have not complied with a
requirement of the instrument. Enforcement instruments include CDs, AOCs, and UAOs with a response action
component. "Noncompliance" is defined as the PRP's failure, or refusal, to comply with a provision of an enforcement
instrument, or a provision of an incorporated reference document such as a work plan.
Definition of Accomplishment:
This measure is to be reported for each type of formal enforcement instrument as follows:
• Consent Decrees - The number of active lodged CDs (Action Name = Consent Decree) that contain response action
provisions (Response Actions Achieved) where the settling PRP has failed or refused to comply with one or more
provisions of the CD, or with provisions of any other document incorporated by reference "(Overall Compliance
Status = In Violation - No Action Planned, or In Violation - Action Planned, or In Violation - Action Taken). The
actual date (Actual Complete) the CD is lodged (SubAction Name = Lodged by DOJ) is the earliest date that could
trigger the settling PRP's response action obligation. The measure will be reported by fiscal year and quarter
(Current FY/Q).
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OSWER Directive 9200.3-14-1D
The percentage is the number of active signed CDs containing response action provisions for which there is
noncompliance (as defined above) divided by the total number of active lodged CDs containing response action
provisions (Overall Compliance Status = In Compliance, or In Violation - No Action Planned, or In Violation -
Action Planned, or In Violation - Action Taken).
• Administrative Orders on Consent (AOCs) - The number of active signed AOCs (Action Name = Admin Order on
Consent) that contain response action provisions (Response Actions Achieved) where the PRP has failed or refused
to comply with any provision of the AOC, or provisions of any other document incorporated by reference (Overall
Compliance Status = In Violation - No Action Planned, or In Violation - Action Planned, or In Violation - Action
Taken). The date the Regional Administrator signs the AOC (Actual Complete) is the earliest date that could trigger
the settling PRPs response action obligation. The measure will be reported by fiscal year and quarter (Current
FY/Q).
The percentage is the number of active signed AOCs containing response action provisions for which there is
noncompliance (as defined above) divided by the number of AOCs containing response action provisions (Overall
Compliance Status = In Compliance, or In Violation - No Action Planned, or In Violation - Action Planned, or In
Violation - Action Taken).
• Unilateral Administrative Orders (UAOs) - The total number of active UAOs (Action Name - Unilateral Admin
Order) that contain response action provisions (Response Actions Achieved) for which the PRP has failed or refused
to comply with any provision of the UAO or provisions of any other document incorporated by reference (Overall
Compliance Status = In Violation - No Action Planned, or In Violation - Action Planned, or In Violation - Action
Taken, or the UAO does not have an associated SubAction of "PRPs Ntfy EPA, Intent to Comply" with an actual
complete date). The date by which the PRPs have been requested to provide notice of intent to comply is the earliest
date that could trigger the settling PRPs' response action obligation. The measure will be reported by fiscal year
and quarter (Current FY/Q).
The percentage is the number of UAOs containing response action provisions for which there is noncompliance (as
defined above) divided by the number of UAOs containing response action provisions (Overall Compliance Status
= In Compliance, or In Violation - No Action Planned, or In Violation - Action Planned, or In Violation - Action
Taken).
An enforcement instrument is active until the last provision of the instrument or of another document incorporated by
reference is completed. (The AOC, UAO, or CD does not have an associated SubAction of Closed Order or Settlement
with an Actual Complete date). In addition, a UAO that is converted to a CD is no longer active.
Changes in Definition FY97-FY98:
None.
Special Planning/Reporting Requirements:
Regions must enter the Current FY/Q and the Overall Compliance Status for all enforcement instruments on a quarterly
basis. The Overall Compliance Status is based on the compliance status of the individual milestones of the enforcement
instrument.
The "Response Actions Achieved" for the enforcement instrument must be entered into CERCLIS.
The percentage of enforcement instruments where PRPs have not complied with the requirements of the instrument will
be calculated quarterly.
August 21, 1997
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NONCOMPLIANCE WITH CONSENT DECREES, ADMINISTRATIVE ORDERS ON
CONSENT, AND UNILATERAL ADMINISTRATIVE ORDERS THAT HAS BEEN
ADDRESSED
Definition:
This measure reports the number and percentage of formal response action enforcement instruments where an
"appropriate enforcement response" was taken to address PRP noncompliance with provisions of the instruments.
Response action enforcement instruments include CDs, AOCs, and UAOs that require a PRP to conduct response
activities. "Noncompliance" is defined as the PRP's failure or refusal to comply with a provision of an enforcement
instrument, or provisions of any document, such as a work plan, that might be incorporated by reference. An
"appropriate enforcement response" is defined as:
• Documentation of the violation, and notice in the file of the prospect for future enforcement action if additional
violations are documented;
• Other informal actions such as issuing warning letters or engaging in discussions with the PRPs;
« Formal enforcement actions such as issuing demands for stipulated penalties or statutory penalties or filing judicial
actions for penalties; or
• A combination of formal and informal responses.
Definition of Accomplishment:
This measure is to be reported for each type of formal enforcement instrument as follows:
• Consent Decrees - The number of active lodged CDs (Action Name = Consent Decree) that contain response action
provisions (Response Actions Achieved) for which an "appropriate enforcement response" was taken in response
to PRP noncompliance with any provision of the CD, or provisions of any other documents incorporated by
reference (Overall Compliance Status = In Violation - Action Taken). The actual date (Actual Complete) the CD
is lodged (SubAction Name = Lodged by DOJ) is the earliest date that could trigger the settling PRP's response
action obligation. The measure will be reported by fiscal year and quarter (Current FY/Q).
The percentage is the number of active CDs containing response action provisions where an appropriate enforcement
response was taken (as defined above) divided by the total number of active CDs containing response action
provisions for which there is PRP noncompliance (Overall Compliance Status = In Violation - No Action Planned,
or In Violation - Action Planned, or In Violation - Action Taken).
• Administrative Orders on Consent (AOCs) - The total number of active signed AOCs (Action Name = Admin Order
on Consent) that contain response action provisions (Response Actions Achieved) for which an appropriate
enforcement response was taken in response to PRP noncompliance with any provision of the AOC, or provisions
of any other document that might be incorporated by reference (Overall Compliance Status = In Violation - Action
Taken). The date the Regional Administrator signs the AOC (Actual Complete) is the earliest date that could trigger
the settling PRPs response obligation. The measure will be reported by fiscal year and quarter (Current FY/Q).
The percentage is the number of active AOCs containing response action provisions where an appropriate
enforcement response was taken (as defined above) divided by the number of active" AOCs containing response
action provisions for which there is PRP noncompliance (Overall Compliance Status = In Violation - No Action
Planned, or In Violation - Action Planned, or In Violation - Action Taken).
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OSWER Directive 9200.3-14-1D
• Unilateral Administrative Orders (UAOs) - The number of active signed UAOs (Action Name = Unilateral Admin
Order) that contain response action provisions (Response Actions Achieved) for which an appropriate enforcement
response was taken in response to PRP noncompliance with any provision of the UAO, or provisions of any other
documents that might be incorporated by reference (Overall Compliance Status = In Violation - Action Taken). The
date by which the Respondents have been requested to provide notice of intent to comply (SubAction = PRPs Ntfy
EPA, Intent to Comply and Actual Complete Date) is the earliest date that could trigger the settling Respondents'
response action obligation. The measure will be reported by fiscal year and quarter (Current FY/Q).
The percentage is the number of signed active UAOs containing response action provisions where an appropriate
enforcement response was taken (as defined above) divided by the number of active UAOs containing response
action provisions for which there is PRP noncompliance (Overall Compliance Status = In Violation - No Action
Planned, or In Violation - Action Planned, or In Violation - Action Taken, or the UAO does not have an associated
SubAction of "PRPs Ntfy EPA, Intent to Comply" with an actual complete date).
An enforcement instrument is active until the last provision of the instrument or of another document incorporated by
reference is completed. (The AOC, UAO, or CD does not have an associated SubAction of Closed Order or Settlement
with an Actual Complete date.) In addition, a UAO that is converted to a CD is no longer active.
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
Regions must enter the current fiscal year and quarter Current FY/Q and the Overall Compliance Status for all
enforcement instruments on a quarterly basis. The Overall Compliance Status is based on the compliance status of
individual milestones of the enforcement instrument. In addition, an appropriate enforcement response (EPA Action
Selected List) must be entered when a compliance status of In Violation - Action Taken has been entered.
The "Response Actions Achieved" for the enforcement instrument must be entered into CERCLIS.
The percentage of enforcement instruments where an appropriate response action was taken to address noncompliance
will be calculated quarterly.
ORPHAN SHARE - EPA OFFER AND COMPENSATION
Definition:
This measure reports on EPA efforts to compensate parties for the portion of the response costs attributable to insolvent
and defunct parties (orphan share). For negotiations that include RD/RA or time-critical or NTC removals, this measure
will report: 1) the number of negotiations where EPA offered to compensate for a portion of the orphan share; 2) the
estimated dollar amount of the orphan share at those sites; and 3) the amount of orphan share compensation offered by
EPA.
When settling parties agree to perform the RD/RA, or time-critical or NTC removal, this measure will report: 1) the
number of settlements where EPA compensated for a portion of the orphan share; 2) the estimated total dollar amount
of the orphan share at those sites; and 3) the actual dollar amount of the orphan shares compensated by EPA.
Orphan share compensation offers are subject to the adequacy of cleanup program funding. The method for determining
the appropriate compensation to be offered by EPA is provided in the "Interim Guidance on Orphan Share Compensation
for Settlers of Remedial Design/Remedial Action and Non-Time-Critical Removals" dated June 3, 1996.
August 21,1997 C-28
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OSWER Directive 9200.3-14-ID
Definition of Accomplishment:
Credit is given at sites for negotiations where EPA offered to compensate for a portion of the orphan share as follows:
The General Notice Letter (GNL) (for removals), first Special Notice Letter (SNL), or Letter of Eligibility for
Orphan Share Compensation (for on-going negotiations) is signed by the appropriate EPA official. This date is
reported in CERCLIS as the actual start date (Actual Start) of negotiations [Action Name = RD/RA Negotiations,
Removal Negotiations, or Negotiations (Generic)] and the actual completion date (Actual Complete) of the
appropriate SubAction (SubAction Name = General Notice Issued, Special Notice Issued, or Eligibility Letter
Issued); or '
• A Section 122(a) waiver of SNL signed by the appropriate EPA official with the intent to pursue negotiations
without moratorium procedures. This date is reported in CERCLIS as the actual start date (Actual Start) of
negotiations [Action Name = RD/RA Negotiations, Negotiations (Generic), or Removal Negotiations] and the actual
completion date (Actual Complete) of the SNL waiver (SubAction Name = Notice of S 122 Waiver Issued).
Credit is given at sites where EPA compensated for a portion of the orphan share as follows:
• A CD (Action Name = Consent Decree) and a 10-point analysis for RD or RA is signed under Section 106, 106/107,
104(a), or 104(b). The date when the Regional Administrator signs the memorandum transmitting the CD, signed
by the parties and the Regional Administrator, to DOJ is reported in CERCLIS as the actual start date (Actual Start);
or
• An AOC (Action Name = Admin Order on Consent) for a time-critical or NTC removal is signed by the Regional
Administrator. The date on which the Regional Administrator signs the AOC is reported in CERCLIS as the actual
completion date (Actual Complete). For AOCs that are amended to include a time-critical or NTC removal, the
SubAction "Enforcement Activity Amended" and the SubAction actual completion date (Actual Complete) must
be entered into CERCLIS. To signify that the AOC has been amended, the amended instrument flag (Amended
Instrument?) and the "Response Actions Added" must be entered.
The applicable "Response Actions Achieved," and "Law/Section Selected" must be entered into CERCLIS. Indicators
on the existence of an orphan share at a site and whether or not an orphan share package was offered or
compensated by EPA will be added to CERCLIS.
Changes in Definition FY97-FY98:
None.
Special Planning/Reporting Requirements:
Orphan share compensated settlements is a target. Regions will also be required to enter the minimum and maximum
total cost estimates for the orphan share (costs attributed to insolvent and defunct parties), the total costs of the
orphan share that EPA offered to compensate, the past costs compensated by EPA, and the anticipated future costs
to be compensated by EPA into CERCLIS. For the total cost estimate of the orphan share, the minimum and the
maximum of the cost range will be required. The same number will be entered for the minimum and the maximum if
the estimate is a single number.
CASHOUT SETTLEMENTS
Definition:
This measure reports the total number of administrative or judicial settlements where PRPs agree to make cash payments
toward future response costs at a site.
C-29
August 21, 1997
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OSWER Directive 9200.3-14-ID
Definition of Accomplishment:
Credit is given when:
• The Regional Administrator transmits the cashout CD (Action Name = Consent Decree) to DOJ or HQ as recorded
in CERCLIS as the actual start date (Actual Start); or
• The Regional Administrator signs the AOC (Action Name = Admin Order on Consent) for the cashout settlement
as recorded in CERCLIS as the actual completion date (Actual Completion).
Changes in Definition:
This is a new measure.
Special Planning/Reporting Requirements:
The Enforcement Instrument Category of "Cashout" (Enforcement Instrument Category = Cashout, De minimis/Cashout,
or De micromis/Cashout), "Cashout Funds Achieved" and "Response Actions to be Reimbursed" must be entered into
CERCLIS.
USE OF INTEREST BEARING SPECIAL ACCOUNTS
Definition:
This measure will help assess the extent to which EPA is able to use Special Accounts in its efforts to increase fairness
and promote PRP settlements. Special accounts became interest-bearing in FY 96. EPA is able to retain and apply the
interest from these accounts to clean up the site at which the settlement occurred. Funds deposited in Special Accounts
are immediately accessible for response costs, but may only be used to support response actions at the site(s) covered
by the settlement. This type of arrangement gives EPA more flexibility in settling the response costs that performing
PRPs are required to pay and promotes fairness by providing a way for non-performing parties, especially small parties,
to contribute to the response without long-term involvement.
For all CERCLA settlements where PRPs agree to make cash payments toward future response costs at a site (cashout),
the measure will report the following:
• The total number of settlements, and the amount of future response costs achieved;
• The number of settlements which designate funds to Special Accounts;
• The percentage of settlements that also require funds to be deposited in Special Accounts;
• The amount of funds deposited in Special Accounts; and
• The percentage of the dollars dedicated to future work that are deposited in Special Accounts.
Definition of Accomplishment:
This measure counts all settlements where any part of a PRP cash settlement is for future costs as follows:
• A signed CD (Action Name = Consent Decree) under Section 107 or 106/107 that includes a cashout provision.
The date on which the Regional Administrator signs the memorandum transmitting the CD, signed by the parties
and the Regional Administrator, to DOJ or HQ is reported in CERCLIS as the actual start date (Actual Start); or
• An AOC or CA (Action Name = Admin Order on Consent or Consent Agreement) that includes a cashout provision.
The date when the Regional Administrator signs the AOC or CA is reported in CERCLIS as the actual completion
date (Actual Complete).
August 21, 1997 C-30
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OSWER Directive 9200.3-14-ID
Data that must be entered into CERCLIS for these settlements include:
• Cash Out Funds Achieved;
• Date (Actual Complete) the Special Account is established (SubAction Name = Establish Special Account) as a
SubAction to the CD, AOC or CA (not for use in SCAP reporting);
• Enforcement Instrument Category (Enf Instrument Category = Cashout, De_ mimmw/Cashout, or De_ micromisl
Cashout);
• Response Actions to be Reimbursed; and
• Law/Section Selected.
CERCLIS 3 will also be changed to capture the cashout funds designated to a Special Account.
The percentages will be calculated as follows:
• The percentage of cash settlements that contain provisions for payment of future response costs that also require
these funds to be deposited in Special Accounts is the number of settlements that designate future response costs
to Special Accounts divided by the number of settlements that contain provisions for payment of future response
costs.
• The percentage of dollars dedicated to future work that are deposited in Special Accounts is the total dollars in
Special Accounts under all settlements divided by the total cash out dollars achieved under all settlements that
contain provisions for payment of future response costs.
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
Regions must enter the Cash Out Funds Achieved and will be required to enter the amount deposited to the special
account as specified in the enforcement instrument or 10-point settlement analysis submitted to Headquarters.
ISSUE CLEANUP ORDERS TO PARTIES IN AN EQUITABLE MANNER
Definition:
This measure shall support the Superfund Reform goal of enforcement fairness to ensure reasonable and fair issuance
of Unilateral Administrative Orders (UAOs) in accordance with the memorandum dated August 2, 1996, which
establishes procedures for documenting reason(s) for not issuing CERCLA 106 UAOs to certain PRPs. The Agency's
policy on who should receive UAOs remains that: UAOs should be issued to the "largest manageable number" of PRPs,
following consideration of the three major factors listed below.
There is insufficient evidence of the PRP's potential liability,
The PRP is not financially viable,
The party's contribution to the site (e.g., volumetric contribution or contribution in the form of prior work).
C-31 • August 21, 1997
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OSWER Directive 9200.3-14-1D
Definition of Accomplishment:
This measure will include both NPL and non-NPL sites and will report:
• The number of Unilateral Administrative Orders issued at the site. Credit is given on the date a UAO is signed by
the Regional Administrator for RD/RA, groundwater monitoring activities post ROD, institutional controls, time-
critical or NTC removal or early action (remedial authority). This date is reported in CERCLIS as the actual
completion date (Actual Complete) of the order (Action Name = Unilateral Admin Order).
• The total number of parties identified for each UAO issued.
• The number of parties excluded from the UAO.
The following information must be entered into CERCLIS:
• PRPs that were issued the UAO (PRP Name or PRP Group); and
• Response Actions Achieved under the UAO.
When available in CERCLIS, the PRPs that were excluded from the UAO (PRP Name or PRP Group) will also need
to be entered.
In addition, one or more of the following must be entered for each PRP associated with the site that was not issued a
UAO:
• Party Status of "Non-Viable confirmed";
• Not PRP Determination Made flag; and/or
• Involvement status of de minimis or de_ micromis.
Parties that have contributed to the site in the, form of prior work will be identified by looking at their involvement with
other settlements at the site.
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
This is a measure.
DE MICROMIS SETTLEMENTS AND NUMBER OF PARTIES
Definition:
This measure reports the total number of administrative or judicial settlements that are reached solely under Section
122(g) of SARA, with PRPs qualified as de micromis. It is rather unusual in that it measures success inversely. The
lower the number of de micromis settlements, the more successful the Agency's de_ micromis policy.
Definition of Accomplishment:
De micromis settlements include:
• An AOC (Action Name = Admin Order on Consent) signed by the Regional Administrator, as reported in CERCLIS,
as the actual completion date (Actual Complete).
August 21, 1997 C-32
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OSWER Directive 9200.3-14-ID
When the Regional Administrator signs the memorandum transmitting the Consent Decree (Action Name = Consent
Decree), signed by the de micromis parties and the Regional Administrator to DOT or HQ, as reported in CERCLIS,
as the actual start date (Actual Start).
The number of signatories to the settlement will be system generated in CERCLIS from the identification of the PRPs
associated with the settlement.
The following information should be entered into CERCLIS:
• Enf Instrument Category of De micromis or De. micromis/Cashoul:
• Law/Section Selected of CERCLA 122(g);
• PRPs or PRP group that signed settlement (PRP Name or PRP Group Selected); and
To indicate the de micromis parties that signed the settlement, the following information must be entered for each party:
• PRP Involvement Status of "De Micromis Party"; and '
Involvement Type of "Owner", "Operator", "Generator" or "Transporter".
Changes in Definition FY 97 - FY 98:
Added CERCLIS language for number of PRPs offered settlement. This is a new (stand alone) measure.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Accomplishments count toward the Superfund Reform "Measures of Success" for
de micromis settlements. While EPA will enter into de micromis settlements when requested, the ultimate measure of
success of this policy will be that de micromis parties are no longer pursued and there is no need to enter into such
settlements (see above).
The number of signatories to the settlement will be system generated in CERCLIS from the identification of the PRPs
associated with the settlement.
PRP OVERSIGHT ADMINISTRATION
Definition:
This measure assesses EPA's efforts to maximize the effectiveness and efficiency of its efforts to oversee PRP activities
while still ensuring that high quality cleanups are conducted by PRPs and that the public's interest is protected.
Successful PRP oversight administration results from the use of good working relationship practices that may save
oversight as well as overall cleanup time/costs for the Superfund program and PRPs. Good working relationship
practices include, but are not limited to:
• Oversight kick-off meetings at which EPA describes its expectations for PRP performance and oversight;
• Annual end-of-year discussions during which EPA and PRPs review the past year's oversight activities and discuss
future work and oversight expectations;
• Inclusion of States who have an oversight role in oversight discussions to minimize duplication of oversight efforts;
• Regular communication between PRPs and EPA on the progress of work and the oversight being conducted;
C-33
August 21, 1997
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OSWER Directive 9200.3-14-1D
• Timely communication with PRPs when the level of oversight is increased or decreased and reasons for such
changes; and
• Timely oversight billing to PRPs that includes explanation of oversight activities conducted during the billing period,
and delineation of EPA's direct in-house costs, indirect costs, extramural site-specific costs, and annual allocation
costs.
Meetings on oversight expectations should include, to the extent practicable, discussion of: 1) oversight activities
anticipated during the next billing period; 2) possible oversights costs to be incurred (which should include consideration
of projected direct oversight, State oversight, other enforcement-related, indirect, and annual allocation costs for the site,
or an estimate based on the Region's oversight experience at other sites; 3) PRP feedback about the planned oversight;
4) consideration of other stakeholder interests; and 5) parameters for EPA decisions to reduce or increase oversight.
The concept of PRP oversight administration extends the scope of the July 31, 1996, OSWER Directive (No. 9200.4-15)
"Reducing Federal Oversight at Superfund Sites with Cooperative and Capable Parties." This guidance provides criteria
for determining whether PRPs are capable and cooperative, and requires Regions to identify candidate sites for reduced
EPA oversight.
Definition of Accomplishment:
The following site-eligibility criteria should be used as an initial screen to identify sites that are eligible for this measure.
Once sites pass through this initial screen, the Regions will determine whether the sites should participate in this reform
based upon the PRPs' cooperativeness and capability, as well as, site-specific criteria. For any site that the Region
believes should be included in this reform but does not meet the following criteria, the Region must document the
rationale for including the site. Sites eligible for this measure should:
• Be in the removal, RI/FS, RD, RA, or LTRA phase of cleanup;
• Be PRP-lead under Federal oversight; and
. Have an AOC, CD, or other enforcement document in place that anticipates EPA will bill PRPs during this fiscal
year.
The target for this reform is the number of sites for which the Regions will accomplish the following objectives:
1) a) Conduct a kickoff meeting to discuss EPA's expectations for PRP performance and planned oversight
activities (required for PRPs newly participating in reform); or
b) Conduct an end-of-year discussion with the PRPs on previous and planned oversight activities (required
for PRPs continuing to participate in reform); and
2) Issue an oversight bill to the participating capable and cooperative PRPs; and
3) Send a letter to the PRPs documenting EPA's expectations for planned oversight, including any anticipated
reductions in oversight during the billing period.
The date of the accomplishment for this reform is the latest of the dates documenting completion of each of the actions.
In exceptional circumstances (e.g., the Region does not have an enforceable agreement to bill the PRPs for oversight or
the agreement specifies that the oversight bill will be issued at the end of the project, which will occur in a later fiscal
year), the Region may document its rationale to achieve the accomplishment without sending a bill to the PRPs during
the calendar year.
February 3, 1998 C-34 Change 2: Redline indicates changed text
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OSWER Directive 9200.3-14-1D
Changes in Definition FY96-FY97
This measure replaces the FY 96 measure titled Oversight Cost Savings.
Special Planning/Reporting Requirements
For sites included in this measure during FY 98, Regions will use a manual reporting form, to be provided by
Headquarters, for reporting achievement of the accomplishment. The Regions will also participate in an evaluation of
the impact of the reform for each of the participating sites. An evaluation methodology for Regions and participating
PRPs will be developed during FY 98. This documentation should be placed in the site files.
In addition to providing documentation to achieve the accomplishment of this reform, the Regions should also place the
following documentation in the site file, as applicable:
• A copy of a letter to a PRP approving PRP participation in this reform (one time only unless terminated and
reinstated); and
• If the Region decides to end PRP participation in this reform, a copy of the letter to the PRP indicating that their
participation has been terminated, and why.
C-35 August 21, 1997
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OSWER Directive 9200.3-14-1D
EXHIBIT C.2(l OF 5)
ENFORCEMENT PLANNING REQUIREMENTS
Planning Requirements
SCAP Target or Measure?
Internal Management?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in non-Site Specific
Portion of CERCLIS?
AOA Category, if Fund-
Financed?
AOA Category for
Oversight?
Basis for AOA?
PRP Search
Starts
•
Reporting
Yes
Whole Site,
Site-Specific
Enforcement
N/A
Site-Specific
Plans
PRP Search
Completions
.'
Reporting
Yes
Whole Site
Site-Specific
N/A
N/A
N/A
Sectioril04(e)
Letters Issued
-
Reporting
No
Whole Site
Site-Specific
N/A
N/A
N/A
Section 104(e)
Referrals and
Orders -Issued
-
Reporting
No
Whole Site
Site-Specific
Enforcement
N/A
Site- or non-Site
Specific Plans
EXHIBIT C.2 (2 OF 5)
ENFORCEMENT PLANNING REQUIREMENTS
Planning Requirements
SCAP Target or Measure?
Internal Management?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in non-Site Specific
Portion of CERCLIS?
AOA Category, if Fund-
Financed?
AOA Category for
Oversight?
Basis for AOA?
Issuance of
General Notice
Letters
-
Reporting
No
Operable Unit
Site-Specific
N/A
N/A
N/A
Issuanperof
SpecialMotice
Letters
-
. Reporting
No
Operable Unit
Site-Specific
N/A
N/A
N/A
ESI/RI/FS ,
Negotiation
Starts
-
Reporting
Yes
Operable Unit
Site-Specific
Enforcement
N/A
Site-Specific
Plans
RD/R&
Negotiation
Starts-
Measure
-
Yes
Operable Unit
Site-Specific
Enforcement
N/A -
Site-Specific
Plans
August 21,1997
C-36
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OSWER Directive 9200.3-14-1D
EXHIBIT C.2 (3 OF 5)
ENFORCEMENT PLANNING REQUIREMENTS
Planning Requirements
~ ' ^t , '
SCAP Target or Measure?
Internal Management?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in non-Site Specific
Portion of CERCLIS?
AOA Category, if Fund-
Financed?
AOA Category for
Oversight?
Basis for AOA?
" ^ - RD/RA "J
/^ Negotiation-
Completions
Measure
-
Yes
Operable Unit
Site-Specific
N/A
N/A .
N/A
Cleanup-,, ;
Negotiation „
Completions
Target
'
Yes
Operable Unit
Site-Specific
N/A
N/A
N/A
State Orders for
ESI/RWS
-
Reporting
No
Operable Unit
Site-Specific
N/A
N/A
N/A
. State Consent
.\. Decrees for ,„
""V RD/RA *
-
Reporting
No
Operable Unit
Site-Specific
N/A
N/A
N/A
EXHIBIT C.2 (4 OF 5)
ENFORCEMENT PLANNING REQUIREMENTS
Planning Requirements
SCAP Target or Measure?
Internal Management?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in non-Site Specific
Portion of CERCLIS?
AOA Category, if Fund-
Financed?
AOA Category for
Oversight?
Basis for AOA?
Total Response
Settlements
(including dollar
value)' -
Measure
-
Yes
Operable Unit
Site-Specific
Enforcement
N/A
Site-Specific
Plans
DeMinimis ',
Settlements and
Number of
Parties
Target
-
Yes
Operable Unit
Site-Specific
Enforcement
N/A '
Site-Specific
Plans
' Section 106,
106/107, 107
Case Resolution
Measure
-
No
Operable Unit
Site-Specific
N/A
N/A
N/A
Compilation of
Administrative
Record for
Selection of
Response Action
-
Reporting
No
Operable Unit
Site-Specific
Enforcement or
Other Response
N/A
Site- or non-Site
Specific Plans
C-37
August 21, 1997
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OSWER Directive 9200.3-14-1D
EXHIBIT C.2 (5 OF 5)
ENFORCEMENT PLANNING REQUIREMENTS
Planning Requirements
SCAP Target or Measure?
Internal Management?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in non-Site Specific
Portion of CERCLIS?
AOA Category, if Fund-
Financed?
AOA Category for
Oversight?
Basis for AOA?
Issue Demand
Letter
-
Reporting
No
Operable Unit or
Whole Site
Site-Specific
N/A
N/A
N/A
Total Cost
Recovery
-~ Settlement
(including dollar,
'value)
Measure
-
Yes
Operable Unit or
Whole Site
Site-Specific
Enforcement
N/A
Site-Specific
Plans
Past Costs
Addressed s200K
/ ^ Sj
Target
-
Yes
Operable Unit or
Whole Site
Site-Specific
Enforcement
N/A
Site-Specific Plans
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are planned and
reported quarterly.
August 21, 1997
C-38
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OSWER Directive 9200.3-14-1D
Superfund/Oil Program Implementation Manual FY 98
Appendix D: Federal Facilities
August 21, 1997
-------
OSWER Directive 9200.3-14-lD
This Page Intentionally
Left Blank
August 21,1997
-------
OSWER Directive 9200.3-14-ID
Appendix D
Federal Facilities
Table of Contents
FEDERAL FACILITIES PRIORITIES DA
Overview ^ ,
Superfund Federal Facility Goals and Priorities D_j
Strategic Federal Facility Goals j^.j
Streamlining Federal Facilities Cleanup and Oversight D_2
RCRA Activities at Federal Facility NPL Sites E>_3
BRAC Budget and Financial Guidance D_3
Resources and Tracking Mechanisms rj_3
Accountability for Resources 0_4
FACILITIES FY 98 TARGETS AND MEASURES D_6
Overview of FY 98 Federal Facilities Targets and Measures D-6
Reporting of Non-NPL Federal Facilities Data at BRAC Fast Track Sites D-6
Federal Facilities Definitions D.g
FF-1 • Base Closure Decisions rj.g
FF-2 • Federal Facility Agreement (FFA)/Interagency Agreement (IAG) Starts D-8
FF-3 • FFA/IAG Completion ...- D_9
FF-4 • Federal Facility Dispute Resolution D_9
FF-5 • Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility
Investigation (RFI) Starts rj.jo
FF-6 • Feasibility Study (FS), Corrective Measure Study (CMS), or EE/CA Starts '.'.'.'. D-l 1
FF-7 • Timespan from Final NPL Listing to RI/FS or RFI Start D-l 1
FF-8 • Decision Documents D-12
FF-9 • RI/FS or RFI/CMS Duration '.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'. D-12
FF-10 • Remedial Design (RD) or RCRA Corrective Measure Design (CMD) Starts ".'.'.'.'. D-l3
FF-11 • Remedial Design (RD) or Corrective Measure Design (CMD) Completions ." D-l3
FF-12 • Remedial Action (RA) or RCRA Corrective Measure
Implementation (CMI) Starts D_i4
FF-13 • Timespan from ROD Signature to RA Start D_14 .
FF-14 • RA or CMI Completions '.'.['.'.'.'.'.'.'"• D-15
FF-15 • RA Duration ....'.'.'.'.'.'.'.'.'.'.'.'.'.'. D-15
; FF-16 • Timespan from RI/FS Start to RA Complete D-ig
FF-17 • Removal, Early Actions (Remedial Authority), or RCRA Interim/Stabilization
Measure (ISM) — Starts and Completions D-16
ACT-7 • NPL Site Construction Completions Through Early Actions,
Long-term Actions, or RODs D-l7
FF-18 • Federal Facility Five-Year Reviews D_25
FF-19 • Federal Facility Partial NPL Deletion "... D_26
FF-20 • Federal Facility Final NPL Deletion '.[[ D_27
August 21, 1997
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OSWER Directive 9200.3-14-1D
Appendix D
Federal Facilities
List of Exhibits
EXHIBITD.l FEDERAL FACILITIES ACTIVITIES • °-7
EXHIBIT D.2 FEDERAL FACILITIES PLANNING REQUIREMENTS D-28
August 21, 1997
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OSWER Directive 9200.3-14-1D
APPENDIX D
FEDERAL FACILITIES PRIORITIES
OVERVIEW
To manage the Superfund Federal facilities program, the Federal Facilities Enforcement Office (FFEO) and the
Federal Facilities Restoration and Reuse Office (FFRRO) use the Federal Facilities Leadership Council (FFLC). The
FFLC is comprised of Regional Superfund and/or the Resource Conservation and Recovery Act (RCRA) program and
enforcement/counsel representatives from all Regions, as well as representatives from the Federal facilities Headquarters
(HQ) offices. The FFLC is co-chaired by FFEO, FFRRO, and Region 3, (lead region for Superfund Federal facilities).
The FFLC provides a forum for policy advice and direction on various Federal facility program issues.
Federal agencies conducting the cleanups have seen their budgets level out or reduced over the last few years. The
FY 98 Department of Defense's (DoD) cleanup budget request is approximately $2.1 billion—not accounting for work
at Base Closing installations, and the FY 98 Department of Energy's (DOE) environmental management budget request
is about $7.2 billion including $1 billion for privatization projects. Cleanups performed under the authority of the
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) comprise about 25% of DOE's
budget, while Waste Management activities—many of which are CERCLA-like—encompass greater than 50% of DOE's
budget. Other Federal agencies' budgets are considerably smaller. Exhibit D.I presents a "Federal Facilities Profile"
of the challenges facing the Federal government, which have been reproduced from a report from the Federal Facilities
Policy Group (FFPG), co-chaired by the Office of Management and Budget (OMB) and Council on Environmental
Quality.
With the latest round of Base Realignment and Closure (BRAC 95), there are now approximately 108 Fast Track
Cleanup Bases where EPA supports the DoD cleanup and transfer process. For FY 97, DoD provided funding for 148
FTE—approximately $13.1 million to fund these positions and related support. Comparatively speaking, this°program
is 75% the size of the Superfund Federal facilities program, excluding the contracts base. While FFRRO has provided
specific program implementation guidance for EPA's BRAC Fast Track Program, several of these program management
components are reiterated below.
SUPERFUND FEDERAL FACILITY GOALS AND PRIORITIES
Strategic Federal Facility Goals
Superfund Federal facilities activities have high visibility because of the significant threats posed by military and
weapons sites, the impact of military base closings, the resources needed to implement DoD/DOE cleanup efforts at
facilities listed on the NPL and other non-NPL facilities, and heightened State and stakeholder interest. Federal facilities
program goals for FY 98 are based on a number of related factors, including overall Superfund program community
involvement goals, anticipated resource constraints, Congressional interest, and statutory requirements. Program
activities and resources should be planned to achieve the following goals of the Federal facilities program's strategic
plan:
Involving Citizens in Environmental Decision Making - The publication of the Final Report of the Federal
Facilities Environmental Restoration Dialogue Committee in April 1996 was a watershed event for public
involvement in Federal facility cleanups. As a result of the report, Federal agencies are now actively forming
Restoration Advisory Boards (RABs) at DoD installations and Site Specific Advisory Boards (SSABs) at DOE
facilities. Other Federal agencies are also starting to form advisory boards. EPA Regional and HQ programs
need to continue to promote the formation of citizen advisory boards at NPL facilities and support, where
requested, the boards. As facility circumstances vary, the level of support will vary as well. Regional staff and
management are expected to be especially sensitive to the requests at NPL facilities and at the BRAC Fast Track
facilities. Because of resource constraints, participation and support for non-NPL facilities is expected to be
minimal. In addition, since many of the communities surrounding the Federal facilities are communities of
D-l
August 21, 1997
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OSWER Directive 9200.3-14-ID
color, low-income, and have been historically politically and economically disenfranchised, Regions should give
close scrutiny to environmental justice issues at the NPL Federal facilities. Regions need to work closely with
State agencies and their Federal counterparts to ensure that the President's Executive Order on Environmental
Justice is successfully carried out (E.O. 12898).
• Enforcing the Laws - The public needs to know that it will be protected from environmental hazards through
vigorous enforcement by the EPA and the States for violations of environmental laws and situations that put
people and natural resources at risk. EPA intends to use its Federal facility enforcement authorities not only
to compel compliance, but also to promote long-term policy objectives such as greater citizen involvement,
pollution prevention, technology development, and natural resource management.
• Preventing Pollution - Focus on pollution prevention solutions at the source instead of "at the end of the pipe."
Investing in pollution prevention saves money, minimizes environmental liability, and provides legitimate relief
from operating under onerous pollution control regulation. Executive Order 12856, signed by President Clinton
on August 3, 1993, requires Federal agencies to develop comprehensive pollution prevention strategies and seek
to reduce by 50% their emissions of toxic chemicals or toxic pollutants by 1999.
Implementation of the Base Closure Five Point Plan - Pursuant to the Congressional mandate, numerous
military bases are undergoing realignment or complete closure, with the potential for severe economic impacts
on the affected local communities. Rapid redevelopment and job creation are the top goals of this community
reinvestment program, commonly referred to as the "Five Point Plan." The program calls for the Federal
government to give priority to local economic redevelopment, provide transition and redevelopment assistance
to workers and communities, put cleanup on a Fast Track, provide transition coordinators at major bases
scheduled for closure or substantial realignment, and allocate more funds for economic development planning
grants.
• Establishing BRAC Cleanup Teams- Environmental experts from EPA, DoD, and the State, working as a
team, will be assigned to BRAC bases identified by DoD as Fast Track Cleanup sites, i.e., bases with
environmental contamination where property will be available for transfer to a community. Decision making
authority will be placed at the lowest practical level within each organization, and team members will be
empowered to make decisions to expedite the process. The teams will conduct "bottom-up" reviews of the
environmental conditions of the base, with the objective of accelerating cleanup while integrating base reuse
priorities.
Streamlining Federal Facilities Cleanup and Oversight
Considerable progress has been made in streamlining the cleanup and oversight processes at Federal
facilities. FY 98 will see continued efforts in this area. It is anticipated that the policies on establishing a lead
regulator for oversight at NPL sites and prioritization of cleanup activities will be issued. In addition, there are other
Superfund Administrative Reforms, announced in FY 95, that will be implemented at Federal sites as well as private
sitcs—among the more important ones Regions need to consider are those associated with risk assessment and
remedy selection. To adequately address environmental issues while continuing downsizing activities, the following
directions were formed to aid in appropriate program management:
• Lead Regulator - This guidance is expected by the end of FY 97. It is intended to compliment
RCRA/CERCLA integration guidance and will provide that EPA Regions work closely with their State
counterparts to eliminate or minimize overlapping regulatory jurisdictions (RCRA or CERCLA) and establish,
to the extent practicable, a lead or sole regulator at a site.
Because the overall goal of the Administration is to build partnerships with the States and have them .
assume a greater role in protecting human health and environment, Regions should work closely with their
States to have them assume a greater lead at Federal facility NPL sites where they have the capacity,
desire, and the ability to do so. We recognize that each facility has a unique set of circumstances, but we
August 21,1997 • D-2
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OSWER Directive 9200.3-14-ID
are expecting Regional program offices to make a bona fide effort to work through the lead regulator and
oversight issues with their State counterparts.
The guidance will recommend that the process should focus on up-front scoping and identification of what
is actually needed and a bias for document reduction. In general, less documentation should be required at sites
that are less complicated, sites that are using presumptive remedies, and sites where EPA, the States and external
stakeholders believe that less oversight is required.
• Prioritization - DoD Services and DOE have developed schemes to prioritize site activities based on risk and
other factors. EPA needs to work with other Federal agencies, States and outside stakeholders to ensure that
the most important activities are being addressed. As budgets are established on an annual basis, Regions
should begin to develop approaches for annual review and consider adjusting milestones based on Federal
budget constraints, new site information, cleanup progress, and other factors.
EPA nor the States are bound to absolutely follow the results of DoD's relative risk model or DOE's
qualitative risk evaluation model in establishing milestones; they should only be used to consider the outcomes
in setting priorities. There is-an important caveat to prioritization. Both DOE's and DoD's approaches for priority
setting call for active regulatory and stakeholder involvement. They also call for the explicit consideration of other
factors such as existing enforceable agreements, community interest, environmental justice, and project implementation
efficiencies. If a particular facility or installation is championing a "lock-step" adherence to their model's outcome,
Regions should first work to resolve the issue at the site level; however, if there is no progress, Regions need to bring
such situations to the attention of HQ. Based on Regional information, we have identified bases that have misinterpreted
DoD guidance and corrections have been made.
Regions should continue to strive to place these priorities and project milestones in enforceable FFAs/IAGs at NPL
sites. FFAs and lAGs should be viewed as living, dynamic documents reflecting not only the best judgments by all
parties of cleanup priorities and milestones at the time of agreement, but also that reflect the changing circumstances of
environmental cleanup. Regions should consider adding into either existing or new FFAs/IAGs the process for annual
review and consider adjusting enforceable milestones.
RCRA ACTIVITIES AT FEDERAL FACILITY NPL SITES
EPA has long recognized that since most of the Federal facilities sites are also active facilities, RCRA requirements
may also apply to certain site cleanup activities. Regions must strive to eliminate RCRA/CERCLA duplications
wherever appropriate. To get a better overall picture of a facility's cleanup activities, FFRRO has integrated into the
SCAP measures several RCRA activities that are generally analogous with CERCLA activities. They include: RCRA
Facility Investigation (RFI); Corrective Measures Study (CMS); Corrective Measure Design (CMD);
Interim/Stabilization Measure; and Corrective Measure Construction (CMC). FFRRO is engaging in a pilot effort to
merge'data from CERCLIS and Resource Conservation and Recovery Information System (RCRIS) to accomplish this.
FFEO has already accomplished a similar exercise through the Federal Facility Tracking System.
BRAC BUDGET AND FINANCIAL GUIDANCE
Resources and Tracking Mechanisms
Program management guidance is included in the BRAC Fast Track guidance. Beginning in FY 94, DoD provided
EPA, via an interagency funding agreement, with reimbursable resources to support EPA's cleanup activities. DoD,
EPA, and OMB worked together to develop the details of this agreement, which included 100 additional reimbursable
work years for EPA and $7 million starting in FY 94. In early FY 96, EPA reached agreement with DoD to fund EPA
support for BRAC 4 (1995) installations designated as Fast Track Cleanup sites. As a result, interagency funding
agreement for BRAC rounds 1, 2, 3 and 4 extends from FY 94 through FY 2000, and totals for FY 97 of $13.1 million
to fund 148 workyears.
D-3 August 21, 1997
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OSWER Directive 9200.3-14-1D
The majority of EPA's Fast Track resources (92%) are invested in the Regions. Regional personnel provide
technical assistance and guidance to DoD and States at Fast Track Cleanup sites. EPA uses Base Closure funding for
EPA personnel that participate on BRAC Cleanup Teams as either the EPA designated team member or as technical
experts and support personnel that assist the teams. EPA relies upon in-house expertise; no BRAC funds are used for
contractor support.
Regions are allocated via a workload model work years and personnel, travel, and administrative funding. The level
of EPA support varies depending on Regional and base specific circumstances. (EPA's base closure workload model
takes into account relevant data to assess the environmental condition and economic status of a Fast Track site.)
The Agency monitors these DoD reimbursable resources via the Office of the Comptroller's (OC) Integrated
Financial Management System (IFMS), which tracks HQ and Regional expenditures separately for each BRAC round.
EPA utilizes site-specific charging to track resource utilization back to actual site work. This separate tracking of BRAC
round expenditures is required by BRAC legislation. EPA reports quarterly on their utilization to DoD and annually to
the OMB. [OC, Financial Management Division (FMD), Cincinnati, Ohio invoices DoD on actual program obligations
incurred by EPA.]
HQ receives regular program activity reports from the Regional offices, every two months, on the progress of work
at all Fast Track installations. These reports are generated by the EPA Regional BRAC Cleanup Team personnel and
provide HQ and DoD with pertinent program and personnel information related to cleanup and reuse. The OC Budget
Division also provides FFRRO with a monthly "BRAC Utilization Report" generated from their agency-wide Resource
Management Integration System (RMIS).
This RMIS report details the status of expenditures by the Regional Base Closure resources, work years, personnel,
travel, and administrative funding. This reporting is done for overall program management purposes and to track
resource expenditures in each BRAC round. Regional Waste Management Directors are provided copies of the reports
and are expected to monitor the use of all BRAC resources within their respective Region.
Accountability for Resources
BRAC reimbursable work years and funding must be used only for EPA related military Base Closure activities.
Military Base Closure activities are activities related to Fast Track Cleanup of specific bases identified by the Office of
Solid Waste and Emergency Response (OSWER) (in consultation with DoD). These activities include: accelerating the
identification of clean parcels under the Community Environmental Response Facilitation Act (CERFA); developing
BRAC Cleanup Plans (BCP); promoting community involvement in cleanup decision-making; preparing and reviewing
site documents [e.g., BCP, Environmental Baseline Survey (BBS), RI/FS, RODs, RD, and RAs] and RCRA documents
(e.g., RFI Starts, CMD Starts, and IMS Starts and Completions); studying and sampling field data; NEPA review and
analysis; assisting DoD or States with BRAC site issues; and activitiessupporting EPA personnel participation in Fast
Track Cleanup. These activities are outlined in the Memorandum of Understanding between EPA and DoD dated
February 3, 1994, and subsequent memorandums and guidance related to EPA BRAC resources.
As the signatory and executing agent for the reimbursable agreement with DoD, the Assistant Administrator for
OSWER (AA SWER) will rely on Regional Administrators and, as the primary focus of the EPA BRAC resources, the
Regional RCRA/Superfund National Policy Managers to ensure reimbursable costs are accurate and appropriate. Each
Region should identify an individual in the appropriate division that will coordinate the Regional BRAC program and
resources, and can act as a day-to-day liaison with OSWER and DoD. FFRRO, within OSWER, will provide the AA
SWER with programmatic and financial reviews of specific Regions. Reprogramming of funds submitted to the OC
require notification of FFRRO for their approval.
HQ and Regional personnel utilizing BRAC resources should receive authorization from their appropriate EPA HQ
or Regional senior management and use the established BRAC budget program. The EPA Remedial Project Manager
(RPM) and the support team are empowered to make decisions locally to the maximum extent possible. EPA has
delegated certain authorities to the Regional Administrators (e.g., CERFA concurrence), who have in turn redelegated
August 21, 1997 D-4
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OSWER Directive 9200.3-14-1D
the authorities to other levels within their organizations." Regional personnel should be familiar with their internal
delegation of authorities. Should the need arise, the RPM and support team will have the ability to raise issues
immediately to senior EPA officials for resolution.
. EPA Regional Superfund or RCRA Divisions, in conjunction with the Office of Regional Counsel, Regional NEPA
teams, State environmental regulatory agencies, and DoD, will form a BRAC Cleanup Team (BCT) for each base
designated by DoD as a Fast Track base. The BCT will be comprised of one representative from the EPA Region, one
representative from the State, and one representative from DoD. The BCT will serve as the primary forum in which
issues affecting the execution of cleanup to facilitate reuse will be addressed.
Note: Additional specific BRAC information can be found in the Fast Track Program Guidance.
D-5 August 21, 1997
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OSWER Directive 9200.3-14-ID
FEDERAL FACILITIES FY 98 TARGETS AND MEASURES
OVERVIEW OF FY 98 FEDERAL FACILITIES TARGETS AND MEASURES
The Superfund Comprehensive Accomplishments Plan (SCAP) is used by the AA SWER, Assistant Administrator
for OECA (AA OECA), and senior Superfund managers to monitor the progress each Region is making towards
achieving its Superfund goals. Superfund cleanup results are tracked through targets and measures at the SCAP level
as well as internal reporting measures. Those Superfund activities not tracked at the SCAP level are monitored for
internal management purposes by HQ.
SCAP will serve as the mechanism through which OSWER will track GPRA progress. As such, the program will
set national goals based on historical performance and performance expectations within a limited budget for the four
performance goals in GPRA and track accomplishments in the activities contributing to those goals. HQ will not
establish specific Regional targets and measures for GPRA. Regions should continue to plan and report accomplishments
in CERCLIS as they have traditionally.
The differences between SCAP targets and measures remain the same (i.e., a pre-determined numerical goal versus
an activity deemed essential to tracking overall program progress, respectively). SCAP accomplishments will be pulled
from the Comprehensive Environmental Response, Compensation, and Liability Information System (CERCLIS) on a
quarterly basis. Planning measures are used to project the number of actions and activities that each Region expects to
perform during the year using anticipated resources. Reporting measures simply track the number of actions and
activities that occur throughout the year and are used to evaluate overall progress through the cleanup pipeline. Planning
measures also report accomplishments. OERR will continue to include Federal facilities accomplishments when
documenting and evaluating program progress and analyzing program trends.
The following pages contain, in pipeline order, the definitions of the FY 98 Federal facilities SCAP targets and
measures (with the prefix FF). Exhibit D.2 displays the full list of Federal facilities activities that are defined in the
remainder of the Appendix, and identifies the FY 98 SCAP targets and measures. Exhibit D.3, at the end of this
Appendix, describes the planning requirements for Federal facilities activities.
Reporting of Non-NPL Federal Facilities Data at BRAC Fast Track Sites
In the past, Regions have not been requested to provide information at non-NPL Federal facility sites. However,
beginning in FY 96, Regions have been requested to provide such information for.BRAC Fast Track sites only because
of the considerable presence of EPA at such sites.
August 21, 1997 D-6
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OSWER Directive 9200.3-14-1D
EXHIBIT D.I
FEDERAL FACILITIES ACTIVITIES
:;/ /, " - „ -'/•'
'~; f-£ ^ ACTrVI% V $
? „ ^~ f~r ,1 ~ ., S
f ^ ~«* ^ ^ ^ ^ ^
FF-1 Base Closure Decision
FF-2 FFA/IAG Starts
FF-3 FFA/IAG Completions
FF-4 Federal Facility Dispute Resolution
FF-5 RI/FS or RCRA Facility Investigation (RFI) Starts
FF-6 FS or Corrective Measure Study (CMS) or EE/CA
Start
FF-7 Timespan from Final NPL Listing to RI/FS or RFI .
Start
FF-8 Decision Documents
FF-9 RI/FS or RFI/CMS Duration
FF-10 RD or RCRA Corrective Measure Design (CMD)
Starts .
FF-1 1 RD or CMD Completions
FF-1 2 RA or Corrective Measure Implementation (CMI)
Starts
FF-1 3 Timespan from ROD Signature to RA Start
FF- 1 4 RA or CMI Completion
FF-1 5 RA Duration
FF-1 6 Timespan from RI/FS or RFI/CMS Start to RA
Complete
FF-17 Removal, ERA, or RCRA Interim/Stabilization
Measure (IMS) Starts & Completions
ACT-7 NPL Site Construction Completions through
Early Actions, Long-Term Actions, or RODS
FF-1 8 Federal Facility Five- Year Reviews
FF- 19 Federal Facility Partial NPL Deletion
FF-20 Federal Facility Final NPL Deletion
y SCAP,.,
/
\
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Target
Measure
Measure
Measure
Measure
Measure
Target
Measure
Measure
Measure
Measure
Measure
Measure
Measure
TARGETED/REPORTED
"- SEMI-, '*
ANNUALLY
X
X
X
X
X
X
•
X
-
X
X
X
-
X
-
-
X
X
-
X
X
. ANNUALLY
X
X
X
. • x
x'
X
X
X
X
X
x
X
X
X'
X
X
X
X
-
X
X
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis.
D-7
August 21, 1997
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OSWER Directive 9200.3-14-ID
FEDERAL FACILITIES DEFINITIONS
FF-1 • BASE CLOSURE DECISIONS
Definition:
A base closure action occurs when EPA is involved in either a CERFA Section 120(h)(4) uncontaminated parcel
determination, a Finding of Suitability to Transfer (POST), a Finding of Suitability to Lease (FOSL), or a determination
is made by EPA that an approved remedy is operating properly and successfully at BRAC locations pursuant to
CERFA/CERCLA Section 120(h)(3). Under CERFA/CERCLA Section 120(h)(4), the military service must designate,
and EPA/State is required to concur, property that is uncontaminated. A POST documents the conclusion that real
property made available through the BRAC process is environmentally suitable for transfer by deed under Section 120(h)
of CERCLA. A FOSL documents that property at a BRAC location is environmentally suitable for lease, i.e., that the
reuse does not impede the environmental response at the location and that the use of the property is limited to a manner
which will protect human health and the environment. Under CERCLA Section 120(h)(3), before property can be
transferred by deed, the military service must demonstrate to EPA that the approved remedy is operating properly and
successfully.
Definition of Accomplishment:
Base Closure Decision Start Date: Date that a document is received by EPA that identifies a facility or a parcel as a
candidate to be transferred by deed or lease (e.g., BBS submitted); or a clean parcel determination is received by EPA
for concurrence as required by CERFA; or the date of the written request submitted by the other Federal agency for
concurrence on suitability to transfer or lease; or the date on which a written request for EPA concurrence is received
that a 120(h)(3) remedy is operating properly and successfully.
Base Closure Decision Completion Date: The date the appropriate Regional official signs a letter, form, or memo stating
that EPA has completed its review and provided comments or concurrence on the POST or FOSL; or the date the
appropriate Regional official signs a letter, form, or memo stating that EPA has completed its review of the
demonstration that a remedy is operating properly and successfully for purposes of CERCLA section 120(h)(3); or the
date the appropriate Regional official signs a letter concurring on a clean parcel identified under CERFA.
Changes in Definition FY 97 - FY 98:
None
Special Planning/Reporting Requirements:
This is a SCAP reporting measure.
FF-2 • FEDERAL FACILITY AGREEMENT (FFA)/INTERAGENCY AGREEMENT (IAG)
STARTS
Definition:
FFAs/IAGs are legal agreements between Federal agencies responsible for cleanup, EPA, and sometimes States that set
forth detailed requirements for performance of site response activities as well as appropriate enforcement responses to
non-compliance with the FFA/LAG. FFA/IAG requirement is set forth in Section 120(e) of CERCLA.
Definition of Accomplishment:
FFA/IAG Start Date: Date notice letter is sent by EPA to the Federal facility, reported in CERCLIS as the actual start
date (Actual Start) of FFA/IAG negotiations (Action Name = IAG Negotiation).
August 21, 1997 D-8
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OSWER Directive 9200.3-14-ID
Changes in Definition FY 97 - FY 98:
None
Special Planning/Reporting Requirements:
FFA/IAG starts will be tracked as IAG negotiations (Action Name = IAG Negotiation). This is a SCAP reporting
measure.
FF-3 • FFA/IAG COMPLETION
Definition:
FFAs/IAGs are legal agreements between Federal agencies responsible for cleanup, EPA, and sometimes States that set
forth detailed requirements for performance of site response activities as well as appropriate enforcement responses to
non-compliance with the FFA/IAG. FFA/IAG requirement is set forth in Section 120(e) of CERCLA.
Definition of Accomplishment:
FFA/IAG Completion Date: Latter of the dates that the Federal agency, EPA, and/or State sign the IAG, or the date
the Letter of Intent to sign an IAG is signed by all parties. This date must be reported in CERCLIS as the actual
completion date (Actual Complete) of the FFA/IAG negotiations (Action Name = IAG Negotiation) and the actual
completion date (Actual Complete) of the FFA/IAG (Action Name = Federal Interagency Agreements).
Changes in Definition FY 97 - FY 98:
None
Special Planning/Reporting Requirements:
FFA/IAG completions will be tracked as both the completion (Actual Complete) of IAG negotiations (Action Name =
IAG Negotiation) and the completion (Actual Complete) of the FFA/IAG (Action Name = Federal Interagency
Agreement). For those FFAs/IAGs that are elevated for dispute resolution, record the date elevated as the milestone date,
Civil Litigation Referred to HQ (Action Name = Federal Interagency Agreement and SubAction Name = IAG Dispute
Admin Referral) and not as the FFA/IAG completion date. Regions do not receive credit for an FFA/IAG completion
when the FFA/IAG is elevated to HQ for dispute resolution. This is a SCAP reporting measure.
FF-4 • FEDERAL FACILITY DISPUTE RESOLUTION
Definition:
When the Federal agency, State, and/or EPA make an effort to formally or informally resolve an FFA/IAG dispute after
the FFA/IAG is signed.
Definition of Accomplishment:
Dispute Resolution Start Date: Date that any party to the FFA/IAG sends a letter to the other parties notifying them as
to the issue in dispute. This is reported in CERCLIS as the actual start date (Actual Start) of dispute resolution (Action
Name = Alternative Dispute Resolution).
Dispute Resolution Completion Date: Date the document resolving the issue is signed (e.g., letter of agreement,
agreement document). This is reported in CERCLIS as the actual completion date (Actual complete) of dispute
resolution (Action Name = Alternative Dispute Resolution).
D-9
August 21, 1997
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OSWER Directive 9200.3-14-ID
Changes in Definition FY 97 - FY 98:
None
Special Planning/Reporting Requirements:
Federal Facility Dispute Resolution is reported in CERCLIS as Alternative Dispute Resolution (Action Name =
Alternative Dispute Resolution). This is a SCAP reporting measure.
FF-5 • REMEDIAL INVESTIGATION/FEASIBILITY STUDY (RI/FS) ORRCRA
FACILITY INVESTIGATION (RFI) STARTS
Definition:
The RI/FS is a CERCLA investigation designed to characterize the site, assess the nature and extent of contamination,
evaluate potential risks to human health and the environment, and develop and evaluate potential remedial alternatives.
An RFI is a RCRA investigation designed to evaluate thoroughly the nature and extent of the release of hazardous wastes
and hazardous constituents and to gather necessary data to support the Corrective Measure Study (CMS) and/or
Interim/Stabilization Measure (ISM).
Definition of Accomplishment:
The RI/FS (Action Name = FF RI/FS or Remedial Investigation) or RFI (Action Name = RCRA Facility Investigation)
start is defined as follows:
• Sites where there has been no RI/FS or RFI work started prior to the effective date of the FFA/IAG, the actual
start date (Actual Start) is the EPA or State receipt of a draft workplan for the RI/FS or RFI; or
• Sites where RI/FS or RFI work has been started prior to the FFA/IAG effective date and there has been
substantial EPA or State involvement (EPA or the State has reviewed and commented, approved/concurred,
or accepted the workplan); the actual start date (Actual Start) is also the date of receipt of a draft RI/FS or RFI
workplan (Note: this date will be prior to IAG completion date); or .
• Sites where RI/FS or RFI work starts prior to the FFA/IAG effective date and there has been limited EPA or
State involvement, the date of the RI/FS or RFI actual start date (Actual Start) is the latter date that EPA or the
State and the other agency sign the FFA/IAG.
Changes in Definition FY 97 - FY 98:
Deleted the references to subsequent RI/FS or RFIs.
Special Planning/Reporting Requirements:
This is a SCAP planning measure. ,
August 21, 1997
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OSWER Directive 9200.3-14-1D
FF-6 • FEASIBILITY STUDY (FS), CORRECTIVE MEASURE STUDY (CMS),
or EE/CA STARTS
Definition:
The CERCLA FS is used to develop and evaluate all potential remediation alternatives to clean a hazardous waste site.
The RCRA CMS is used to develop and evaluate corrective measure alternatives and to recommend the final corrective
measure. The Engineering Evaluation/Cost Analysis (EE/CA) identifies objectives for non-time critical (NTC) response
action, and includes an analysis of cost, effectiveness, and implementability of the various alternatives that may be used
to satisfy these objectives.
Definition of Accomplishment:
The FS (Action Name = Feasibility Study), CMS (Action name = Corrective Measure Study), or EE/CA start is defined
as follows:
• Sites where there has been no FS or CMS work started prior to the effective date of the FFA/IAG, the actual
start date (Actual Start) is the EPA or State receipt of a draft workplan for the FS or CMS; or
• Sites where FS or CMS work has been started prior to the FFA/IAG effective date and there has been
substantial EPA or State involvement (EPA or the State has reviewed and commented, approved/concurred,
or accepted the workplan), the actual start date (Actual Start) is also the date of receipt of a draft FS or CMS
workplan (Note: this date will be prior to the IAG completion date); or
• Sites where FS or CMS work starts prior to the FFA/IAG effective date and there has been limited EPA or State
involvement, the FS or CMS actual start date (Actual Start) is the latter date that EPA or the State and the other
agency sign the FFA/IAG; or
• EPA concurrence/approval of the EE/CA workplan.
Changes in Definition FY 97 - FY 98:
Deleted all references to the subsequent FS or CMS.
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. FS, CMS, or EE/CA start dates are reported site specifically (Action Name =
Feasibility Study, Corrective Measure Study, or EE/CA) in CERCLIS.
FF-7 • TIMESPAN FROM FINAL NPL LISTING TO RI/FS OR RFI START
Definition:
Superfund Amendments and Reauthorization Act (SARA) Section 120(e) states "not later than six months after the
inclusion of any facility on the NPL, the department, agency, or instrumentality shall ... commence a RI/FS [or RFI] for
such facility." This measure calculates the days and the timeframe from final NPL Listing to the first RI/FS or RFI start.
Sites with timeframes greater that 180 days will be deemed not to have met this requirement.
Definition of Accomplishment:
This measure will calculate, by site, the interval between final NPL listing (publication of final listing in the Federal
Register) and the actual date for the first RI/FS or RFI start. The timespan will be calculated based on the RI/FS or RFI
start definition outlined in FF-5 RI/FS or RFI Starts, and the final NPL listing (Action Name = Final Listing on NPL)
actual completion date (Actual Complete).
Changes in Definition FY 97 - FY 98:
None
D-ll August 21, 1997
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OSWER Directive 9200.3-14-1D
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. Data in CERCLIS will be used to calculate the timespan on an annual basis. HQ will
perform the analysis.
FF-8 • DECISION DOCUMENTS
Definition:
Upon completion of a Federal facility RI/FS, CMS, or EE/CA, the Federal agency selects a remedy for the Operable Unit
(OU) that is presented in a cleanup decision document (e.g., ROD, RCRA Statement of Basis/Response To Comments
or Action Memo). EPA or the State may either approve or concur on the remedy selection or, in the case of a dispute,
they may select the remedy. For EPA, this authority has been delegated to the Regional Administrator or her/his
designee.
Definition of Accomplishment:
Date(Actual Complete) the ROD (Action Name = Record of Decision), the appropriate RCRA Statement of
Basis/Response To Comments (Action Name = RCRA SB/RTC), or Action Memo (Action Name = Approval of Action
Memo) is signed by the Regional Administrator/Deputy Regional Administrator or designee, or the date of EPA
concurrence/approval on the clean-up decision document pursuant to an FFA/IAG or other enforceable decision
document, or the date of EPA's letter of concurrence.
Changes in Definition FY 97 - FY 98:
None
Special Planning/Reporting Requirements:
The ROD Completion date is the same as the RI/FS completion date. The EE/CA Completion date is the same as the
Action Memo Completion date. The date of the RCRA Corrective Measure decision document is the CMS Completion
date. This is a SCAP target.
FF-9 • RI/FS OR RFI/CMS DURATION
Definition:
The RI/FS is a CERCLA investigation designed to characterize the site, assess the nature and extent of contamination,
evaluate potential risks to human health and the environment, and develop and evaluate potential remediation
alternatives. RFIs are RCRA investigations designed to evaluate the nature and extent of hazardous releases and to
gather necessary data to support a CMS. The CMS uses this data to develop and evaluate alternative cleanup approaches
and ultimately recommend a final corrective measure.
The objective of this measure is to focus on good project management of a critical portion of the remedial pipeline and
assess program performance. Duration trends provide indicators of areas that may require attention.
Definition of Accomplishment:
The RI/FS or RFI/CMS duration is calculated based on the RI/FS or RFI start and RI/FS or CMS completion definitions
specified in FF-5, FF-6, and FF-8 . Sites where an RI/FS is actually completed in FY 98 will be used in the analysis.
Performance will be assessed by comparing:
• The Regional and national average duration of RI/FS projects completed in FY94, FY95, FY96, and RI/FS or
CMS projects completed in FY 97; with
• The Regional and national average duration of RI/FS or CMS projects completed in FY98.
August 21, 1997 D-12
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OSWER Directive 9200.3-14-1D
Changes in Definition FY 97 - FY 98:
Changed the dates of studies included in the analysis.
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. Data in CERCLIS will be used to calculate durations on an annual basis. HQ will
perform the analysis.
FF-10 • REMEDIAL DESIGN (RD) OR RCRA CORRECTIVE MEASURE DESIGN (CMD)
STARTS
Definition:
The RD is aCERCLA design that establishes the general size, scope, and character of a project, and details and addresses
the technical requirements of the RA selected in the ROD. The RD may include, but is not limited to, drawings,
specification documentation, and statement of bidability and constructability. The CMD is a RCRA design that
establishes the general size, scope, and character of a project, and details and addresses the technical requirements of
the CMC selected in the RCRA Corrective Measure decision document. The CMD may include, but is not limited to,
drawings, specification documentation, and statement of bidability and constructability.
Definition of Accomplishment:
If post-ROD, the RD (Action Name = FF RD) or CMD (Action Name = Corrective Measure Design) start date (Actual
Start) is the date of submission of the RD or CMD work plan or other appropriate documents or statement of work . If
work begins prior to the ROD, the RD or CMD actual start date (Actual Start) will be the submission date of RD or CMD
work plan or any other major deliverable (e.g., 30% design complete).
Changes in Definition FY 97 - FY 98:
Deleted all references to subsequent RDs or CMDs.
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. RD or CMD starts are reported site specifically in CERCLIS.
FF-11 • REMEDIAL DESIGN (RD) OR CORRECTIVE MEASURE DESIGN (CMD)
COMPLETIONS
Definition:
A RD or CMD is complete when the plans and specifications for the selected remedy are developed and approved.
Definition of Accomplishment:
RDs and CMDs are considered complete the date a letter is signed by the appropriate Regional official approving the
entire final RD or CMD package. If EPA does not approve the final RD or CMD package, the RD or CMD is considered
complete the date of the Commerce Business Daily (CBD) or other appropriate publication requesting bids on the final
RD or CMD package. This date is reported in CERCLIS as the actual completion date (Actual Complete) of the RD
(Action Name = FF RD) or CMD(Action Name = Corrective Measure Design).
Changes in Definition FY 97 - FY 98:
None
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. RD or CMD completions are reported site-specifically (Action Name = FF RD or
Corrective Measure Design) in CERCLIS.
D-13
August 21, 1997
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OSWER Directive 9200.3-14-ID
FF-12 • REMEDIAL ACTION (RA) ORRCRA CORRECTIVE MEASURE
IMPLEMENTATION (CMI) STARTS
Definition:
A RA or CMI is the implementation of the remedy selected in the ROD or appropriate RCRA corrective measure
decision document at NPL sites to ensure protection of human health and the environment.
Definition of Accomplishment:
Date on which substantial, continuous, physical, on-site, remedial actions begin pursuant to SARA Section 120(e) as
documented by a memo or letter to EPA. This date is reported in CERCLIS as the actual RA (Action Name = FF RA)
or CMI (Action Name = Corrective Measure Implementation) start date (Actual Start).
Changes in Definition FY 97 - FY 98:
Deleted references to first and subsequent.
Special Planning/Reporting Requirements:
This is a SCAP planning measure. RA or CMI starts are reported site specifically (Action Name = FF RA or Corrective
Measure Implementation) in CERCLIS.
FF-13 • TIMESPAN FROM ROD SIGNATURE TO RA START
Definition:
The objective of this measure is to focus attention on the statutory requirement for an RA start within 15 months of the
ROD signature.
SARA Section 120(e) states that "substantial, physical, on-site remedial action shall be commenced at each Federal
facility no later than 15 months after completion of the investigation and study." This measure tracks compliance against
the CERCLA Section 120 statutory requirements.
Definition of Accomplishment:
This measure will look at Federal agency performance by comparing the average timespan from ROD signature to RA
start for all sites where an RA actually started in FY 98.
Sites exceeding the 15 month requirement will be identified. Comparisons will be made to previous Agency performance
to determine trends.
The durations will be calculated using the actual ROD (Action Name = Record of Decision) completion dates (Actual
Complete) and the actual RA (Action Name = FF RA) start dates (Actual Start) in CERCLIS. The ROD signature and
RA start definition contained in FF-8 Decision Documents and FF-11 RA or Corrective Measure Construction Starts,
respectively, will be used in the analysis.
Changes in Definition FY 97 - FY 98:
None
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. Data in CERCLIS will be used to calculate the timespan on an annual basis. HQ will
perform the analysis.
August 21, 1997 . D-14
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OSWER Directive 9200.3-14-ID
FF-14 0RAOR CMI COMPLETIONS
Definition:
A RA or CMI is complete when construction activities are complete, a final inspection has been conducted, and a RA
Report or appropriate CMI reporting vehicle has been prepared and approved by EPA for a specific OU. This report
summarizes site conditions and construction activities for the OU. Note: this date may be later than 120(h)(3) BRAC
requirements for base closure. /
Definition of Accomplishment:
The RA or CMI is complete the date that the designated Regional official signs a letter accepting the RA Report or
appropriate CMI reporting vehicle for the RA or CMI or the date the Federal facility's construction manager submits
a signed RA Report or appropriate CMI reporting vehicle that documents the completion of all construction activities
for that OU, and that the remedy is Operational and Functional (O&F). In lieu of a report from the contractor's
construction manager, the Region must prepare a report to document the completion. The appropriate date must be
recorded in CERCLIS as the actual completion date (Actual Complete) of the RA (Action Name - FF RA) or CMI
(Action Name = Corrective Measure Implementation).
Changes in Definition FY 97 - FY 98:
None
Special Planning/Reporting Requirements:
This is a SCAP target. RA or CMI (Action Name = FF RA or Corrective Measure Implementation) completions are
reported site specifically in CERCLIS.
FF-15 »RA DURATION
Definition:
The objective of this measure is to assess the success, as well as the complexity, of the Federal Facility Superfund
program. The measure will also enable management to focus on sites where additional emphasis may need to be placed
on enhancing the pace of response activities. Duration trends provide a basis for evaluating the progress Federal agencies
are making in performing RAs in as timely a manner as possible.
Definition of Accomplishment:
This measure will look at Regional performance by analyzing the average duration from RA start to RA completion for
sites scheduled for RA completion in FY 98. Durations will be calculated using the actual RA start dates (Actual Start)
and the actual RA completion dates (Actual Complete) in CERCLIS. The RA start and RA completion definitions are
contained in FF-12 and FF-14.
Changes in Definition FY 97 - FY 98:
None
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. CERCLIS will be used to calculate RA durations on an annual basis. HQ will
perform the analysis. •, • 7 ••.."-
D-15
August 21, 1997
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OSWER Directive 9200.3-14-1D
FF-16 • TIMESPAN FROM RI/FS START TO RA COMPLETE
Definition:
The objective of this measure is to focus on the timespan of essential components of the remedial pipeline. This measure
reflects success in reducing the length of time needed to complete remedial activities at Federal facilities. Trends
analyses will address the need for continuous improvements relative to meeting Agency goals.
Definition of Accomplishment:
This measure will look at Regional performance by analyzing the average duration from RI/FS to RA completions for
Federal facility OUs scheduled for RA completion in FY 98. The timespan will be calculated using the actual RI/FS
(Action Name = FF RJ/FS or Remedial Investigation) start date (Actual Start) and the RA (Action Name = FF RA) actual
completion date (Actual Complete) in CERCLIS. The RI/FS start and RA completion definitions contained in FF-5 and
FF-14 will be used in the analysis.
Changes in Definition FY 97- FY 98:
None
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. Data from CERCLIS will be used to calculate the timespan on an annual basis. HQ
will perform the analyses.
FF-17 • REMOVAL, EARLY ACTIONS (REMEDIAL AUTHORITY), OR RCRA
INTERIM/STABILIZATION MEASURE (ISM) — STARTS AND
COMPLETIONS
Definition:
Removal actions and early actions ( remedial authority) are defined as the cleanup or removal of released hazardous
substances from the environment, and the necessary actions taken in the event of the threat of release of hazardous
substances into the environment. ISMs are defined as RCRA removal actions that are intended to abate threats to human
health and the environment from releases and/or to prevent or minimize the further spread of contamination while
long-term remedies are pursued. Regions need to report removal actions conducted in response to emergency,
time-critical, and non-time critical (NTC) situations at BRAC Fast Track non-NPL or NPL sites. Early actions (remedial
authority) are conducted in response to NTC situations. Under the Defense Environmental Restoration Program (DERP),
DoD is required to notify EPA of its removal actions. Long-term O&M should not be conducted under the removal.
Definition of Accomplishment:
Removal/Early Action/ISM Start Date: Date the Federal agency begins actual on-site removal work, or the date of
Action Memorandum signature, or the date the lead Federal agency provides notice to EPA, or other decision document
signature/approval.. The date must be reported in CERCLIS as the actual start date (Actual Start) of the removal (Action
Name = FF Removal), Early Action [Action Name = RA and Critical Indicator = (4) Early Action], or ISM (Action
Name = Interim/Stabilization Measure).
Removal/Early Action/ISM Completion Date: Actual date the Federal agency has demobilized and notified EPA,
completing the scope of work delineated in the Action Memorandum or other decision document. The date must be
reported in CERCLIS as the actual completion date (Actual Complete) of the removal (Action Name - FF Removal),
Early Action [Action Name = RA and Critical Indicator = (4) Early Action], or ISM (Action Name =
Interim/Stabilization Measure).
August 21, 1997 D-16
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OSWER Directive 9200.3-14-ID
Changes in Definition FY 97 - FY 98:
None
Special Planning/Reporting Requirements:
See Definition of Accomplishment. This is a SCAP reporting measure.
ACT-7 *NPL SITE CONSTRUCTION COMPLETIONS THROUGH EARLY ACTIONS,
LONG-TERM ACTIONS, OR RODS
Definition of Target/Measure:
Construction at a NPL site is considered complete when:
• Physical construction is complete for the entire site as a result of one or several early or long-term actions; or
• A ROD is signed for the only Operable Unit (OU) stating that no remediation is required; or
• A ROD is signed for the final OU stating that all necessary remediation was previously completed; or
• A ROD is signed for the final OU stating that the only remediation necessary is the implementation of an
institutional control(s); and
• Headquarters has confirmed appropriate documentation of construction completion.
Sites that receive credit under this measure will have no further response actions, other than the ongoing "long-
term response action" (LTRA) component of the cleanup actions being performed. Regions receive credit for
construction completion only once per site.
Accomplishments under this measure will count toward the goal of 900 site construction completions by the end of the
year 2000. • ' .
Definition of Accomplishment:
The following tables have been provided to more clearly depict coding and accomplishment requirements.
D-17
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
NPL Site Construction Completion
Through Early Actions (Remedial Authority) or Long-Term Actions
Definition of Accomplishment
Constuction activities at
all OUs are complete; and
A pre-final inspection for
the final OU has been
conducted; and
A Preliminary Site Close-
Out Report has been
prepared*; or
A Final Site Close-Out
Report has been prepared;
and
HQ has confirmed all
required documentation is
complete
Actual Completion Date
Region:
Date the designated Regional
official signs the Preliminary or
Final Superfund Site Close-Out
Report
AND
HQ:
Date HQ confirms construction
completion.
Coding Requirements
Region:
The completion date of the report
must be entered into CERCLIS as the
actual completion date (Actual
Complete) of the Preliminary
Superfund Site Close-Out Report
[Action Name = Remedial Action or
PRP RA and SubAction Name =
Prelim Close-Out Rep Prepared], or
the actual completion date (Actual
Complete) of the Final Superfund Site
Close-Out Report [Action Name =
Remedial Action or PRP RA and
SubAction Name = Close Out Report]
AND
HQ:
The construction completion indicator
and the date HQ confirms that
construction is complete must be
entered into CERCLIS.
A Preliminary Superfund Site Close-Out Report is not required if the Region immediately prepares a Final
Superfund Site Close-Out Report (Action Name = Remedial Action or PRP RA and SubAction Name = Close
Out Report). Refer to "Close-Out Procedures for NPL sites" for additional information.
August 21, 1997
D-18
-------
OSWER Directive 9200.3-14-1D
- RODs that Document Construction Completion'
*••* ' '- "'
"\ \ , , (There should be no further early or long-term actions •;-,'..
% - ' , conducted at the site after these RODs are signed.) --7^ ^.^v-
Definition of Accomplishment
ROD is signed for the final
Operable Unit (OU) with no
previous RAs stating that no
physical construction is required.
AND
HQ has received appropriate
documentation of construction
completion.
Actual Completion Date
Region:
Date Regional Administrator/
Deputy Regional
Administrator signs the ROD.
AND
HQ:
Date HQ confirms
construction completion.
Coding Requirements
Region:
Regions enter the following into
CERCLIS: The date of the ROD
signature as the actual completion date
(Actual Complete) of the ROD (Action
Name = Record of Decision); the
Alternative Name; the Media Name; the
Media Type (Groundwater, Leachate,
Liquid Waste, Other, Sediment, Sludge,
Soil, Solid Waste, Surface Water); a
Selected Response Action(s) of No
Action and the actual completion date
(Actual Complete) of the Final
Superfund Site Close-Out Report
(Action Name = Record of Decision and
Sub Action Name = Close Out Report).
AND
HQ:
The construction completion indicator
and date HQ confirms that construction
is complete must be entered into
CERCLIS.
NOTE: The RPM does not need to prepare a Preliminary Close-Out Report (PCOR) and should instead place the
certification of completion in the ROD. A ROD that includes a construction completion certification is
equivalent to a Final Superfund Site Close-Out Report. The ROD actual completion date should be
the same as the Final Superfund Site Close-Out Report actual completion date.
D-19
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
RODs that Document Construction Completion (Cont'd)
(There should be no further early or long-term actions
conducted at the site after these RODs are signed;)
Definition of Accomplishment
ROD is signed for the final OU
stating that all physical construction
is complete. The ROD must
include a construction completion
certification or a Separate Final
Superfund Site Close-Out Report
must be prepared and signed by the
Regional Administrator.
AND
HQ has received appropriate
documentation of construction
completion.
Actual Completion Date
Region:
Date Regional Administrator/
Deputy Regional
Administrator signs the ROD
or the date the Regional
Administrator signs the Final
Superfund Site Close-Out
Report.
AND
HQ:
Date HQ confirms
construction completion.
Coding Requirements
Regions enter the following into
CERCLIS:
RODs with a construction completion
certification - The date of ROD
signature as the actual completion date
(Actual Complete) of the ROD (Action
Name = Record of Decision); the
Alternative Name; the Media Name; the
Media Type (Groundwater, Leachate,
Liquid Waste, Other, Sediment, Sludge,
Soil, Solid Waste, Surface Water); a
Selected Response Action of No Further
Action or No Action; and the actual
completion date (Actual Complete) of
the Final Superfund Site Close-Out
Report (Action Name = Record of
Decision and SubAction Name = Close
Out Report).
AND
HQ:
The construction completion indicator
and date HQ confirms that construction
is complete must be entered into
CERCLIS.
[Continued on Next Page]
NOTE: A ROD that includes a construction completion certification is equivalent to a Final Superfund Site
Close-Out Report. The ROD actual completion date should be the same as the Final Superfund Site
Close-Out Report actual completion date.
August 21, 1997
D-20
-------
OSWER Directive 9200.3-14-1D
„ RODs that Document Construction Completion (Cont'd) _ . s<*
'**\
-------
OSWER Directive 9200.3-14-1D
RODs that Document Construction Completion (Cont'd)
(There should be no further early or long-term actio'ns
conducted at the site after these RODs are signed.)
Definition of Accomplishment
A Limited Action ROD is signed
for the final OU stating thatthe
only activities performed were
natural attenuation of the
groundwater, implementation of
institutional controls, or
groundwater monitoring. The ROD
must include a construction
completion certification or a
separate Final Superfund Site
Close-Out Report must be prepared
and signed by the Regional
Administrator.
AND
HQ has received appropriate
documentation of construction
completion.
Actual Completion Date
Region:
Date Regional Administrator/
Deputy Regional Administrator
signs the ROD or the date the
Regional Administrator signs
the Final Superfund Site Close-
Out Report.
AND
HQ:
Date HQ confirms construction
completion.
•
Coding Requirements
Regions enter the following into
CERCLIS:
RODs with a construction completion
certification - The date of the ROD
signature as the actual completion date
(Actual Complete) of the ROD (Action
Name = Record of Decision); the
Alternative Name; the Media Name;
the Media Type (Air, Groundwater,
Leachate, Liquid Waste, Other,
Residuals, Sediment, Sludge, Soil,
Solid Waste, Surface Waste); the
Selected Response Action(s) [Access
Restriction, Access Restriction -
Guards, Access Restriction - Fencing,
Deed Restriction, Drilling Restriction,
Fishing Restriction, Institutional
Controls Not Otherwise Specified
(N.O.S.), Land Use Restriction,
Monitoring, Recreational Restriction,
Revegetation, Swimming Restriction,
Water Supply Use Restriction, Natural
Attenuation or Monitoring]; and the
actual completion date (Actual
Complete) of the Final Superfund Site
Close-Out Report (Action Name =
Record of Decision and SubAction
Name = Close Out Report).
AND
HQ:
HQ adds construction completion
indicator and the construction
completion date.
[Continued on Next Page]
NOTE: A ROD that includes a construction completion certification is equivalent to a Final Superfund Site
Close-Out Report. The ROD actual completion date should be the same as the Final Superfund Site
Close-Out Report actual completion date.
August 21,1997
D-22
-------
OSWER Directive 9200.3-14-1D
*RODs that Document Construction Completion (Cont'd)
,, -'- v " * * "> " ,
(There should be no further; early or long-term ^actions
'-•'*, conducted at the^site afterthese^RODsTare'signed.) "
Definition of Accomplishment
Actual Completion Date
Coding Requirements
[Continued From Previous Page]
A Limited Action ROD is signed
for the final OU stating that the
only activities performed were
natural attenuation of the
groundwater, implementation of
institutional controls, or
groundwater monitoring. The ROD
must include a construction
completion certification or a
separate Final Superfund Site
Close-Out Report must be prepared
and signed by the Regional
Administrator.
AND
HQ has received appropriate
documentation of construction
completion.
[Continued From Previous Page]
Region:
Date Regional Administrator/
Deputy Regional Administrator
signs the ROD or the date the
Regional Administrator signs the
Final Superfund Site Close-Out
Report.
AND
HQ:
Date HQ confirms construction
completion.
[Continued From Previous Page]
Regions enter the following into
CERCLIS:
RODs with separate Final
Superfund Site Close-Out Report -
the actual completion date (Actual
Complete) of the ROD (Action
Name = Record of Decision); the
Alternative Name; the Media
Name; the Media Type (Air,
Groundwater, Leachate, Liquid
Waste, Other, Residuals, Sediment,
Sludge, Soil, Solid Waste, Surface
Waste); the Selected Response
Action(s) [Access Restriction,
Access Restriction - Guards, Access
Restriction - Fencing, Deed
Restriction, Drilling Restriction,
Fishing Restriction, Institutional
Controls Not Otherwise Specified
(N.O.S.), Land Use Restriction,
Monitoring, Recreational
Restriction, Revegetation,
Swimming Restriction, Water
Supply Use Restriction, Natural
Attenuation or Monitoring ]; and
the actual completion date (Actual
Complete) of the Final Superfund
Site Close-Out Report (Action
Name - Record of Decision and
SubAction Name = Close Out
Report).
AND
HQ:
HQ adds construction completion
indicator and the construction
:ompletion'date.
NOTE: The ROD actual complete date may not be the same as the Close-Out Report actual
Complete date. -
D-23
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
Early Action (Removal Authority)
" "" £
(There should be no further early or long-term actions conducted at the site>
Definition of Accomplishment
Actual Completion Date
Coding Requirements
Fund-Financed:
Contractor demobilized
(recorded in POLREP)
PRP-Financed:
Region certifies PRPs or their
contractor have completed the
early actions specified in the
Action Memorandum and fully
met the terms of AO, CD or
judgement
Both Fund- and PRP-
Financed:
A Final Superfund Site Close-
Out Report has been prepared
and signed by the Regional
Administrator/Deputy Regional
Administrator
OR
A ROD that includes a
construction completion
certification is signed for the
final OU that states that all
necessary remediation is
complete.
AND
HQ has received appropriate
documentation that confirms all
pre-requisite activities.
Region:
Date Regional
Administrator/Deputy
Regional Administrator signs
the ROD or Final Superfund
Site Close-Out Report
AND
HQ:
Date HQ confirms
construction completion.
Region enters the following into CERCLIS:
Final Superfund Site Close-Out Report-
The removal (Action Name = Removal
Action or PRP Removal) actual completion
date (Actual Complete) as reported in the
POLREP; and the early action Qualifier that
indicates that the site is Cleaned Up; and the
actual completion date (Actual Complete) of
the Final Superfund Site Close-Out Report
(Action Name = Removal Action or PRP
Removal and SubAction Name = Close Out
Report);
OR
ROD with Construction Completion
Certification - The date of the ROD signature
as the actual completion date (Actual
Complete) of the ROD .(Action Name =
Record of Decision); the Alternative Name;
the Media Name; the Media Type; a Selected
Response Action of No Action or No Further
Action; and the actual completion date
(Actual Complete) of the Final Superfund Site
Close-Out Report (Action Name = Record of
Decision and SubAction Name = Close Out
Report).
AND
HQ:
HQ adds construction completion indicator
and the construction completion date
NOTE: There should be no further early or long-term actions conducted at the site after this ROD or Close-Out
Report is signed. Regions may receive credit under this measure if LTRA is ongoing at another OU.
The ROD actual completion date should be the same as the Final Superfund Site Close-Out Report actual
completion date.
August 21, 1997
D-24
-------
OSWER Directive 9200.3-14-ID
Changes in Definition FY 97-FY 98:
Added Federal facility lead to definition of accomplishment in lieu of separate Federal facility measure.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Regions will not receive credit for a Construction Completion until the Region
enters the applicable dates into CERCLIS and submits the necessary documentation to HQ, and HQ enters the
Construction Completion indicator with a date into CERCLIS. The appropriate Critical Indicator must also be
entered into CERCLIS for early actions (removal or remedial ) — (1) Emergency,,(2) Time-Critical, (3) Non-Time
Critical, or (4) Early Action. This is a SCAP planning and reporting measure. Accomplishments under this measure will
count toward the goal of 900 NPL Construction Completions by the end of the year 2000. Regions identified sites to
meet the goal prior to the start of the FY. There is only one NPL construction completion at a site. Regions may receive
credit under both the NPL Site Completion measure and ACT-7 NPL Site Construction Completion, as a result of the
same long-term action, early action (Remedial. Authority), or ROD.
FF-18 9 FEDERAL FACILITY FIVE-YEAR REVIEWS
Definition:
Five-year reviews are intended to evaluate whether the response action implemented at a NPL site remains protective
of public health and the environment, is functioning as designed, and necessary operation and maintenance is being
performed. EPA will conduct reviews every five years at any site at which a remedy, upon attainment of the ROD or
Action Memorandum cleanup levels, will not allow unlimited use and unrestricted exposure. Five-year reviews generally
involve a site visit or documentation of conditions noted through ongoing presence at the site.
Definition of Accomplishment:
Five-Year Review Starts - Credit is given for a five-year review start when:
• EPA approves the five-year review workplan submitted by the other Federal Agency. The five-year review should
start within five years of the first RA or early action (remedial authority) start that results in any hazardous
substances, pollutants, or contaminants remaining at the site.
The actual start date (Actual Start) for the five-year review (Action Name = Five-Year Remedy Assessment) must be
entered into CERCLIS.
Five-Year Review Completions - The five-year review is complete on the date the EPA division director signs a
determination stating whether the remedy is, or is not, protective of human health and the environment. The actual
completion date (Actual Complete) for the five-year review (Action Name = Five-Year Remedy Assessment) must be
entered into CERCLIS.
The five-year review must be complete within five years of the start of on-site construction.
Changes in Definition FY 97-FY 98:
This is a new Federal facility measure in FY 98.
Special Planning/Reporting Requirements:
Five-Year Review Starts only is a SCAP reporting measure. Five-year review starts and completes must be planned and
reported site-specifically (Action Name = Five-Year Remedy Assessment) in CERCLIS. Funds are allocated in the RA
AOA.
D-25
August 21, 1997
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OSWER Directive 9200.3-14-1D
FF-19 • FEDERAL FACILITY PARTIAL NPL DELETION
Definition:
Partial deletions of releases/sites listed on the NPL were introduced during FY 96 to more fully communicate successful
cleanup of portions of these sites. Historically, EPA policy has been to delete releases only after evaluation of the entire
site. However, total site cleanup may take many years, while portions of the site may have been cleaned up and may be -
available for productive use. EPA will consider partial deletions for portions of sites when no further response is
appropriate for that portions of the site. Such portion may be a defined geographic unit of the site, perhaps as small as
a residential unit, or may be a specific medium at the site, e.g., ground water, depending on the nature or extent of the
release(s).
The criteria for partial deletion are the same as for final deletion. Given State concurrence, EPA considers:
• Whether responsible or other parties have implemented all appropriate and required response actions;
• Whether all appropriate Fund-financed responses under CERCLA have been implemented and EPA has determined
that no further cleanup by responsible parties is appropriate; or
• Whether the release of hazardous substances poses no significant threat to the public health, welfare or the
environment, thereby eliminating the need for remedial action.
The partial deletion action should only be used when the deletion does not addressall releases listed on the NPL. If a
deletion does cover the remaining release listed on the NPL, the action should be treated as a Final NPL Deletion
(Action Name = Final Deletion from NPL), discussed below. .
Definition of Accomplishment:
The partial NPL deletion process (for a portion of a site on the NPL) starts when a Notice of Intent to Delete is published
in the Federal Register for that specified portion of the site. This is reported in CERCLIS as the Actual Start date (Actual
Start) of the partial NPL deletion (Action Name = Partial Deletion from NPL).
The partial NPL deletion process (for a portion of a site on the NPL) is complete when a Notice of Deletion is published
in the Federal Register for that specified portion of the site. This is reported in CERCLIS as the Actual Completion date.
(Actual Complete) of the partial NPL deletion (Action Name = Partial Deletion from NPL).
HQ will enter the Partial Deletion from the NPL Action and the actual start and completion dates into CERCLIS.
Changes in Definition FY 97 - FY 98:
HQ is responsible for entering partial deletion starts and completions into CERCLIS.
Special Planning/Reporting Requirements:
Partial site deletions are tracked separately from entire site deletions (Action Name = Final Deletion from NPL). Partial
site deletions will be entered by HQ if a portion, or portions, of the release remain listed on the NPL following
completion of the partial deletion. When the Notice of Partial Deletion is published, HQ will change the NPL Status to
"Partially Deleted from the NPL." An entire site deletion action (Action Name = Final Deletion from NPL) will be
entered by HQ if the deletion activity addresses all releases listed on the NPL (either as a one-time deletion action for
the entire site as originally listed, or as the last deletion activity associated with a site subject to previous partial
deletions). This is a SCAP reporting measure.
February 3, 1998 D-26 Change 2: Redline indicates changed text
-------
OSWER Directive 9200.3-14-ID
FF-20 • FEDERAL FACILITY FINAL NPL DELETION
Definition:
With State concurrence, EPA may delete sites from the NPL when it determines that no further response is appropriate
under CERCLA. In making that determination, EPA considers:
• Whether responsible or other parties have implemented all appropriate and required response actions;
• Whether all appropriate Fund-financed responses under CERCLA have been implemented and EPA has determined
that no further cleanup by responsible parties is appropriate; or
• Whether the release of hazardous substances poses no significant threat to the public health, welfare or the
environment, thereby eliminating the need for remedial action.
EPA will consider deleting the entire site or portions of sites from the NPL, as appropriate. This measure (Final NPL
Deletions) would apply when an entire site as originally listed on the NPL is deleted through a one-time process, or upon
deletion of the final component of a site that has been subject to previous partial deletions. Please note the "final
component" in this case would represent the entire site/release at the time of final deletion.
Definition of Accomplishment:
The deletion process for the entire site [Action Name = Final Deletion from the NPL] starts (Actual Start) when a Notice
of Intent to Delete is published for the Federal Register.
The deletion process for the entire site [Action Name = Final Deletion from the NPL] is complete (Actual Complete)
when the Notice of Deletion is published in the Federal Register.
HQ will enter the Final Deletion from the NPL Action and the actual start and completion dates into CERCLIS.
Changes in Definition FY 97 - FY 98:
HQ is responsible for entering final deletion starts and completions into CERCLIS.
Special Planning/Reporting Requirements:
An entire site deletion action (Action Name = Final Deletion from the NPL) will be entered by HQ if the deletion activity
addresses the remaining release listed on the NPL (either as a one-time deletion event for the entire site as originally
listed, or as the last deletion activity associated with a site subject to previous partial deletions). When the Notice of
Deletion is published, HQ will change the NPL Status in CERCLIS should be changed to "Deleted from Final NPL."
Change 2: Redline indicates changed text D-27 February 3, 1998
-------
OSWER Directive 9200.3-14-1D
EXHIBIT D.2 (1 OF 5)
FEDERAL FACILITIES PLANNING REQUIREMENTS
Planning Requirements
SCAP Target or Measure?
Planned/Reported
Semi-Annually, Annually,
or Both?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in Non-Site Specific
Portion of CERCLIS?
FF-1
Base Closure
Decisions
Measure
Both
No
Operable Unit
or Parcel
Site-Specific
FF-2
FFA/IAG Starts
Measure
Both
Yes
Whole Site
Site-Specific
' ' FF-3
FFA/IAG
/ Completions
Measure
Both
Yes
Whole Site
Site-Specific
FF-4"
Federal Facility
Dispute
< Resolution
Measure
Both
No
OU-Specific
Site-Specific
EXHIBIT D.2 (2 OF 5)
FEDERAL FACILITIES PLANNING REQUIREMENTS
Planning Requirements
SCAP Target or Measure?
Planned/Reported
Semi-Annually, Annually,
or Both?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in Non-Site Specific
Portion of CERCLIS?
FF-5
RI/FS or RFI
Starts
Measure
Both
Yes
Operable Unit
Site-Specific
FF-6
FS, CMS, or
EE/C A Starts'
Measure
Both
Yes
Operable Unit
Site-Specific
FF-7
Timespan From
, NPL Listing to
RI/FS Start
Measure
Annual
N/A
Whole Site
Site-Specific
FF-8
Decision
Documents
Target
Both
Yes
Operable Unit
Site-Specific
NOTE: Accomplishments are pulled from CERCLIS on a semi-annual basis.
August 21,1997
D-28
-------
OSWER Directive 9200.3-14-1D
EXHIBIT D.2 (3 OF 5)
FEDERAL FACILITIES PLANNING REQUIREMENTS
''',',', "*" -' '-
',£';, -'; <* \ '-.
>\ >., ", " ,f
Planning Requirements '
SCAP Target or Measure?
Planned/Reported
Semi- Annually, Annually,
or Both?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in Non-Site Specific
Portion of CERCLIS?
' -EF-9 s,, •
' RFFSorRli
Duration
Measure
Annual
N/A
Operable Unit
Site-Specific
•» FF-10
KDorCMD
Starts "'
"v
^
Measure
Both
Yes
Operable Unit
Site-Specific
FF-11
RDorCMD^
•Completions r^,
' ft - , * ,r
Measure
Both
Yes
Operable Unit
Site-Specific
\ *'JEF-12;
RA Starts or CMI
^
Measure
Both
Yes
Operable Unit
Site-Specific
EXHIBIT D.2 (4 OF 5)
FEDERAL FACILITIES PLANNING REQUIREMENTS
^ " ,J -™ -^
" -Planning Requirements
SCAP Target or Measure?
Planned/Reported
Semi-Annually, Annually,
or Both?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in Non-Site Specific
Portion of CERCLIS?
'-; FF-13. ,, '
Timespan From
>~ jRxu/ signature «
toRAStarfr,
Measure
Annual
N/A
Operable Unit
Site-Specific
5 „ - FF-14
,RA,orCMI
~ Completions '-
^^; Us
™ * " ~^
Target
Both
Yes
Operable Unit
Site-Specific
FFt:15 ,,
RADuration^.
f-/i. ""^
Measure
Annual
N/A
Operable Unit
Site-Specific
EF-16
, Timespan From
* RDFS to RA -
Completions
Measure
Annual
N/A
Operable Unit
Site-Specific
NOTE: Accomplishments are pulled from CERCLIS on a semi-annual basis.
D-29
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
EXHIBIT D.2 (5 OF 5)
FEDERAL FACILITIES PLANNING REQUIREMENTS
Planning Requirements
SCAP Target or Measure?
Planned/Reported
Semi-Annually, Annually,
or Both?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in Non-Site Specific
Portion of CERCLIS?
FF-17
Removal/Early
Action
(Remedial
Authority)
ISM Starts and
Completions
Measure
T3/\t1-i
No
Based on
Individual
Incident
Site-Specific
ACT-7
NPL Site
Construction
Completions
Through Early
Actions, Long-
Term Actions
or RQDs -
Measure
Rnf-h
Yes
Whole Site
Site-Specific
FF-18
Federal Facility
Five-Year
Reviews
Measure
Yes
Whole Site
Site-Specific
Federal
Facility Partial
NPL Deletion ,
Measure
Both
Yes
Portion of Site
as Identified
Site-Specific
"- Federal ,
Facility Final
NPL Deletion
^5 /* *-"
'/
^ -
Measure
Both
Yes
Whole Site
Site-Specific
NOTE: Accomplishments are pulled from CERCLIS on a semi-annual basis.
August 21, 1997
D-30
-------
OSWER Directive 9200.3-14-1D
Superfund/Oil Program Implementation Manual FY 98
Appendix E: Superfund Information Systems
August 21, 1997
-------
I
OSWER Directive 9200.3-14-ID
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Left Blank
August 21, 1997
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OSWER Directive 9200.3-14-ID
Appendix E
Superfund Information Systems
Table of Contents
SUPERFUND INFORMATION SYSTEMS E.j
The Purpose of CERCLIS 3 (C3) E_j
Site Assessment P_,
Risk Assessment F 2
Remedy Selection P 2
Federal Facilities p ~
Community Involvement P_o
Removal t p_,.
Enforcement . P -
Project Management E 4
Program Management E 4
Reporting Superfund Information . F 4
CERCLIS 3 Users .... -',
b-o
Applicability of the Freedom of Information Act E_6
CERCLIS Reports Releasable under Freedom of Information Act (FOIA) ' E-6
Sensitive Information Not Releasable under FOIA ; \\ E_6
Ad Hoc Reporting p „
Accessing FOIA Information E_p
Data Owners/Sponsorship F1fi
August 21, 1997
-------
OSWER Directive 9200.3-14-lD
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Left Blank
August 21, 1997
-------
OSWER Directive 9200.3-14-1D
APPENDIX E
SUPERFUND INFORMATION SYSTEMS
THE PURPOSE OF CERCLIS 3 (C3)
C3 is the sole, official repository of nationally defined and nationally required data for planning, tracking, and
describing all activities at sites and removal incidents.
The following types of site/incident activity have national definitions and national requirements:
• Site Assessment
• Risk Assessment
• Remedy Selection
• Federal Facilities
• Community Involvement
• Removal
• Enforcement
• Project Management
• Program Management
Site Assessment
To support the site assessment process, C3 supports the following activities:
• Enter, store, and retrieve basic site discovery information, including site identification (name and location), narrative
description, contaminants, and site setting;
• Distinguish between removal program or site assessment program discoveries;
• Import site scoring data for the PA, SI, ESI, and SIP from PAScore and PREscore through an EDS utility
• Review and compare results of the PA, SI, ESI, and SIP, including overall HRS site score and component pathway-
scores; '
• Access to detailed information on each pathway score;
• Enter, store, and retrieve site assessment decision information, including qualifiers and text rationale and referrals
to States or other program areas;
• Manage site assessment schedules through the Project Management module; and
• Generate site assessment reports and perform ad hoc queries on basic site level and decision information, as well
as site and pathway score information.
E-l
August 21, 1997
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OSWER Directive 9200.3-14-1D
Risk Assessment
To support the risk assessment process, C3 supports the following activities:
• Track, plan, redefine, and review project milestones on an Operable Unit basis;
• Record and review risk assessment overview information for each action including the worst risk scenarios for a
project;
• Record, revise, reuse, and review information from the PA, SI, ESI, removal evaluation, or HRS;
• Review and edit contaminants of concern versus relevant standards and a summary of the contaminant-specific risks
for each medium;
• Review and evaluate the use of exposure assumptions in the human health assessment;
• View and update up to ten scenarios by timeframe for each medium area; scenarios contain pertinent factors (i.e.
land use, exposure timeframe, location, receptor, exposure route) and reflect at least one scenario for each land use
assessed;
• Compile, review, revise, and view a summary of pertinent ecological risk assessment information including potential
receptors, sensitive habitats, and endangered/threatened species; and
• Record, review, and compare risk assessment information contained in remedial and removal decision documents.
Remedy Selection
To support the remedy selection process, C3 supports the following activities:
• Add and delete Actions to the site schedule and add new operable units;
• Add, edit, and review an Action and its associated operable unit, actual and planned start dates, and actual and
planned completion dates;
• View and update site information, including media, contaminants, concentrations, and regulations that possibly apply
to the contaminant;
• View a site synopsis which can be used to aid in the development of remedial documents, such as proposed plans
and Records of Decision (ROD);
• View cost and performance information on treatability studies, if available;
• Interchange contractor developed electronic information contained in the RI/FS to support the development of the
ROD or use the ROD information in the development of the Remedial Design (RD) report;
• View and compare analyses among pipeline actions for site contaminants, contaminated medium, and site
risk/threats;
• Identify program initiative sites, such as "Brownfield" or presumptive remedy sites;
• Perform queries to identify "like sites"; and
• View selected remedies at sites with signed RODs including remedial response actions associated with the selected
remedy.
Federal Facilities
To support Federal facilities, C3 supports the following activities:
• View, edit, and track information pertaining to dispute resolutions such as the issue triggering dispute, compliance
status, and dispute phase (i.e., informal or formal);
• Record, display, and view information pertaining to IAG/FFA negotiations and agreements;
• Record, display, and update information pertaining to BRAC-NPL, non-NPL sites, and program initiative sites;
• See listings of all IAG milestones to be reviewed within a user-specified timeframe;
• Record and display a site abstract feature;
• Record and display information pertaining to sites requiring information on the FFTS and Docket;
• Provide the capability to display and search on penalty and formal dispute resolution information; and
• Access to all subject area modules in CERCLIS 3 (e.g., Risk Assessment, Remedy Selection, etc.) to view all
technical and administrative data pertaining to a site.
August 21, 1997 E-2
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OSWER Directive 9200.3-14-ID
Community Involvement
To support the community involvement process, C3 supports the following activities:
• Enter and access online directions to the site;
• Enter and view information on public meetings, including'public meeting location and directions; ••
• Access current site information from any user view;
• Enter and view the address of site information repositories and identify which repositories contain Administrative
Records; and
• Export site locational data for use in developing maps in GIS packages.
Removal
To support the removal process, C3 supports the following activities:
• Document OSCs assigned to the removal, EPA branch, Operable Unit name, incident category, event qualifier,
attorney assigned to the removal, event category, planning status, removal media, and site funding rank;
• Track Action Memo types, support the Action Memo approval process, and capture response action scientific and
location information;
• Develop removal fact sheets;
• Assist in the management of removal budgets for TAT, ERCS, contingency, and other EPA costs;
• Enter and store regional removal assessment detail description information including OSC rank, date assigned to
OSC, who the site was referred from, referral date, response date, site visit date, OSC assigned, removal media, and
flags for sampling performed, eligibility for removal, referred to remedial program office, and returned to State
• Generate regional cost/financial management reports; and
• Create Headquarters removal reports (e.g., reports that replicate current mainframe reports).
Enforcement
To support the enforcement process, C3 supports the following activities:
• Capture and retrieve information about PRPs (the "PRP Profile") and associate PRPs with all sites and enforcement
actions with which they have been involved;
• Generate PRP-related summary statistics;
• Group PRPs for enforcement actions or correspondence mailings;
• Document a party's involvement with a site;
• Track liens against a PRP's property;
• Track PRP compliance with letters and settlement terms;
• Track negotiations, including type of response actions sought, cost recovery amount sought, and outcome;
• Track ADR usage, identifying sites where ADR was used, the outcome of the ADR, and the mediator used;
• Track settlements, including type of response actions to be performed by the PRPs, statutes, and cost recovery
amount achieved, and identify full or partial settlements;
• Log case files, including EPA Docket and DOJ case numbers and names and district court location docket number;
• Track referrals, including the type of referral, statutes, response actions sought, cost recovery amount sought, and
outcome; and
• View costs written off and the rationale behind a decision not to pursue cost recovery.
E-3 August 21, 1997
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OSWER Directive 9200.3-14-1D
Project Management
To support site management, C3 supports the following activities:
• Maintain schedule by project segment and set a default project segment for site schedules;
• View and edit action-specific information including Operable Unit, sequence number (system generated), lead,
planned and actual start/complete dates, and planned start/complete Fiscal Year/Quarter (system generated); and
add and delete actions and new operable units to/from the schedule;
• View the targeted Fiscal Year/Quarter for actions defined as regional targets;
• Generate custom planned complete dates based on user-defined durations, or system generate planned complete
dates based on preset durations;
• Define associations among actions and add "public" or "private" user-defined actions to schedules;
• Reorder actions on the schedule and create what-if scenarios by "cascading" planned dates (automatically updating
subsequent dates based on a schedule change);
• Add and view action-specific comments;
• Prepare Gantt charts, generate reports such as a Site Summary report, a Management Review report, and a Target
Comparison report, and create/print weekly "notes" to keep managers apprised of "hot" issues;
• Access Smartscreens, which provide online SCAP definitions;
• View financial data by site, action, or financial transaction and track Superfund State Contracts (SSC) cost share
payment information; and
• Allow reviewers (e.g., Section Chiefs) to approve or disapprove schedule changes and financial transactions before
they become official and notify RPMs if any of their sites have been reviewed.
Program Management
To support overall program management, C3 supports the following activities:
• View allowance and budget information for a comparison of regional spending plans to the negotiated budget for
each allowance;
• Record and access all site and non-site financial details associated with an allowance;
• Track allowance change requests by viewing existing change request data used to issue/reprogram an allowance and
generate a new change request online;
• View aggregate site planning data to support program planning and reporting measures and access data on a national
(at Headquarters only), regional, branch, or section level, or by program office;
• Access project schedule details for sites included in the aggregated information on planning and reporting measures
and identify target candidates;
• Track progress in meeting targets and planning estimates, view details on target and alternate sites that support these
targets/estimates for each planning and reporting measure, and substitute target and alternate sites when necessary;
• Identify the funding priority for RAs and Removals based on factors such as the status of PRP negotiations, whether
the RD has reached 95% complete, and estimated cost;
• Associate sites with a specific national and/or regional priority; and
• Enter El data at the site/action level, and view summary information for Indicators A, B, and C at the national (at
Headquarters only) and regional levels.
REPORTING SUPERFUND INFORMATION
The C3 Reports Library is accessible by all C3 users, and will contain both nationally- and Regionally-defined
reports. The reports are categorized by the following program areas: Site Assessment, Risk Assessment, Remedy
Selection, Federal Facilities, Community Involvement, Removal, Enforcement, Project Management, and Program
Management. Headquarters program managers and staff will have access to the CERCLIS 3 database and the ability to
use the CERCLIS 3 application to display data and print reports. In many cases the application can be used by program
managers in lieu of contacting regional staff.
August 21, 1997 E-4
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OSWER Directive 9200.3-14-1D
Reports in the C3 Reports Library are being developed from a Select Logic Database (SLDB). The SLDB is a
warehouse of select logic queries; because each query has been created using pieces of reusable code (RC), the select
logic stored in the SLDB can be reused across multiple reports. The SLDB approach to developing reports has many
benefits. By reusing select logic queries that have already undergone testing and validation, the SLDB approach
promotes consistency and accuracy in program-wide reporting. In addition, because all select logic queries reside in
one location, the effort required to maintain the Reports Library is significantly reduced.
The SLDB stores nationally- and Regionally-defined queries. Queries that are nationally defined and used in
national reports will be tested and validated by third-party testers. National queries will be sponsored by query owners
at Headquarters. Query owners are responsible for updating queries in a timely manner when new system requirements
are established to ensure that queries remain consistent with programmatic changes.
The Regions can use national queries from the SLDB for Regional reporting purposes. The Regions also have the
ability to develop and store Regionally-defined queries in the SLDB. Regionally defined queries and reports are
managed and maintained by the Regions themselves. The Reports Steering Committee its currently "working on the
process for and development of sharing queries and reports between Regions.
If a particular report is similar in several Regions, that report may be identified as a candidate for a national report.
Also, if a Regional query is identified for national implementation, the query will be validated, tested, and released as
a national query. National queries and reports are managed by the Headquarters Reports Librarian.
The Reports Librarian role has been expanded to include the coordination and management of all national queries
and reports. The Reports Librarian will continue to coordinate with query and report owners and developers, ensuring
that reports and queries are developed consistently, in accordance with standards, and third-party tested. It is also the
Reports Librarian's responsibility to see that all national queries and reports are unique (but reused when appropriate)
and released to the user community on schedule.
The C3 Reports Librarian is responsible for coordinating all steps of the reports development life cycle:
requirements/design, specifications, coding, testing, maintenance, change management, standards development/adherence
and documentation. This includes coordinating and facilitating bi-weekly Reports Status meetings with the reports team,
maintaining the Lotus Notes Reports Status database, and communicating status with the reports community.
The Reports Librarian coordinates the addition of new national and/or HQ reports to C3. This process is framed
by the forms available in the Reports Status Notes Database: the Reports Request form: Specifications, Code Delivery
form; and the Sign-off form. The Reports Librarian ensures the Reports Request form is completed comprehensively
and that the report being requested is not duplicative of an existing report. The Reports Librarian ensures that
specifications are completed prior to a report being hung on the national menu, and assists in the coordination of hanging
a report in C3 by ensuring that all the information on the Code Delivery form is completed by the reports developer. It
. is the Reports Librarian function to ensure that the process is documented by ensuring that the Sign-Off form is
completed. All members of the reports community can contact the Reports Librarian for status information on any
national and/or HQ report.
In addition to coordinating the addition of new reports to C3, the Reports Librarian is responsible for monitoring
changes to existing national and/or HQ reports and deleting obsolete reports from the menu. This means coordinating
with the C3 development team at large on behalf of the CERCLIS reports team. Attending Configuration Control Board
meetings, reviewing change requests and monitoring regional comments in Lotus Notes, the suggestion box and e-mails
are some of the methods used by the Reports Librarian to monitor changes. Usage reports and feedback from the regions
and HQ are the methods used to determine obsolescence of a report.
E-5
August 21, 1997
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OSWER Directive 9200.3-14-ID
CERCLIS 3 Users
The CERCLIS 3 application is for use by EPA staff with Superfund program responsibilities. The information
collected via the application is for unrestricted use by all parties except for that portion of the information identified as
sensitive and not releasable under FOIA.
APPLICABILITY OF THE FREEDOM OF INFORMATION ACT
CERCLIS Reports Releasable under Freedom of Information Act (FOIA)
There is a set of CERCLIS-generated reports that have sensitive information (records or information that are
protected under FOIA and cannot be released to the public) removed and may be released under FOIA. These reports
include:
• SCAP 11 (Site Summary Report for NPL Sites);
• SCAP 12 (Site Summary Report for Non-NPL Sites);
• List 8T (Site/Event Listing, Archived Sites);
• List 9 (Site Comprehensive Listing);
• Enforcement 10 (The Settlements Master Report Public Version); and
• Enforcement 25 (Administrative and Unilateral Orders Issued).
Note: The SCAP 11, SCAP 12, List 8T, and List 9 are currently available to the public on the Superfund Home Page.
In addition, the Records of Decision System (RODS) may be released under FOIA. It provides the justification for
the remedial action (treatment) chosen under the Superfund program and stores information on the technologies being
used to clean up sites.
Sensitive Information Not Releasable under FOIA
FOIA is intended as a disclosure law, not a withholding law. In handling all FOIA requests, there should be a
presumption in favor of releasing information. There are certain types of information, particularly enforcement
information, that have been designated as confidential and, therefore, are not releasable to the public because disclosure
could cause significant harm to the Agency. The following information fits into this category:
• Section 106 and 107 litigation and Consent Decrees (CD) and all related information where the planning
information indicates that the action has or will be referred to Headquarters (HQ) or to the Department of
Justice (DOJ). If the case is filed, the information may be released.
• Potentially Responsible Party (PRP) lead Remedial Investigation/Feasibility Study (RI/FS) projects and
all related information where only planning data exist. If there is an actual PRP RI/FS start, the planned
completion date (Fiscal Year/Quarter) can be released. However, no subsequent response dates are
releasable.
• Remedial Design (RD)/Remedial Action (RA) - Administrative Order/CD and all related information
where only planning data exist. This information is only releasable where an actual completion date exists.
• Planned obligation amounts related to Regional enforcement extramural budget activity associated with
the following activities:
Litigation (106, 106/107, 107) support;
Removal Negotiations;
August 21, 1997 E-6
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OSWER Directive 9200.3-14-1D
Non-NPL and NPL PRP search;
RI/FS negotiations;
RD/RA negotiations; and
Cost recovery negotiations.
• RD and RA planned events where the lead is the RP with no actual starts. When there is an actual start,
the planned completion can be released.
• RI/FS and RD/RA negotiations planned start and completion dates. When there is an actual start, the
planned completion can be released.
• Planned removal/remedial obligations.
• All planned activities for sites that have not been designated as final or proposed NPL sites in the Federal
Register.
• Information pertaining to the financial viability of PRPs.
This following information is protected from mandatory disclosure by the following FOIA exemptions and provisions:
• EXEMPTION 7: Records or information compiled for law enforcement purposes. Specifically,
EXEMPTION 7 (a) - could reasonably be expected to interfere with enforcement proceedings.
Exemption 7 - Records or Information Compiled For Law Enforcement Purposes
This exemption provides that records or information compiled for law enforcement purposes need not be
disclosed in six specific instances. Even though a document falls under Exemption 7, the Agency, in its
discretion, encourages release of the document unless release would significantly harm the Agency. Under this
section, records or information can be withheld from disclosure if:
Exemption 7 (a) - Disclosure could reasonably be expected to interfere with enforcement proceedings.
Harm to the government's case in court by premature release of evidence or information or damage
to the Agency's ability to conduct an investigation constitutes interference under the exemption.
Exemption 7 (b) - Disclosure would deprive a person of a right to fair trial.
Exemption 7 (c) - Disclosure could reasonably be expected to constitute an unwarranted invasion of
personal privacy.
Exemption 7 (d) - Disclosure could reasonably be expected to disclose the identity of a confidential
source. This includes protection of information provided by the source on a criminal law enforcement
investigation.
Exemption 7 (e) - Disclosure would reveal a special technique or procedure for law enforcement
investigations or prosecutions.
Exemption 7 (f) - Disclosure could reasonably be expected to endanger the life or safety of any person.
As a result of 1986 Amendments to FOIA Exemption 7, the general coverage of Exemption 7 is no longer investigatory
records but records of information compiled for law enforcement purposes. As long as some law enforcement authority
exists and the record meets the threshold test for exemption 7, the record need no longer reflect or result from specifically
focused inquiries by the Agency.
E-7
August 21, 1997
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OSWER Directive 9200.3-14-1D
• EXEMPTION 5: Privileged Interagency or Intra-Agency Memoranda. Specifically, EXEMPTION 5,
Privilege 1 - Deliberate Process Privilege, and EXEMPTION 5, Privilege 4 - Government Commercial
Information Privilege.
Exemption 5 - Privileged Interagency or Intra-Agency Memoranda
Intra-agency records include reports prepared by outside consultants at the request of the agency. Recommendations
from State officials to Environmental Protection Agency (EPA) may be considered intra-agency records when EPA
has solicited State comments, has a formal relationship with the State, and the records concern a specific deliberative
process.
This exemption allows the Agency to withhold from disclosure interagency or intra-agency memoranda or
letters which fall under the following privileges:
• The Deliberative Process Privilege protects the quality of the Agency's decision-making process
(i.e., to protect against premature disclosure of proposed policies before they are adopted), to
encourage candid discussions among Agency officials, and to avoid premature disclosure which
could mislead the public.
Only pre-decisional, deliberative documents may be withheld. These are written prior to the
Agency's final decision, and are not likely to be those that are written by a person with final
decision-making authority. Drafts of documents usually fall under this category, and documents
transmitted between the government and third parties during settlement negotiations are
occasionally protected under this privilege.
The deliberative process privilege does not allow the withholding of purely factual portions of
documents. These portions must be released if they can be segregated from the remainder of the
document (partial denial). This requirement presents a problem where the facts themselves reflect
on the Agency's deliberative process; in this instance, the factual portions may be withheld.
• The Attorney-Work Product Privilege allows the withholding of documents prepared in
anticipation of possible litigation. Litigation need not have commenced but it must be reasonably
contemplated. This privilege does not extend to purely factual documents unless they reflect the
results of an attorney's evaluation.
• The Attorney-Client Privilege applies to confidential communications between attorney and
client, including communications between an Agency attorney and Agency employee.
• The Government Commercial Information Privilege is available to the government for
information it generates in the process leading up to the award of a contract. This privilege
expires once the contract is awarded or upon withdrawal of the contractual offer. An example of
this privilege is cost estimates prepared by the government and used to evaluate the construction
proposals of private contractors.
• The Expert Witness Privilege is commonly invoked to allow the withholding of records generated
by an expert witness.
• The Confidential Witness Statement Privilege allows statements obtained from confidential
witnesses to be withheld.
The Agency encourages the discretionary release of documents falling under any of the privileges, unless release
would significantly harm the Agency's decision-making process. All of the privileges may be waived if the Agency has
disclosed the document to third parties.
August 21,1997 E-8
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OSWER Directive 920.0.3-14-1D
The sensitive information listed above covers the information restricted from public disclosure as of the compilation
of this Manual. Additional information may be added to this category and information may be restricted in specific
instances (though the prior disclosure rule must be satisfied). If requested information is potentially able to be restricted
under a FOIA provision (in this case, under Exemptions 5, or 7), the official receiving the request should contact the
appropriate FOIA office to determine whether the information should be restricted. .Recently, a letter was sent to the
Regions requesting their input as to what information should be considered enforcement sensitive and, thus,
non-FOIAable. After Regional feedback has been analyzed, and guidance has been finalized, more detailed information
will be provided.
Ad Hoc Reporting
In general, all Regional requests for ad hoc reporting a special request for records or information that is not part of
the approved public SCAP reports should be referred to the Office of Site Remediation and Enforcement (OSRE)
Director immediately. The Regional official receiving the request should inform the requestor of this policy and advise
the requestor to contact HQ for a decision on whether this information may be released. If the requested information
is only available from a specific Region, and HQ has decided to release this information, HQ will inform the responsible
Region that the information should be compiled and disclosed to the requestor.
Ad hoc reporting requests should be treated like FOIA requests. And the following guidelines apply:
If the information is protected under one of the FOIA exemptions, the information will not be disclosed (except in
cases of discretionary release).
• Absent FOIA exemption protection, the information will be disclosed if it can be compiled or obtained in a
reasonable amount of time by an Agency employee familiar with the subject area.
• Fees for ad hoc reporting requests will be charged in accordance with the fee structure used for FOIA requests.
Accessing FOIA Information
There are several methods to access FOIA reports.
• On the Internet, via the World Wide Web, several standard reports can be downloaded from the Superfund
Information home page (http://www.epa.gov/superfund/), accessed under the header '"Standard Site Reports." To
view downloaded reports, use the Report Browser, a DOS-based browsing tool, also available from the home page.
Standard reports include:
List 8T- CERCLIS Archive Listing. All sites that were previously listed as contaminated or were suspected of
being contaminated, but have subsequently been cleared of contamination or are no longer suspected of
contamination. Previously called the "Transition Site/Event Listing."
List 9- Site Location/Alias/Event Description Listing. All Superfund sites/incidents, addresses, and
Congressional districts, and the remedial, removal, and community relations events associated with each
site/incident.
SCAP 11- Site Summary Report for NPL Sites. Detailed information on certain Superfund sites/incidents on
the NPL. Only the sites/incidents that have planned or actual remedial/removal activities are selected for
inclusion on the report.
SCAP 12- Site Summary Report for Non-NPL Sites. Detailed information on certain Superfund sites/incidents
that are not on the NPL. Only the sites/incidents that have planned or actual remedial/removal activities are
selected for inclusion on the report.
E-9
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OSWER Directive 9200.3-14-ID
• The Superfund Automated Phone and Fax Information System (1 -800-775-5037) is an interactive phone/fax system
that provides information about CERCLIS and the Record of Decisions System (RODS). By following voice
prompts, the Superfund Automated Phone System allows users to request List 8T, List 9, SCAP 11, and SCAP 12
reports on diskette. Paper copies of these reports may also be requested using the Superfund Automated Phone
System. Some products can be delivered immediately by fax; other products must be mailed.
• FOIA requests may also be submitted to a Region or HQ office for any one of the FOIA reports. FOIA report
requests should include the state, zip code, county, and/or city they are requesting, as well as which FOIA report
they want.
• Enforcement 10 (The Settlements Master Report Public Version) and Enforcement 25 (Administrative and
Unilateral Orders Issued) are available by contacting OSRE. These reports are not available from Superfund's
World Wide Web site or the Superfund Automated Phone and Fax Information System.
DATA OWNERS/SPONSORSHIP
HQ Senior Process Managers (SPMs) are taking an active role in improving the quality of data stored in CERCLIS
3 by acting as data sponsors. Data sponsors ensure that the data they need to monitor performance and compliance with
program requirements is captured and stored properly in CERCLIS 3. To meet this goal, HQ data sponsors identify their
data needs, develop data field definitions, distribute guidance requiring submittal of these data, and oversee the process
of entering data into the system. In addition, sponsors support the development of the requirements for electronic data
submission (EDS).
Data sponsorship promotes consistency and communication across the Superfund program. HQ data sponsors
communicate and gain consensus from data owners on data collection and reporting processes. Periodically, data
sponsors will verify the data entered and maintained by the Regions through focused data studies.
HQ data sponsors assist data owners in maintaining and improving the quality of Superfund program data. These
data are available for data evaluation and reporting. Data sponsorship helps promote consistency in both national and
Regional reporting. In addition, it provides a tool to improve data quality through program evaluation and adjustments
in guidance to correct weaknesses detected.
August 21, 1997 E-10
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OSWER Directive 9200.3-14-ID
Superfimd/Oil Program Implementation Manual FY 98
Appendix F: Oil Pollution Prevention and Response Program
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OSWER Directive 9200.3-14-ID
Appendix F
Oil Pollution Prevention and Response Program
Table of Contents
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM PRIORITIES F-l
Overview F-l
Oil Program Initiatives • F-l
Addressing Above-Ground Storage Facility (ASF) Leakage and Contamination F-l
Implementing FRPs F-l
Implementing the NCP F-2
Developing and Maintaining Data Systems F-2
Improving the SPCC Program F-3
Coordinating with Other Agencies F-3
Oil Spill Prevention and Cleanup Activities F-3
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM PLANNING AND
REPORTING REQUIREMENTS F-5
Overview F-5
National Oil and Hazardous Substances Pollution Contingency Plan F-5
Regional Contingency Plans F-5
Area Contingency Plans F-5
Federal Response Plan F-5
Communications Requirements Associated with a Release F-7
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM FINANCIAL MANAGEMENT F-9
Overview F-9
Budget Formulation ' F-9
Operating Plan Development F-9
Budget Execution F-9
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM FY 98 MEASURES F-l 1
Overview , , F-11
Oil Pollution Prevention and Response Program Definitions F-12
Prevention/Preparedness Measures: F-12
Oil-1 Spill Prevention, Control, and Countermeasure (SPCC) Inspections and Plan Reviews F-12
Oil-2 Oil Facility Response Plans Reviewed and Approved F-12
Oil-3 Area Contingency Plans F-13
Oil-4 Preparedness for Response Exercise Program (PREP) Area Drills F-13
Response Measures F-14
Oil Spill Notifications F-14
Oil Spill Investigations/Preliminary Assessments F-14
Oil Spill Cleanups F-15
Oil Spill Monitoring/Directing F-15
Oil-5
Oil-6
Oil-7
Oil-8
Oil-9
Cost Documentation F-15
Enforcement Measures F-16
Oil-10 • Administrative Penalty Enforcement Actions for Spill Violations and
Prevention Regulation Violations F-16
Oil-11 • Judicial Penalty Enforcement Actions for Spill Violations and
Prevention Regulation Violations F-16
Oil-12 » Orders for Removal Issued to a Responsible Party F-17
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OSWER Directive 9200.3-14-1D
Appendix F
Oil Pollution Prevention and Response Program
List of Exhibits
EXHIBIT F.I RELATIONSHIP OF OIL POLLUTION PREVENTION AND
RESPONSE PROGRAM PLANS F-6
EXHIBIT F.2 FY 98 OIL POLLUTION PREVENTION AND RESPONSE PROGRAM ACTIONS ..'....... F-l 1
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OSWER Directive 9200.3-14-1D
APPENDIX F
OIL POLLUTION PREVENTION AND RESPONSE
PROGRAM PRIORITIES
OVERVIEW
The Agency shares responsibility with the United States Coast Guard (USCG) and other agencies for implementing
major provisions of the Clean Water Act (CWA) and the Oil Pollution Act of 1990 (OPA). EPA will review Area
Contingency Plans (ACPs); implement recommendations from a report to Congress on liners; inspect removal equipment
at facilities; inspect prevention aspects of facilities regulated under the Spill Prevention, Control and Countermeasures
(SPCC); and address liability issues. The Agency will approve certain Facility Response Plans (FRPs) and conduct
area drills. In addition, Regional offices will assist State Emergency Response Commissions (SERCs), Tribes, and Local
Emergency Planning Commissions (LEPCs) in coordinating and linking FRPs with Community Response Plans (CRPs)
developed pursuant to the Emergency Planning and Community Right Act of 1986 (EPCRA).
OIL PROGRAM INITIATIVES
In Fiscal Year (FY) 98, the Office of Solid Waste and Emergency Response (OSWER) will focus on addressing the
following: above-ground storage tank/facility leakage and contamination; overseeing the continued implementation of
FRPs through review, approvals, and inspections; overseeing implementation of the oil spill response provisions of the
revised NCP; developing and maintaining data systems; improving the Spill Prevention Control and Countermeasures
(SPCC) Program; conducting EPA-lead area exercises and participating in industry-lead inland area exercises, and
enhancing coordination within and between government agencies. These initiatives, which will improve response and
enforcement activities related to oil spills and leaks, are described in more detail in the remainder of this section.
Addressing Above-Ground Storage Facility (ASF) Leakage and Contamination
In FY 96, the Agency completed a study to determine whether liners or other secondary containment means will help
prevent and detect leaks at above-ground storage facilities. As a result of this study and related research, the Agency
will propose initiation of a cooperative program for industry, States, and environmental groups to investigate existing
contamination, current facility design and procedures, and possible initiatives for contamination prevention and cleanup.
EPA will also seek to initiate a pilot program while the proposal is pending.
Implementing FRPs
The OPA of 1990 requires that certain facility owners and operators prepare plans to respond to worst-case
discharges of oil or a substantial threat of such a discharge. Owners/operators of such "substantial harm facilities"
must submit their plans or stop handling, storing, or transporting oil. To ensure that such plans are implemented and
response readiness maintained, OSWER will engage in the following activities:
• Coordinate with the Office of Enforcement and Compliance Assurance (OECA) on Oil Program Enforcement
of the Spill Prevention Control and Countermeasures (SPCC)/FRP Rule — The primary goal of this initiative is
to ensure that Program regulations, policy, implementation, and enforcement are consistently applied and support
the same basic program objectives.
• Implement Inspector Training to Ensure Consistent Implementation and Enforcement of the SPCC Prevention
and Response Program — The goal is to give training to all EPA Regions to achieve nationally consistent
inspection of SPCC and FRP facilities.
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OSWER Directive 9200.3-14-ID
• Develop Preparedness Response Exercise Program (PREP) Guidance/Scheduling — To ensure that facilities are
able to fully implement their FRPs, the OPC will provide guidance on procedures and scheduling of periodic
exercise sessions during which a facility puts into practice its FRP and ensures its effectiveness.
• Continue to Review FRPs and Inspect Facilities — Inspections of facilities and FRPs will continue. FRPs
submitted after 2/18/93 will have to be reviewed, inspected, and approved. The 5-year cycle of review and approval
of the FRP also will continue. The OPC also may observe internal facility drills/exercises.
Implementing the NCP
The revised NCP of 1994 implements several new regulations that directly affect the policies and procedures
governing the Oil program. The NCP also redefines the roles and responsibilities of several program offices within the
Oil program. These new regulations include a revision of Subpart J, which outlines technical requirements for chemical
countermeasures, approval, and use on oil spills. They also include requirements for ACPs that ensure efficient responses
to potential worst-case oil spills or discharges. The Oil Spill Program will have an integral role in the implementation
of Subpart J and the monitoring of ACPs, and will be assisted by several other offices in these efforts. The following
activities will be implemented as a result of the revised NCP:
• Subpart J — Subpart J of the NCP requires EPA to prepare a product schedule of dispersants, chemicals, and other
spill mitigating devices and substances, if any, that may be used in carrying out the NCP.. Regional Response Teams
(RRTs) and Area Committees (ACs), whose members are appointed by the President and consist of personnel from
qualified Federal, State and local agencies, will address as part of their planning activities the desirability of using
dispersants, surface washing agents, surface collecting agents, bioremediation agents, or miscellaneous spill control
agents such as those listed on the NCP product schedule. This effort requires submission of effectiveness and/or
toxicity testing for all product categories currently listed on the NCP product schedule. The Oil Program conducts
validation testing for all dispersants.
The OPC is responsible for coordination, correspondence, and product review in support of Subpart J initiatives.
In addition to this role, the OPC provides outreach to vendors, RRTs, and the general public regarding the use of
chemical countermeasures.
• Enhance the OPC's Involvement in Area Planning — The OPC works with the Chemical Emergency Preparedness
and Prevention Office (CEPPO) by monitoring area contingency planning efforts to ensure that they are providing
the necessary link between the FRPs and the NCP, and that all contingency plans are coordinated to control a
worst-case discharge of any size. OPC and CEPPO will ensure that plans are 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.
Developing and Maintaining Data Systems
The availability of complete and comprehensive data on oil spill incidents and facilities is an integral component
of the Oil program's planning and response efforts. During the upcoming year, the Oil program will focus its efforts in
this area on the further development of pilot projects that will lead to a new comprehensive Oil program database that
records and track information on incidents (spills) and facilities. The program also will continue to maintain the current
Emergency Response Notification System (ERNS), so that release notification information on oil and hazardous •
substances can be accessed quickly and efficiently. To achieve these goals, the Oil program will engage in the following
activities:
• Collection of Environmental Data — Oil Spill Program will continue to assist the Regions in gathering spatial data
for area contingency planning purposes". This data will include environmentally sensitive areas, such as wetlands,
drinking water intakes, endangered species locations and similar areas. Oil Spill Program also will work with the
Regions to incorporate this data and other spatial data, such as facility locations and spill locations, into a useable
geographic information system (GIS) format, for both planning and response support purposes.
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OS WER Directive 9200.3-14-1D
• Develop Oil Database — The Oil program database will be developed for the purpose of recording and tracking
information on Oil program actions at a site-specific level. The database will be divided into two functional
categories: incidents and facilities. The incident portion of the database will record all spills and the corresponding
response actions at each site, while the facility portion of the database will be the medium for recording normal
facility operations data. The database will interface with CERCLIS as necessary, and will be used primarily by the
Regions to facilitate the flow of information within and between Regions. The database also will likely-interface
with some of the GIS applications described above.
• Enhance and Maintain ERNS — ERNS provides the most comprehensive data compiled on release notification
of oil and hazardous substances nationwide. Information should be recorded in ERNS when a release is initially
reported; when more specific data is verified, more detailed data on the spill should be entered into the system.
Improving the SPCC Program
The owners/operators of any facility subject to oil pollution prevention regulations are required to prepare and
implement a SPCC plan. Plans must detail the procedures put into place to prevent and control oil spills. To ensure that
such plans are developed and adhered to, the Office of Emergency and Remedial Response (OERR) will engage in the
following activities:
• Define Regional Coordination Roles Between the OPCand the Regional Centers — This initiative was established
to promote open communication, prevent duplication of SPCC program efforts, and clearly define the roles of the
OPC and Regional Coordination Centers.
• Facilitate Regional Consistency — The Oil program is working to facilitate consistency among the Regions in their
implementation of SPCC inspections. (See the discussion on FRPs earlier in the chapter.)
• Provide Regional Outreach — Regional outreach efforts will be in the form of Headquarters (HQ) support of the
Regions' efforts to successfully implement their oversight of the SPCC program.
• Reduce Paperwork Burden — The Agency will propose revisions to significantly reduce the SPCC paperwork
burden in FY 97. In a 1995 report to the President, EPA committed to an Agency-wide 25% reduction.
• Implementing a Cooperative Program — HQ will work with Regions, States, industry, and environmental groups
to implement a program whereby facilities upgrade equipment, monitor as necessary, and clean up contamination.
Coordinating with Other Agencies
The success of the Oil program relies heavily on the continued cooperation of several different agencies including
the United States Coast Guard (USCG), the Department of Transportation (DOT), the Minerals Management Service
(MMS), the National Oceanic and Atmospheric Administration (NOAA), and the Department of the Interior (DOI).
Cooperation among these agencies ensures the efficient implementation of the NCP and FRP rule. To better instill this
cooperation, a national bulletin board that will provide a means to share information on oil spill prevention and responses
will be developed, a Memorandum of Understanding (MOU) with the USCG will be prepared, and model MOUs for
Regions/States will be developed.
OIL SPILL PREVENTION AND CLEANUP ACTIVITIES
HQ and the Regions will continue to work to decrease the environmental damage caused by oil spills. The following
measures.will be taken in an effort to prevent oil spills:
• Targeting Inspections at the Higher Risk Facilities — Where inspections disclose violations, enforcement actions
will be taken in an effort to prevent problems before they occur.
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OSWER Directive 9200.3-14-1D
• Increasing the Amount of Cost Recovery Documentation submitted to NPFC following completion of spill
response efforts.
• Planning and Conducting Responses to Oil Spills — Response actions will be conducted with the goal of
minimizing pollution and subsequent environmental damage, including increasing the number of removal orders
issued.
• Increasing the Number of Enforcement Penalty Actions taken as a result of oil or hazardous substances discharge.
• Evaluating the Agency's Response to Spills to determine the most appropriate response to spills of varying severity.
• Improving the Science of Oil Spill Response Through Efforts with Other EPA Offices and Industry Groups to
Sponsor Such New Technologies as In-Situ Oil Burning and Surface Cleaning Agents — The Oil program will
work through the National Response Team (NRT) to address national oil issues including participation in the
Science and Technology, Preparedness, and Response Committees. The OPC will participate in special
projects/reports such as a proposal for the review and approval of response plans to be done by the Federal
On-Scene Coordinator (OSC) with jurisdiction for response.
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OSWER Directive 9200.3-14-1D
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM
PLANNING AND REPORTING REQUIREMENTS
OVERVIEW
In FY 98, the Oil Pollution Prevention and Response Program will continue to work on the further refinement of
its planning, prevention, and response activities and incorporation of these activities into the existing National Response
System (NRS) framework.
NATIONAL OIL AND HAZARDOUS SUBSTANCES POLLUTION CONTINGENCY PLAN
The cornerstone of the Oil program's planning activities is the revised NCP, which outlines procedures and
responsibilities for addressing potential oil and hazardous substance spills and discharges. This plan coordinates with,
and is bolstered by, a number of similar Federal contingency plans, all of which are capable of handling "worst case
discharges" of varying sizes and magnitudes. Exhibit F. 1 displays the relationship of the Oil Pollution Prevention and
Response Program plans and their relationship with the NCP.
REGIONAL CONTINGENCY PLANS
The Regions' plans for oil and hazardous waste spill responses are outlined in Regional Contingency Plans (RCPs).
. RCPs are developed by Regional Response Teams (RRTs) in conjunction with the States, and provide for timely,
effective, and coordinated responses to oil and hazardous waste spills by various Federal agencies and other
governmental organizations. In addition, RCPs must follow the format and the intent of the NCP and be coordinated
with State Emergency Response Plans (SERPs), ACPs, and the Local Emergency Response Plans (LERPs) provided for
under Title III of the Superfund Amendments and Reauthorization Act of 1986 (SARA).
AREA CONTINGENCY PLANS
ACPs are locality-specific oil and hazardous waste spill response plans. All ACPs are under the supervisory
authority of a federally appointed OSC, and are formulated by a-body known as an Area Committee (AC). The ACs
work in conjunction with the appropriate RRTs, Coast Guard District Response Groups (DRGs), the National Strike
Force Communication Center (NSFCC), Scientific Support Coordinators (SSCs), LEPCs, SERCs, and Tribes to ensure
consistency and prevent duplication of response efforts and responsibilities. The ACP also should be implemented in
conjunction with provisions of the NCP and be effective in responding to a worst case discharge and mitigating or
preventing a substantial threat of such a discharge from a vessel or facility operating within or near the area. The OSC
may conduct emergency response drills to ensure that existing contingency plans and mechanisms are effective in dealing
with a potential worst case discharge.
FEDERAL RESPONSE PLAN
If and when an oil or hazardous material spill is declared a national disaster by the President, the Federal Response
Plan is the instrument used to ensure effective response and cleanup. The Federal Response Plan is an agreement signed
by the 27 Federal departments and agencies responsible for responding to oil and hazardous waste spills. It is
implemented only when an existing discharge is beyond the capabilities of the State and local authorities and/or the
statutory authority of Federal agencies. Interagency Agreements (lAGs) may be utilized when necessary to ensure that
Federal resources will be available for a timely response to a discharge or release.
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OSWER Directive 9200.3-14-1D
EXHIBIT F.I
RELATIONSHIP OF OIL POLLUTION PREVENTION AND RESPONSE PROGRAM PLANS
National Oil and Hazardous
Substances Pollution
Contingency Plan (NCP)
International Joint Plans
Federal Response Plan
Regional
Contingency Plans
(RCPs)
Federal Agency
Internal Plans
Area Contingency
Plans (ACPs)
Facility Response
Plans (FRPs)
State/Local Plans
Vessel Response Plans (VRPs)
—•— Plans of the MRS
- - - - Points of Coordination with the NRS
Plans Integrated with the ACP
There are also several smaller governmental plans and organizations that play an integral role in the NRS.
SERCs are responsible for designating emergency planning districts, appointing LEPCs for each district, and
supervising the creation of LERPs in accordance with Title III, Section 303 of SARA. LERPs should be reviewed
and updated at least once a year to ensure their accuracy and effectiveness. The SERCs and LEPCs also are
responsible for receiving and processing information requests from the public regarding discharges or subsequent
response actions. CRPs set forth provisions and guidelines for communication within and between communities in
the event of a spill or discharge. These plans should be coordinated as closely as possible with other response plans
and ensure fluid transfer of necessary information from the lead agency to the members of the local community.
The final components of the NRS are the SPCC Plans, FRPs, and Vessel Response Plans (VRPs), produced by
owners or operators of facilities or vessels that are subject to the OPA. All owners and operators of OPA regulated
facilities must produce and implement a SPCC plan, which outlines procedures for preventing and controlling oil
spills. FRPs, which focus on reactive measures, such as how facility personnel are to respond to a discharge, are not
required unless it is deemed that a specific facility could cause "substantial and or significant harm" to the
surrounding environment. FRPs must be consistent with the NCP as well as with the appropriate RCPs and ACPs,
and must be updated periodically to ensure effective response. Finally, all "tank vessels," as defined by section
31 l(j)(5) of the Clean Water Act (CWA) (as amended), must prepare and submit a VRP for responding to a worst
case discharge, or to a substantial threat of such a discharge of oil or hazardous substances.
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OSWER Directive 9200.3-14-1D
An NCP product schedule must be kept for all dispersants, surface washing agents, surface collecting agents,
bioremediation agents, and miscellaneous oil spill control agents that may be used in mitigating oil and hazardous
substance spills. Under Subpart J of the NCP, effectiveness testing and/or revised toxicity testing are required for all
product categories listed on the NCP product schedule.
COMMUNICATIONS REQUIREMENTS ASSOCIATED WITH A RELEASE
The National Response Center (NRC), located at USCG HQ, is the national communications center for handling
activities related to oil response actions. It acts as the single point of contact for all pollution incident reporting, and as
the NRT communications center. Any oil spills or discharges must be reported by telephone to the NRC. The NRC is
responsible for notifying the appropriate Federal OSC and any participating NRT member agencies of the release, and
communicating all of the information that it has received to ensure that an appropriate response may be implemented.
All of the information received from the initial notification report also must be entered into ERNS. This information can
then be used by decision makers to solve emergency response and release prevention issues. When notification
information is verified, more detailed data on the release should be added to ERNS. ERNS also can be accessed by
enforcement personnel to determine whether or not timely notification of spills have been reported.
Specific reporting requirements must be met to ensure efficient communication and coordination during response
actions. The Federal OSC must report any significant developments that occur during response actions to the RRT and
other appropriate agencies through communications networks or other pre-approved channels. This information should
be made available to the trustees of affected natural resources so that they remain informed during the course of the
response action. The OSC also is required to produce (if the RRT or NRT deems it beneficial) a more detailed report
on the removal actions taken, resources committed (financial and manpower), and problems encountered in responding
to the spill or discharge. This report should be submitted first to the RRT, and then subsequently to the NRT within 30
days of its initial submission. In addition, Title III of SARA requires the reporting of information, as it becomes
available, to community representatives that have a stake in the response actions. Two of the more commonly used
mechanisms for ensuring compliance with Title III requirements are the establishment of a Joint Information Center,
and/or an on-scene news office to report important developments as they occur. Finally, after the appropriate response
action has been implemented, the lead agency is responsible for preparing a report that details the source of the release,
PRP involvement, and the impacts or potential impacts on human health, welfare, and the environment posed by the
discharge or spill.
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OIL POLLUTION PREVENTION AND RESPONSE PROGRAM
• FINANCIAL MANAGEMENT
OVERVIEW
The CWA as amended by the OPA established a dedicated trust fund for EPA to use for implementing many OPA
provisions. The USCG administers the trust fund. The oil budget, which includes oil spill prevention, preparedness,
and response is (like the Superfund budget) multi-year money that conforms to the Agency's administrative and
programmatic budget structure.
BUDGET FORMULATION
The Oil program's budget formulation process begins approximately 20 months before the budget execution year.
Currently, the Oil program establishes and defines goals and initiatives for the budget year in support of the Agency's
strategic plan. In line with Agency guidance, the Oil program also develops a budget strategy to achieve these goals and
establishes success. Examples include the number of oil spill cleanups.
OPERATING PLAN DEVELOPMENT
Once the Agency receives the Oil program appropriation, development of the finalized operating plan begins. The
appropriated resources are allocated to Oil program activities, including response and regulatory support, enforcement,
emergency response teams, and prevention.
BUDGET EXECUTION
During the budget execution year, Regions request programmatic funds for specific oil spill activities including:
• Responding to oil spills, monitoring private party responses, and investigation oil spill notifications;
• Conducting SPCC inspections including plan reviews, site visits, and follow-up;
• Participating in SPCC/FRP Inspector Training in regions as students and instructors;
• Reviewing FRPs to ensure safety and compliance and to provide early identification of potential oil spill dangers;
• Inspecting FRP facilities for plan implementation as part of the 5-year review cycle;
• Providing technical assistance to the USCG in response to coastal oil spills; and
• Performing and participating in ACP drills through PREP.
HQ reprograms the funds for Regional expenditure based on required requests. Oil spill activities also are performed
by and funded directly out of HQ for such purposes as:
• Promoting bioremediation implementation with the Regions.
As the budget execution year closes, the Oil program uses actual obligations as the framework for developing the
next year's budget to ensure that the formulation process most closely reflects program trends.
F-9 August 21, 1997
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OSWER Directive 9200.3-14-1D
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM
FY 98 MEASURES
OVERVIEW
. The following pages contain the definitions of the FY 98 Oil Pollution Prevention and Response Program measures.
The measures are grouped under the following three program areas: Prevention/Preparedness; Response; or Enforcement.
Exhibit F.2 displays these Oil program actions and indicates the program area grouping under which each measure falls.
All oil program measures are reported semi-annually on a site- or facility-wide basis. Oil program measures are not
reported site-specifically.
EXHIBIT F.2
FY 98 OIL POLLUTION PREVENTION AND RESPONSE PROGRAM ACTIONS
•••"' :. '..'.'., MeasureName ';.: '- '-'t • <,,.:".:"'.,'' , ,
OIL-1: Spill Prevention, Control, and Countermeasure (SPCC)
Inspections and Plan Reviews
OIL-2: Oil Facility Response Plans Reviewed and Approved
OIL-3: Area Contingency Plans
OIL-4: PREP Area Drills
OIL-5: Oil Spill Notifications
OIL-6: Oil Spill Investigations/ Preliminary Assessment
OIL-7: Oil Spill Cleanups '
OIL-8: Oil Spill Monitoring/Directing
OIL-9: Cost Documentation
OIL-10: Administrative Penalty Enforcement Actions for Spill
Violations and Prevention Regulation Violations
OIL-1 1: Judicial Enforcement Actions for Spill Violations and
Prevention Regulation Violations
OIL-12: Orders for Removal Issued to a Responsible Party
Program Area ; ':''..
Prevention/
Preparedness
Prevention/
Preparedness
Prevention/
Preparedness
Prevention/
Preparedness
Response
Response
Response
Response
Response
Enforcement
Enforcement
Enforcement
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August 21, 1997
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OSWER Directive 9200.3-14-1D
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM DEFINITIONS
PREVENTION/PREPAREDNESS MEASURES:
OIL-1 • SPILL PREVENTION, CONTROL, AND COUNTERMEASURE (SPCC)
INSPECTIONS AND PLAN REVIEWS
Definition:
For this measure, SPCC inspections include site inspections and SPCC plan reviews performed by EPA and/or the
support contractors. For both actions listed below, each separate facility or SPCC plan will count as a single credit, no
matter how extensive or complex the facility is.
Definition of Accomplishment:
Two actions are counted separately for SPCC inspections (Action Name = SPCC Inspections/Reviews):
• Site inspection, which may include separate counts for an initial visit and for a follow-up compliance inspection;
or
• The completion of the review of a written SPCC plan, as documented by the submittal of correspondence to a facility
regarding the review of the SPCC plan.
Changes in Definition FY 97 - FY 98:
Clarification added to definition of SPCC review.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of inspections and plan reviews are reported non-site specifically in
CERCLIS.
OIL-2 • OIL FACILITY RESPONSE PLANS REVIEWED AND APPROVED
Definition:
Under the OPA, facilities that store oil and have the potential to cause "substantial harm" to the environment must
prepare a response plan for a worst-case discharge. The subset of those facilities that have the potential to cause
"significant and substantial harm" to the environment require review and approval by EPA, although all facilities may
be reviewed by EPA. This measure counts the number of oil Facility Response Plans (FRPs) reviewed and approved
by the Region.
Definition of Accomplishment:
The initial evaluation, detailed review, site inspection, and approval of one response plan will each be counted separately
(Action Name = Facility Response Plan Review).
Initial Evaluation: Date of the first piece of correspondence from EPA to the facility that includes an initial
determination of whether the plan is complete and identification of "significant and substantial harm" facilities. Regions
will receive credit for an initial evaluation only once for each plan received.
Detailed Review: Date of the first piece of correspondence from EPA to the facility after completion of a review
checklist or equivalent level of review. Regions will receive credit for detailed review of each plan once for each
approval cycle or each material change and subsequent resubmission.
August 21, 1997 F-12
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OSWER Directive 9200.3-14-1D
FRP Site Inspections: Date of each site visit made as part of a FRP review, as recorded in site files or inspection report.
Regions will receive credit for each separate site visit as part of a FRP review.
Final Approval: Date of the letter from EPA to the facility approving the response plan. Regions will receive credit
for each new approval during each review cycle.
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of response plans evaluated, reviewed, and approved are reported
non-site specifically in CERCLIS.
OIL-3 • AREA CONTINGENCY PLANS
Definition:
Under the OPA, Regions are required to work with Area Committees (ACs) and develop Area Contingency Plans
(ACPs). Regions vary as to whether they will publish a single plan with several sub-area annexes, or several separate
ACPs. A Region that publishes one ACP with four sub-area annexes will receive the same credit as a Region that
publishes four separate ACPs.
Definition of Accomplishment:
Regions will receive credit for each publication of a contingency plan for an area or sub-area within that Region.
Publication consists of submission to the National Technical Information Service (NTIS) for public distribution, or an
equivalent level of finalization for distribution (Action Name = Area Contingency Plans).
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of ACP publications are reported non-site specifically in CERCLIS.
OIL-4 • PREPAREDNESS FOR RESPONSE EXERCISE PROGRAM (PREP) AREA
DRILLS
Definition:
OPA requires periodic drills and exercises of ACPs and FRPs. To satisfy this requirement, EPA in conjunction with
other Federal agencies helped establish PREP. Area Drills, a key part of the PREP program, bring together one or more
industry groups (e.g., facilities, vessels) and usually several Federal and State agencies on complex drill scenarios. Each
year, six inland (one EPA-lead) and fourteen coastal area drills will be scheduled.
Definition of Accomplishment:
Two actions are counted separately for PREP Area Drills (Action Name = PREP Area Drills):
• EPA-lead PREP Area Drills, which will typically be one per year nationally; and
• Participation in non-EPA lead PREP Area Drills, which can include industry-lead drills or drills led by other Federal
agencies. Region receives credit the date a letter, form, or memo is transmitted documenting the drill. EPA's role
will likely include some level of participation during drill preparation as well as participation during the actual drill.
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OSWER Directive 9200.3-14-ID
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of PREP Area Drills are reported non-site specifically in CERCLIS.
RESPONSE MEASURES:
OIL-5 • OIL SPILL NOTIFICATIONS
Definition:
An oil spill notification is defined as a report to EPA of an oil discharge into the environment. This measure includes
the number of sites or incidents where an oil spill notification is received.
Definition of Accomplishment:
A release notification is counted when a report of an oil spill is received, processed, and logged by EPA through ERNS
(Action Name = Oil Spill Notification).
Changes in Definition 97 - FY 98:
None.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of oil spill notifications is reported non-site specifically in CERCLIS.
OIL-6 • OIL SPILL INVESTIGATIONS/PRELIMINARY ASSESSMENTS
Definition:
An Oil Spill Investigation is the process of collecting field data on an actual or potential oil release for the purpose of
characterizing the magnitude and severity of the hazard. This Preliminary Assessment is typically related to "mystery
spills." It is geared towards determining the source of such spills and potential impacts prior to actually taking a response
action (if one is needed).
Definition of Accomplishment:
Regions will receive credit for the site visit to investigate and conduct a Preliminary Assessment of a spill or potential
spill. Oil Spill Investigations/Preliminary Assessments (Action Name = Oil Spill Investigations) are documented by a
letter, form, or memo to the file recording the site visit.
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of oil spill investigations is reported non-site specifically in CERCLIS.
August 21, 1997
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OSWER Directive 9200.3-14-ID
OIL-7 • OIL SPILL CLEANUPS
Definition:
This measure is defined as an oil spill cleaned up by EPA using OPA response funds. A single incident should ,be
counted only once regardless of how many times an EPA OSC goes back on-scene or how many phases the response
entails.
Definition of Accomplishment:
For this measure, oil spill cleanup starts and completions will serve as two separate counts.
Oil Spill Cleanup Start Date: Date the contract modification, delivery order, or Pollution Reimbursement Funding
Authorization for an oil spill cleanup at a site is signed (Action Name = Oil Spill Cleanup Starts).
Oil Spill Cleanup Completion Date: Date the final Pollution Report (POLREP) is issued (Action Name = Oil Spill
Cleanup Completions).
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of oil spill cleanups started and completed are reported non-site
specifically in CERCLIS.
OIL-8 • OIL SPILL MONITORING/DIRECTING
Definition:
EPA may use OPA and CWA §311 authority to provide oversight and technical assistance to PRPs or other Federal,
State, or local agency responses to oil spills.
Definition of Accomplishment:
The issuance of the first POLREP at a spill where the PRPs or other Federal, State, or local agencies are performing a
response will be considered the start of a monitoring/directing action activity (Action Name = Oil Spill
Monitoring/Directing).
Changes in Definition FY 97 - FY 98:
Clarification added to definition of parties to which EPA may provide oversight/technical assistance.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of spills where EPA is providing oversight and technical assistance is
reported non-site specifically in CERCLIS.
OIL-9 • COST DOCUMENTATION
Definition:
In conducting responses to oil spills, the Agency can access the Oil Spill Liability Trust Fund's (OSLTF) emergency
response allocation, which is managed by the U.S. Coast Guard (USCG). Based on EPA's agreements with USCG, the
Agency must submit cost documentation packages within a reasonable amount of time after the completion of the oil spill
response, and sometimes interim reports based on the duration of the response and the ends of fiscal years. This measure
counts two actions: how many times the Region accessed the OSLTF [based on federal project numbers (FPNs) issued];
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OSWER Directive 9200.3-14-1D
and how many cost documentation packages the Region prepared and submitted to the Cincinnati financial office.
Although the account numbers established and cost documentation packages may not match the FPNs issued one-for-one,
this measure will provide a good indicator of progress toward submitting the required documentation.
Definition of Accomplishment:
For this measure, two actions are counted:
• Number of FPNs issued to the Region (date FPN issued) (Action Name = Federal Project Number Issued ); and
• Number of cost documentation packages the Region prepared and submitted to the Cincinnati financial office (date
package submitted) (Action Name = of Cost Docm Pkge Issued).
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of FPNs issued and cost documentation packages submitted are reported
non-site specifically in CERCLIS.
ENFORCEMENT MEASURES:
OIL-10 • ADMINISTRATIVE PENALTY ENFORCEMENT ACTIONS FOR SPILL
VIOLATIONS AND PREVENTION REGULATION VIOLATIONS
Definition:
Administrative enforcement actions are taken by the Region as a result of violations of Section 31 l(b)(3) and 3110) of
the Clean Water Act.
Definition of Accomplishment:
Date that the complaint is filed in the administrative docket (Action Name = Administrative Penalty Enforcement Actions
for Spill Violations and Prevention Regulation Violations).
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of complaints filed is reported non-site specifically in CERCLIS.
OIL-11 • JUDICIAL PENALTY ENFORCEMENT ACTIONS FOR SPILL VIOLATIONS
AND PREVENTION REGULATION VIOLATIONS
Definition:
Judicial enforcement cases are initiated by the Regions in response to violations of Section 311 (b)(3) and 311 (j) of the
Clean Water Act.
Definition of Accomplishment:
Date of the letter or memo referring the case to the Department of Justice (DOJ) (Action Name = Judicial Penalty
Enforcement Actions for Spill Violations and Prevention Regulation Violations).
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OSWER Directive 9200.3-14-1D
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of judicial referrals is reported non-site specifically in CERCLIS.
OIL-12 9 ORDERS FOR REMOVAL ISSUED TO A RESPONSIBLE PARTY
Definition:
This measure counts the number of Administrative Orders (AO) for removal issued to a party under Section 311 of the
Clean Water Act.
Definition of Accomplishment:
An order is counted on the date it is signed by the appropriate Regional official (Action Name = Orders for Removals
Issued to a Responsible Party).
Changes in Definition FY 97 - FY 98:
None.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of orders issued is reported non-site specifically in CERCLIS.
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Superfund/Oil Program Implementation Manual FY 98
Appendix G: Superfund Reforms Measures of Success
(OERR and OSRE)
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Appendix G
Superfund Reforms Measures of Success (OERR and OSRE)
Table of Contents
SUPERFUND REFORMS MEASURES OF SUCCESS (OERR & OSRE) G-1
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APPENDIX G
SUPERFUND REFORMS MEASURES OF SUCCESS (OERR & OSRE)
The following measures of success have been identified for FY 98 to evaluate the impact that Superfund reforms have
had on the program. For more information on this topic, please see Superfund Reforms and Current Program Priorities
in Chapter I, and the Superfund Reforms and Measures of Success section in Appendix C, Enforcement.
1. Number of proposed cleanup decisions reviewed by the National Remedy Review Board and the estimated
impact of reviews:
2. Number of existing records of decision for site cleanups updated based on (1) the latest in scientific information
and technological advancements, or (2) non-scientific changes and the estimated dollar savings as,a result of
reviews.
3. Of the new RI/FS starts this year, the number (and percentage) of risk assessments designed by stakeholders
(e.g., communities) or conducted by PRPs. . •
4. Of the new RI/FS starts this year, the number (and percentage) of risk assessments performed using the generic
risk assessment statement of work and the number utilizing standard risk data reporting tables.
5. Number of sites considered as low priority for listing on the NPL because cleanup activities were considered
in setting priorities; the number of partial site deletions (Federal facility and other NPL sites) initiated by EPA
to return property to productive uses return, and the economic and other impacts on the community.
6. Number of Federal Facility Agreements revised to reflect changes in priority activities within DoD and DOE
facilities (i.e., number of agreements and number of milestones revised).
7. Number of non-Federal facility, NPL sites ranked (prioritized and funded) under the Superfund Risk-Based
Priority Setting System.
8. Number of negotiations where EPA offered to compensate a portion of the orphan share and the total dollar
amount offered; and number of settlements where EPA compensated for a portion of the orphan share and the
total dollar amount compensated.
9. Number of settlements establishing interest-bearing special accounts for future site costs and the total dollar
amount set aside in such accounts.
10. For each section 106 UAO issued, the number of parties identified at the site, the number of parties excluded
and documentation of the reasons for exclusion.
11. Number of settlements with de micromis parties and number of de micromis parties entering into such
settlements.
12. Number of Prospective Purchaser Agreements (PPAs) issued.
13. Number of sites where EPA discussed its previous and planned oversight activities with capable and
cooperative PRPs, documented the discussion, and issued an oversight bill as appropriate.
14. Number of NPL and non-NPL sites where the State (or Tribe) or community has a lead role in the response,
including selection of the cleanup remedy, consistent with CERCLA and the NCP.
15. Percentage of concerns addressed (i.e., referred, resolved, pending) by the Superfund Ombudsman.
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Module 3 Appendix Contents
• President Clinton's Memorandum—"Government-to-Government Relations with Native
American Tribal Governments" (April 29, 1994)
• Executive Order 12898—"Federal Action to Address Environmental Justice in Minority
Populations and EPA Policy for the Administration of Environmental Program on Indian
Reservations" (February 11, 1994)
• Executive Order 13007—"Indian Sacred Sites" (May 24, 1996)
• "EPA Policy for the Administration of Environmental Programs on Indian Reservations"
(1984) and accompanying Administrator Browner's Memorandum—"EPA Indian
Policy" (1994)
• Administrator Browner's Tribal Action Memorandum— "Announcement of Actions for
Strengthening EPA's Tribal Operations" (July 12, 1994)
9 EPA Strategic Plan pages 85 and 86 (1997)
• GAP distributions (March 4, 1998)
• Template for environmental agreements (TEA) (March 1995)
• Performance Partnership Grants program description
« AIEO matrix of program delegations to Tribes
• . OECA Guidance "Enforcement Activities in Indian Country" (To be added)
• AIEO update (April 1998)
• Tribal Operations Committee charter and membership list
« Senior Indian Manager's Group membership list
• National Indian Workgroup membership list
• Memorandum of Understanding Among BIA, EPA, and IHS
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