vvEPA
United States
Environmental Protection
Agency
Office of Solid Waste and
Emergency Response
Washington DC 20460
EPA'540/P-91/004b
Directive 9200 3-01F
June 1991
Superfund Program
Management Manual
Fiscal Year 1992
FINAL
Volume II
Appendix A
Appendix B
Appendix C
Appendix D -
Appendix E
Appendix F
Appendix G
Appendix H
Appendix I
FY 93 Methodologies
Applicability of the Freedom of
Information Act
CEPP Program Planning Requirements
Definitions
Coding for Case Budget
NPL Book
Environmental Indicators
RA Priority Setting
Federal Facilities Coding Guidance
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OSWER Directive 9200.3-01F
APPENDIX A
SUPERFUND COMPREHENSIVE ACCOMPLISHMENTS PLAN(SCAPVSTRATEGIC
TARGETED ACTIVITIES FOR RESULTS SYSTEMfSTARS) METHODOLOGIES FOR
TARGETS AND MEASURES
U.S. Environmental Protection Agency
Region 5, Library (PL-12J)
77 West Jackson Boulevard, 12th Floor
Chicago, IL 60604-3590
Printed on Recycled Paper
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OSWER Directive 9200.3-Q1F
APPENDIX A
This appendix provides the FY 92 methodologies for deriving preliminary SCAP/STARS
targets and projection measures.
If the application of the methodologies result in preliminary targets above the national
budget, a proportional calibration back to budget will be applied. This appendix should be used
as a tool for understanding the initial SCAP targets/measures issued to each region by HQ.
For all activities, final targets and projection measures will be established after HQ/
regional negotiations.
If there are any questions as to applicability of a particular activity to a target/measure,
please refer to Appendix D SCAP/STARS Activity Definitions.
The term "CERCLIS" is used to encompass the CERCLIS, CERHELP and/or WasteLAN
data systems.
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OSWER Directive 9200.3-01F
APPENDIX A
FT 93 METHODOLOGIES
TABLE OF CONTENTS
SITE ASSESSMENT METHODOLOGIES A-l
Preliminary Assessment (PA) Completions A-l
Screening Site Inspections (SSI) Completions A-l
REMEDIAL METHODOLOGIES A-3
REMEDIAL INVESTIGATION/FEASIBILITY STUDY (RI/FS) A-3
First RI/FS Starts Fund, PRP and PS-Lead A-3
Subsequent RI/FS Starts Fund and PRP A-4
RI/FS To Public Fund and PRP A-4
First RODs Fund and PRP A-4
Subsequent RODs Fund and PRP A-4
REMEDIAL DESIGN (RD) A-5
First RD Starts Fund and PRP A-5
Subsequent RD Starts Fund and PRP A-5
RD Completions Fund and PRP A-6
REMEDIAL ACTION (RA) A-6
RA Starts RP-Lead A-6
Award of RA Contract (First and Subsequent) Fund and PRP A-6
RA Completions (First, Subsequent and Final) Fund and PRP A-6
NPL Deletion Initiation A-7
REMOVAL METHODOLOGIES A-8
NPL Removal Starts - Fund and PRP A-8
Non-NPL Removal Starts Fund and PRP A-8
Removal Completions Fund and PRP A-8
NPL Site Completions through Removal Action-Fund and PRP A-8
ENFORCEMENT METHODOLOGIES A-9
Non-NPL PRP Search Start A-9
NPL PRP Search Start A-9
RI/FS Negotiation Starts A-9
RD/RA Negotiation Starts A-9
Completion of RD/RA Negotiations A-9
Administrative Cost Recovery Settlements A-10
Section 107 Referrals/Settlements <$200,000 A-10
Section 107 Pre-RA (Removal) Referrals/Settlements >$200,000 A-10
RD/RA Settlements A-10
RD/RA Injunctive Referrals A-10
Section 106,106/107 or 107 Case Resolution A-ll
Section 104 (e) Referrals A-ll
Section 104 (e) Case Resolutions A-ll
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OSWER Directive 9200.3-01 F
FEDERAL FACILITY METHODOLOGIES A-12
REMEDIAL INVESTIGATION/FEASIBILITY STUDIES (RI/FS) A-12
Federal Facility RI/FS Completion (ROD) A-12
Interagency Agreements (IAG) at NPL Sites A-13
OIL SPILL PROGRAM METHODOLOGIES A-13
Oil Spills Cleaned Up Using Oil Pollution Act (OPA) Funds A-13
On-Scene Monitoring of Responses to Oil Spills A-13
SPCC Inspections/Reviews A-13
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OSWER Directive 9200.3-01F
APPENDIX A - SCAP/STARS METHODOLOGIES FOR TARGETS AND MEASURES
SITE ASSESSMENT METHODOLOGIES
Preliminary Assessment (PA) Completions
METHODOLOGY: The PA completion measure for Fiscal Year (FY) 1992 reflects the
number of expected PA completions in the budget.
A PA completion measure for a particular Region is established through the following
procedures:
1) Tabulate the number of sites in the Comprehensive Environmental Response,
Compensation, and Liability Information System (CERCLIS) in each Region.
2) Project the number of sites to be added to CERCLIS in FY 92 and add this num-
ber to the number of sites in CERCLIS. The projected number of sites is deter-
mined by the number of sites added to CERCLIS from November 1989 through
November 1990.
3) Subtract the number of sites with actual PA completions and the FY 91 PA
completion planning estimate. The result supplies the projected universe of sites
without PA completions.
4) Determine each Region's percentage of sites without PA completions.
5) Multiply that percentage by the national budget number.
DIFFERENCE FY 91 - FY 92:
Screening Site Inspections (SSI) Completions
METHODOLOGY: The SSI completion target for FY 92 was established as a reason-
able goal given the Agency's program priorities.
Regional SSI completion targets are derived through the following procedures:
1) Determine the number of sites in CERCLIS in each Region.
2) Subtract 1) the sites which have an SSI recorded in CERCLIS; 2) sites where the
latest PA decision is No Further Remedial Action Planned (NFRAP); and 3)
FY 91 SSI completion targets. The results provide the universe of current sites
without SSI completions in each Region.
3) Add to the universe of current sites without SSI completions a projection on the
number of sites that will need SSIs as a result of the FY 91 PA effort. The projec-
tion is based on the FY 91 PA completion planning estimate multiplied by the
Region's No Further Remedial Action Planned (NFRAP) rate. (Sites with PA
completions divided by sites with NFRAP completion). This total represents the
complete universe of sites without SSI completions in each Region.
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OSWER Directive 9200.3-01 F
4) Calculate Regional percentages and apply these percentages to the FY 92 national
budget target to determine preliminary FY 92 Regional targets.
DIFFERENCE FY 91 - FY 92: This methodology assumes all Regions met the pre-
SARASSIgoalsinFY91.
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OSWER Directive 9200.3-01 F
REMEDIAL METHODOLOGIES
REMEDIAL INVESTIGATION/FEASIBILITY STUDY (RI/FS)
First RI/FS Starts Fund. Potentially Responsible Party (PRP^ and PS-Lead
METHODOLOGY: The national target for first RI/FS starts is based on the FY 92
budget. The Regional targets are determined as a function of 1) unaddressed sites and 2)
Regional performance in signing Record of Decisions (RODs). Following is the method-
ology:
1) Multitply the national RI/FS start target by 0.5.
2) Determine the number of unaddressed sites in each Region. The number of
unaddressed sites is determined by subtracting from the total number of National
Priorities List (NPL) sites 1) the number of Federal Facility sites, 2) sites with SR
and SN lead RI/FS, 3) sites where a remedial event (RI/FS, Remedial Design
(RD), Remedial Action (RA)) was started between FY80 and FY 90 and 4) FY 91
first RI/FS starts target.
3) Calculate each Region's percentage of the unaddressed sites.
4) Multiply steps 1 and 3 to determine Regional target based on unaddressed sites.
5) Determine the Regional ROD performance rate in FY89 and FY 90. To determine
performance rate, add total RODs signed in the Region in FY89 and FY 90 and
divide by the total number of RODs signed nationally (both numbers include first
and subsequent RODs).
6) Multiply step 1 and 5 to determine Regional target based on ROD performance.
7) Add steps 4 and 6 to determine total Regional first RI/FS start target projection.
8) Multiply step 7 by the national percentage of Fund-financed vs. RP-lead to deter-
mine program specific FY 92 Regional projections.
PS-lead:
A) The number of PS-lead RI/FS first starts is determined by adjusting the number of
projected PS-lead sites in CERCLIS to meet the FY 92 budget.
B) Each Region which plans a PS-lead site in CERCLIS shall receive at least one PS-
lead RI/FS.
DIFFERENCE FY 91 - FY 92: Regional performance on first and subsequent RODs was
factored into the methodology. The calculation of the Regional ROD performance rate
was revised.
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OSWER Directive 9200.3-01F
Subsequent RI/FS Starts Fund and PRP
METHODOLOGY: The target for subsequent RI/FS starts is based on the FY 92 budget.
Following is the methodology:
1) Determine the number of planned subsequent RI/FS starts identified in CERCLIS.
2) Calculate the percentage each Region's subsequent RI/FS starts represents of the
total number of subsequent starts in CERCLIS. Divide the number of candidates
for each Region by the sum of all candidates.
3) Multiply the Regional percentage by the Fund-financed and RP-lead budget
ceiling for subsequent RI/FS starts to determine FY 92 Regional projections.
DIFFERENCE FY 91 - FY 92:
RI/FS To Public Fund and PRP
METHODOLOGY: The initial Regional target for RI/FS to public equal the number of
RODs planned between second quarter FY 92 and first quarter FY 93 multiplied by the
Regional FY 90 ROD performance rate not to exceed 100%. FY 90 Regional ROD
performance rate equals the number of RODs signed in FY 90 divided by the number of
RODs targeted in FY 90.
DIFFERENCE FY 91 - FY 92:
First RODs Fund and PRP
METHODOLOGY: The initial Regional target for first ROD equals the number of Fund
and RP-lead first RODs planned in CERCLIS, multiplied by Regional FY 90 first ROD
performance ratenot to exceed 100%. FY 90 Regional ROD performance rate equals
the number of first RODs signed in FY 90 divided by the number of first RODs targeted
inFY90.
DIFFERENCE FY 91 - FY 92:
Subsequent RODs Fund and PRP
METHODOLOGY: The initial Regional target for subsequent RI/FS completions equals
the number of subsequent RODs planned in CERCLIS, multiplied by the Regional FY 90
subsequent ROD performance ratenot to exceed 100%. FY 90 Regional subsequent
ROD performance rate equals the number of subsequent RODs signed in FY 90 divided
by the number of subsequent RODs targeted in FY 90.
DIFFERENCE FY 91 - FY 92:
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OSWER Directive 9200.3-01 F
REMEDIAL DESIGN (RD)
First RD Starts Fund and PRP
METHODOLOGY: The national target for first RD starts is based on the Regions'
projected first RD starts in CERCLIS.
The methodology used to derive Regional first RD start targets is as follows:
A) Initial first RD starts in each Region is equal to the first RD starts in FY 92 multi-
plied by the Regional FY 90 RD performance rate. FY 90 Regional RD perform-
ance rate equals the number of FY 90 first RD start accomplishments divided by
the number of first RDs targeted in FY 90.
B) Fund-lead:
1) The historical rate of PRP takeovers from a Fund or State lead first ROD
is calculated for each Region. The rate of takeover is derived by calculat-
ing the number of FY89 and FY 90 Fund and State lead first RODs result-
ing in PRP first RD starts.
2) The Region's Fund-lead first RD starts identified in Step A are multiplied
by the historical rate of PRP takeovers. This results in the projected RP-
lead first RD starts.
3) Subtract the projected RP-lead first RD starts from the Fund-lead first RD
starts identified in Step A.
4) Calculate the Regional percentage of first Fund-lead RD starts based on
the remaining events.
5) Multiply the Regional percentage by the Fund-financed ceiling.
C) RP-lead:
1) Add the projected RP-lead first RD starts (Step B2) to the RP-lead first
RD starts identified in Step A
2) Calculate the Regional percentage of first RP-lead RD starts.
3) Multiply the percentage by the national RP-lead budget target.
DIFFERENCE FY 91 - FY 92: Regional performance was factored into methodology.
Subsequent RD Starts Fund and PRP
METHODOLOGY: The national target for subsequent RD starts is based on the
Region's projected subsequent RD starts identified in CERCLIS.
1) The initial target for Regional subsequent RD starts are based on CERCLIS
projections for subsequent RD starts scheduled in FY 92.
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OSWER Directive 9200.3-01F
2) Calculate each Region's percentage of Fund and RP-lead subsequent RD starts
identified in CERCLIS.
3) Multiply these percentages by the national budget targets for Fund and RP-lead
subsequent RD starts.
DIFFERENCE FY 91 - FY 92:
RD Completions Fund and PRP
METHODOLOGY: The initial national and Regional targets for RD completions are
based on projected FY 92 RD completions in CERCLIS multiplied by the Regional
FY 90 RD completion performance ratenot to exceed 100%. FY 90 Regional RD
completion performance rate equals the numbers of RDs completed in FY 90 divided by
the number of RD completions targeted in FY 90.
DIFFERENCE FY 91 - FY 92: Regional performance was factored into the methodol-
ogy.
REMEDIAL ACTION (RA)
Targets for Fund-lead first, subsequent and final RA starts will be determined
during negotiations in July based on the results of the RA environmental priority setting
panel meeting.
RA Starts RP-Lead
METHODOLOGY: Target for RP-lead RA starts through obligation of funds equals
100% of the Regions' projected first and subsquent RA starts in FY 92 in CERCLIS
adjusted to budget level.
DIFFERENCE FY 91 - FY 92:
Award of RA Contract (First and Subsequent) Fund and PRP
METHODOLOGY: Targets for first and subsequent RA starts through contract award
equal 100% of the Regions' projected first and subsequent RA starts through contract
award in FY 92 in CERCLIS adjusted to budget levels. Adjustments may also be made
based on the Regional Fund-financed target for RA starts through obligation of funds.
DIFFERENCE FY 91 - FY 92: Fund-financed projections may be adjusted based on the
Regional target for RA start through obligation of funds.
RA Completions (First. Subsequent and Final) Fund and PRP
METHODOLOGY: Targets for RA completions equal 100% of the candidate sites for
first, subsequent or final RA completions recorded in CERCLIS multiplied by the Re-
gional FY 90 RA completion performance ratenot to exceed 100%. FY 90 Regional
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OSWER Directive 9200.3-01 F
RA completion performance rate equals the numbers of RAs completed in FY 90 divided
by the number of RA completions targeted in FY 90.
DIFFERENCE FY 91 - FY 92: Regional performance was factored into the methodol-
ogy.
NPL Deletion Initiation
METHODOLOGY: Targets for NPL deletion initiation equal the projected deletions in
FY 92 in CERCLIS.
DIFFERENCE FY 91 - FY 92:
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OSWER Directive 9200.3-01F
REMOVAL METHODOLOGIES
NPL Removal Starts - Fund and PRP
METHODOLOGY: The national target for Fund and RP-lead NPL removal starts is
determined as follows:
1) Determine each Region's percentage of the combined number of Fund and PRP
NPL removal starts for FY88 through FY 90. This is done by adding the number
of Fund and RP-lead (under an enforcement order or decree) removal starts by
Region and dividing each Regional total by the sum of all Regional totals.
2) Multiply this percentage by the national Fund-lead NPL removal start target and
by the national RP-lead removal start target to obtain the preliminary NPL Re-
gional removal target.
DIFFERENCE FY 91 - FY 92: Using PRP removal starts rather than completions to
determine target.
Non-NPL Removal Starts Fund and PRP
METHODOLOGY:
1) Determine each Region's percentage of FY88 - FY 90 non-NPL Fund and PRP
removal starts.
2) Multiply this percentage by the national Fund-lead non-NPL removal starts target
and by the national RP-lead non-NPL removal start target to obtain the prelimi-
nary Regional targets.
DIFFERENCE FY 91 - FY 92: Using starts rather than completions for PRP lead remov-
als to determine target.
Removal Completions Fund and PRP
METHODOLOGY: The initial target for removal completions is based on projected
FY 92 completions in CERCLIS. Completion targets should closely match the NPL and
non-NPL start targets.
DIFFERENCE FY 91 - FY 92:
NPL Site Completions through Removal Action-Fund and PRP
METHODOLOGY: The initial target for NPL site completions through removal action is
based on projected FY 92 completions in CERCLIS.
DIFFERENCE FY 91 - FY 92:
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OSWER Directive 9200.3-01 F
ENFORCEMENT METHODOLOGIES
Non-NPL PRP Search Start
METHODOLOGY: Projections equal 90% of all non-NPL removal starts targeted.
DIFFERENCE FY 91 - FY 92:
NPL PRP Search Start
METHODOLOGY: Projections equal the number of sites targeted for a first Rl/rS start
(Fund and RP-lead) in FY 93.
DIFFERENCE FY 91 - FY 92:
RI/FS Negotiation Starts
METHODOLOGY: Projections equal 90% of the target for FY 92 first RI/FS starts
(Fund and RP-lead) and 50% of the target for FY 92 subsequent RI/FS starts (Fund and
RP-lead).
DIFFERENCE FY 91 - FY 92: The percentage for subsequent RI/FS starts was added.
RD/RA Negotiation Starts
METHODOLOGY: Targets equal 70% of the Fund and PRP FY 92 ROD targets. This
methodology is based on the following principles:
RD/RA negotiations begin the same quarter the ROD is signed;
No PS, SR, SN or FF lead RI/FS completions will be included; and
30% of the RODs will be at sites where there are no viable and liable PRPs and
will not require negotiations.
DIFFERENCE FY 91 - FY 92:
Completion of RD/RA Negotiations
METHODOLOGY: Targets equal 70% of the Fund and PRP RODs targeted for comple-
tion 91/3 - 92/2. This methodology is based on the following principles:
RD/RA negotiations begin the same quarter the ROD is signed and end two
quarters post-ROD;
No PS, SR, SN or FF lead RI/FS completions will be included; and
10% of the RODs will be at sites where there are no viable or liable PRPs and will
not require negotiations.
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OSWER Directive 9200.3-01F
DIFFERENCE FY 91 - FY 92:
Administrative Cost Recovery Settlements
METHODOLOGY: Each Region receives a target of one. The remainder of the budget
ceiling is allocated based on the Regional percentage of the sites contained in the Cost
Recovery Category Report (CRCR) Universe 1, categories 9 and 10.
DIFFERENCE FY 91 - FY 92:
Section 107 Referrals/Settlements <$2QO.OOQ
METHODOLOGY: Projections equal 5% of the unaddressed removal cost recovery
universe <$200,000 as identified in the CRCR, Universe 1, categories 9, 10, and 12.
DIFFERENCE FY 91 - FY 92: Category 11 is no longer included.
Section 107 or 106/107 Iniunctive Referrals/Settlements >$2QO.OOO
METHODOLOGY:
1) An initial universe of candidates is identified in the CRCR, Universe 3 and Uni-
verse 2.
2) From step 1 above, the Regions should subtract SOL cases identified for no
further cost recovery actions.
3) The total of step 1 minus step 2 is the baseline target. The baseline target will be
adjusted to the budget levels as necessary.
4) If resources exceed the baseline target (step 3), targets will be negotiated with the
Regions based on the sites available and the dollar value of those sites. All poten-
tial Statute of Limitation (SOL) cases will be targeted.
DIFFERENCE FY 91 - FY 92: Section 107 Pre-RA and Section 107 RA Referrals/
Settlements > $200,000 were combined.
RD/RA Settlements
METHODOLOGY: Targets equal 50% of RD/RA negotiation completions targeted in
FY92.
DIFFERENCE FY 91 - FY 92:
RD/RA Injunctive Referrals
METHODOLOGY: Targets equal 5% of RD/RA negotiation completions targeted in
FY 92. It is presumed that 5% of negotiations fail.
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OSWER Directive 9200.3-01 F
DIFFERENCE FY 91 - FY 92:
Section 106.106/107 or 107 Case Resolution
METHODOLOGY: Projections equal the number of 106, 106/107, or 107 case resolu-
tions scheduled in CERCLIS.
DIFFERENCE FY 91 - FY 92:
Section 104 (e) Referrals
METHODOLOGY: One referral projected per Region.
DIFFERENCE FY 91 - FY 92: One referral per Region instead of two.
Section 104 (e) Case Resolutions
METHODOLOGY: Projections equal the number of 104(e) case resolutions scheduled
in CERCLIS.
DIFFERENCE FY 91 - FY 92:
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OSWER Directive 9200.3-01 F
FEDERAL FACILITY METHODOLOGIES
REMEDIAL INVESTIGATION/FEASIBILITY STUDIES (RI/FS)
Federal Facility RI/FS Completion (ROD1
METHODOLOGY: Targets for Federal Facility RODs equal the number of projected
Federal Facility RODs in CERCLIS.
DIFFERENCE FY 91 - FY 92:
Interagency Agreements (IAG) at NPL Sites
METHODOLOGY: Targets for lAGs at NPL sites (proposed or final) equal the number
of proposed or final NPL sites without a signed IAG.
DIFFERENCE FY 91 - FY 92:
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OSWER Directive 9200.3-01F
OIL SPILL PROGRAM METHODOLOGIES
Oil Spills Cleaned Up Using Oil Pollution Act (OPA) Funds
METHODOLOGY: Determine each Region's percentage of FY88 - FY 90 spill clean-
ups. Multiply this by the national total to establish the Region's share.
DIFFERENCE FY 91 - FY 92:
On-Scene Monitoring of Responses to Oil Spills
METHODOLOGY: Determine each Region's percentage of FY88 - FY 90 monitoring
actions. Multiply this by the national total to establish the Region's share.
DIFFERENCE FY 91 - FY 92:
Spill Prevention. Control, and Countermeasure (SPCQ Inspections/Reviews
METHODOLOGY: Determine each Region's percentage of FY88 - FY 90 SPCC in-
spections. Multiply this by the national total to establish the Region's share.
DIFFERENCE FY 91 - FY 92:
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OSWER Directive 9200.3-01F
APPENDIX B
APPLICABILITY OF THE FREEDOM OF INFORMATION ACT TO SCAP
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OSWER Directive 9200.3-01F
APPENDIX B
APPLICABILITY OF THE FREEDOM OF INFORMATION ACT TO SCAP
TABLE OF CONTENTS
APPLICABILITY OF THE FREEDOM OF
INFORMATION ACT TO SCAP B-l
CERCLIS REPORTS RELEASABLE UNDER FOIA B-l
SENSITIVE SCAP-RELATED INFORMATION B-l
Exemption 7 Records or Information Compiled
For Law Enforcement Purposes B-2
Exemption 5 Privileged Interagency or
Intra-Agency Memoranda B-3
AD HOC REPORTING B-4
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OSWER Directive 9200.3-01F
APPENDIX B
APPLICABILITY OF THE FREEDOM OF INFORMATION ACT TO SCAP
CERCLIS REPORTS RELEASABLE UNDER 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. It includes:
SCAP-11 (Public SCAP NPL Site Summary);
SCAP-12 (Public SCAP Non-NPL Site Summary);
SCAP-22 Target Candidate List;
List-1 (Site Location);
List-3 (Site/Alias Crosswalk);
List-4 (Site/Alias Location);
List-8 (Site/Event Status);
AUDT-11 (Final and Proposed NPL Sites); and
STAT-3 (Program/Event Plans and Accomplishments).
SENSITIVE SCAP-RELATED INFORMATION
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 confi-
dential and therefore 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 CDs and all related information where the
planning information indicates that the action has or will be referred to HQ or to
DOJ. If the case is filed, the information may be released.
PRP lead 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 (FY/Q)
can be released. However, no subsequent response dates are releasable.
RD/RA-AO/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 Case Budget activity associated with the
following activities:
Litigation (106, 106/107,107) support;
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OSWER Directive 9200.3-01F
Removal negotiations;
Non-NPL and NPL PRP search;
RVFS 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.
Compliance code and status indicator.
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 of the financial viability of PRPs.
This information is protected from mandatory disclosure by the following FOIA exemp-
tions 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 7Records or Information Compiled For Law Enforcement Purposes
This exemption provides that records or information compiled for law enforce-
ment 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 exempted 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.
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OSWER Directive 9200.3-01F
Exemption 7(d) Disclosure could reasonably be expected to disclose
the identity of a confidential source. This includes protection of informa-
tion provided by the source on a criminal law enforcement investigation.
Exemption 7(e) Disclosure would reveal a special technique or proce-
dure 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 or information com-
piled 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.
EXEMPTION 5: Privileged Interagency or Intra-Agency Memoranda. Specifi-
cally, EXEMPTION 5, Privilage 1- Deliberate Process Privilege, and EXEMP-
TION 5, Privilege 4 - Government Commercial Information Privilege.
Exemptions Privileged Interagency or Infra-Agency Memoranda
Intra-agency records include reports prepared by outside consultants at the request
of the Agency. Recommendations from state officials to EPA may be considered
intra-agency records when EPA has solicited state comments, has a formal rela-
tionship 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 and frank
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 de-
nial). 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 docu-
ments prepared in anticipation of possible litigation. Litigation need not
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OSWER Directive 9200.3-01F
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 an 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 con-
struction proposals of private contractors.
The Expert Witness Privilege is commonly invoked to allow the withhold-
ing 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.
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.
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
OWPE CERCLA Enforcement Division 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. This includes the fol-
lowing:
If the information is protected under one of the FOIA exemptions, the information
will not be disclosed (except in cases of discretionary release).
B-4
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OSWER Directive 9200.3-01F
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.
B-5
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OSWER Directive 9200.3-01F
APPENDIX C
CEPP PROGRAM PLANNING REQUIREMENTS
-------
DRAFT
Chemical Emergency Preparedness and Prevention Office
FY 92 SCAP Measure
Objective: To promote knowledge and understanding of Title III.
SCAP 1: Report on the status of Title III implementation in each
of the Region's States.
SCAP 2: Report on the number and types of outreach activities
which EPA conducted, sponsored, assisted in developing or
participated in and include number and type of target
audience for each activity.
Definition:
Objective:
SCAP 3:
Outreach activities include, but are not limited to:
program status reports at conferences or workshops,
speeches, press releases, newsletters to State
Emergency Response Commissions (SERCs) and Local
Emergency Planning Committees (LEPCs), and
dissemination of informational materials. Outreach
activities should emphasize "multiplier" activities
whereby the recipient of the information will initiate
further outreach activities in that particular
organization with the goal of reaching the maximum
number of persons possible.
To enhance the ability of Regional Response Teams
(RRTs) to prepare for and provide assistance and
advice to the On-Scene Coordinator (OSC)/Remedial
Project Manager (RPM) during a response action.
Report on and describe participation in RRT activities.
RRT activities may include workplan development and
implementation committees, revision and maintenance of
Regional Contingency Plan, excercises, support of the
National Response Team, RRT response activities, work
linking Oil Spill Act implementation with Title III
SERCs/LEPCs, and training conducted through the RRT.
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DRAFT
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
CHEMICAL EMERGENCY PREPAREDNESS AND PREVENTION OFFICE
( CEPPO)
SPECIAL PREPAREDNESS PROGRAMS
DRAFT FY 1992 SCAP MEASURES AND TARGETS
REVISED 2/91
Program Area;
Objective:
Measure #1:
Catastrophic Disaster Preparedness Program
Improve Federal, State and local preparedness and
response to those disasters which activate the
"Federal Response Plan".
Report on the development, completion and/or
maintenance of
(a) The Hazardous Materials Supplement(s),
ESF #10 to the multi-agency "Federal Response
Plan" for the Region in accordance with the
August 1989, "Guidance for Regional
Supplements-ESF #10 (or subsequent updates).
This includes risk-area specific supplements
for the identified 13 high risk earthquake
areas as well as general supplements in all
Regions for implementing and utilizing the
Federal Response Plan for any other
catastrophic disaster (i.e. hurricane, flood,
terrorism) for which it may be activated.
(b) Planning support provided to other EPA
Regions; and
Frequency:
Target:
(c) On planning activity developments in other
ESF's for which EPA provides support.
Q 1, 2, 3, and 4, by Region.
Completion or maintenance of ESF #10 Hazmat
Supplements as follows:
Region Risk Areas
I Boston
I All other
II Buffalo
II Puerto Rico
Virgin Islands
II All other
Product and Due Date
(Must reflect FY-92
goals)
-------
DRAFT
Region
III
IV
IV
IV
V
V
VI
VI
VII
VIII
VIII
IX
IX
IX
X
X
Measure #2
Frequency:
Target:
Region
Risk Areas
All other
New Madrid-S. PASC
Charleston
All other
New Madrid-N. PASC
All other
New Madrid -S.PASC
All other
New Madrid -N.PASC
All other
Wasatch
All other
San Francisco
Los Angeles
San Diego and/or Hawaii
Puget Sound
Anchorage
All other
Product and Due Date
(Must reflect FY-92 goals)
of
Report on participation and dissemination
noteworthy information to other Regions and
Headquarters, on the following catastrophic
disaster preparedness activities (exercises,
simulations, workshops, planning sessions and
other similar disaster preparedness activities
involving Federal, State or local persons or
governments).
Q 1, 2, 3, and 4, by Region
Participation in 2 or more such activities during
FY, including, but not limited to, the following:
Activity
To be updated to reflect FY-92
-------
DRAFT
Program Area National Security Emergency Preparedness
Program Program
Objective: Improve EPA's preparedness for carrying
out its responsibilities as outlined in
E.G. 12656 in the event of a national
security emergency event or exercise.
Measure #1 Report on full participation in the
following National Security Emergency
Preparedness (NSEP) activities:
Headquarter's EPA, FEMA or other agency
planning sessions, workshops, training,
or exercises; and on assisting in the
development of support materials (i.e.
policy papers, ADP information, training
and exercise materials, etc., for the
Program.
Frequency: Q 1, 1, 2, and 4, by region
Definitions: "Full Participation", means that the team
assigned NSEP responsibilities will
engage in exercises and training
activities leading to those exercises on
the average of 10-12 days per year.
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Office of Solid Waste and Emergency Response
FY 1992
Chemical Emergency Preparedness and Prevention Definitions
GOAL: To prevent accidental chemical releases and to minimize the consequences should they occur.
OBJECTIVE:
To improve State/Tribal/local chemical emergency
preparedness and enhance their response capability.
ACTIVITY; Technical assistance and training activities
MEASURE; Report and describe technical assistance and training
activities which EPA conducted, sponsored, developed.
assisted in developing, participated in, or presented.
ACTIVITY; State, Tribal or local exercises or after incident
evaluations
STARS CODE: CEP-1
TARGETED: Yes
REPORTED ONLY: No
SUNSET: 1991
MEASURE: Report on number of State, Tribal or local exercises or
after incident evaluations in which EPA conducted,
sponsored, assisted in developing or participated.
STARS CODE: CEP-2
TARGETED: Yes
REPORTED ONLY: No
SUNSET: 1991
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Office of Solid Waste and Emergency Response
FY 1992
Chemical Emergency Preparedness and Prevention Definitions
GOAL: To prevent accidental chemical releases and to minimize the consequences should they occur.
OBJECTIVE:
Develop the foundation for Regional chemical accident
prevention program which will minimize the magnitude of chemical
releases and enhance safety practices and procedures.
preparedness and enhance their response capability.
ACTIVITY; Accidental Release Information Program questionnaires
MEASURE; Report number of Accidental Release Information
Program (ARIP) questionnaires sent to and returned by
facilities having releases.
ACTIVITY; Chemical safety audits
MEASURE; Report on number of chemical safety audits conducted.
STARS CODE: CEP-3
TARGETED: No
REPORTED ONLY: Yes
SUNSET: 1991
STARS CODE: CEP-4
TARGETED: Yes
REPORTED ONLY: No
SUNSET: 1991
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Office of Solid Waste and Emergency Response
FY 1992
Chemical Emergency Preparedness and Prevention Office Definitions
CEP-1 TECHNICAL ASSISTANCE
The provision of expertise to improve preparedness capabilities and to stimulate initiatives taken by
SERCs, Tribes, LEPCs, and labor, environmental, trade and professional organizations to prevent
accidental releases of chemicals. It includes both consultation (in the field with the recipient),
workshops, or other means. It does not include formal training courses; the provision of equipment;
telephone conversations, except where the assistance involves a series of lengthy calls and written
material is prepared or provided as a follow-up to the call; or update reports provided at conferences
or meetings.
This assistance includes, but is not limited to:
o Assistance in organizing, developing, and implementing preparedness, prevention, or community
right-to-know programs and activities;
o Assistance in organizing and conducting CEPP-related workshops;
o Assistance in development and review of emergency plans (including hazards analysis);
o Assistance in information management or risk communication;
o Assistance in development of haz-mat teams;
o Assistance in dispersion modeling and air-monitoring;
o Assistance in evaluation or installation of alarm/alerting systems;
o Assistance in developing and conducting projects for enhancing chemical process safety;
o Assistance in projects which increase the integration or preparedness efforts and response
activities such as participation in a multi-party local planning/response team, such as EPA,
Coast Guard and local industry;
o Assistance in projects which enhance capabilities of SERCs/Tribal Emergency Response
Commissions/LEPCs which are not fully functioning such as a review of an LEPC, followed by the
assistance described above.
TRAINING ACTIVITIES
Formal educational presentations using instructional materials and techniques. In-house EPA training
for EPA employees or EPA contractors will not count towards meeting this measure. In order to meet
this measure, EPA must have developed and/or presented the training activity. The term "EPA" refers
to the CEPP office.
-------
Office of Solid Waste and Emergency Response
FY 1992
Chemical Emergency Preparedness and Prevention Definitions
CEP-2 SIMULATION EXERCISES
Table-top, full field, or functional exercises conducted to test or evaluate a contingency plan.
Regions are expected to provide technical or programmatic assistance to States, Tribes or communities
to develop the exercise and/or to actively participate in the exercise (e.g. exercise leader,
evaluator, facilitator). Exercise development should include EPA involvement throughout the planning
process for the exercise. Providing a copy of guidance material does not constitute fulfillment of
this requirement. The Region must write a post-exercise report describing the assistance provided
and/or participation in the exercise and the outcome of the exercise. This report should be held in
the Regional Office and made available for Regional reviews. Regional assistance or participation in
testing an internal EPA plan will not count towards meeting this measure. After incident evaluations
are EPA and local or EPA, State/Tribal and local analyses of the preparedness and response
capabilities of a local community for a chemical accident. To meet this measure, Regions should
conduct the analyses with local or with State/Tribal and local community involvement.
CEP-3 ACCIDENTAL RELEASE INFORMATION PROGRAM
Program designed to:
a) To focus high-level management attention on facilities having repeated or "serious" releases,
which may stimulate them to undertake prevention initiatives on their own; and
b) To provide EPA with accurate information on the causes of releases and the activities
currently underway in the private sector to prevent them from occurring.
TRIGGERED RELEASES
The Accidental Release Information Program (ARIP) is focusing on releases which are "serious".
Currently, the criteria or triggers being utilized to identify "serious" releases are:
o Starting with the fourth release and ending with the tenth release in a twelve-month period.
o A release greater than 1,000 Ibs. for hazardous substances having RQs = 1, 10, or 100 Ibs. - or a
release of 10,000 Ibs. for hazardous substances having RQs = 1,000 or 5,000 Ibs.
Office of Solid Waste and Emergency Response
-------
FY 1992
Chemical Emergency Preparedness and Prevention Definitions
o Any release resulting in death, injury, or severe environmental damage.
o A release of an extremely hazardous substance above the RQ.
LETTERS/QUESTIONNAIRES
Once a facility has met a trigger, the Region is required to draft a letter combining the authorities
of CERCLA, SARA, CAA, and RCRA, send it to the plant manager, along with the questionnaire EPA has
developed. A copy of the response must be sent to Headquarters.
CEP-4 ON-SITE CHEMICAL SAFETY AUDIT
An on-site review of a particular process/handling and management operations at a site from a chemical
process safety standpoint and includes the preparation of and submittal to Headquarters of a final
report of the on-site review. It is an audit of safety procedures, facility, equipment, training and
contingency planning, as well as management commitment.
-------
Office of Solid Waste and Emergency Response
FY91
CERCLA/EPCRA Enforcement Definitions
Investigations means any follow-up inquiries, such as information request letters, on-site reviews or
inspections to verify a facility's compliance with EPCRA and CERCLA 103 and which could produce
evidence upon which a complaint could be based. A phone call will generally not be considered an
investigation.
Referred means that the administrative complaint being submitted to the Office of Regional Counsel is
in near final form, that all evidence supporting the counts alleged in the complaint be documented in
the case file, that all penalty calculations be documented in the case file, and that a memorandum be
sent from the division requesting ORC review of the complaint.
-------
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
Office of Waste Programs Enforcement
FY92
Program Area; CERCLA/EPCRA ENFORCEMENT
GOAL: Increase compliance with EPCRA §§302, 303, 304, 311, and 312 and CERCLA 103
OBJECTIVE!
ACTIVITY:
MEASURE;
ACTIVITY;
MEASURE;
ACTIVITY:
MEASURE;
Achieve and maintain a high level compliance with EPCRA sections 302, 303, 304,
311, and 312 and CERCLA section 103.
Investigations. Report the number of:
EPA facility compliance investigations of possible violations of
CERCLA 103 and EPCRA §302, 303, 304, 311, and 312*.
Penalty Enforcement Actions. Report the number of:
Administrative complaints referred to Office of Regional Counsel.
Non-Penalty Actions. Report the number of:
Administrative Orders for violations of EPCRA §§302 and 303
issued.
STARS CODE: 51?
TARGETED: YES
REPORT ONLY: NO
SUNSET:
STARS CODE: 52?
TARGETED: YES
REPORT ONLY: NO
SUNSET:
STARS CODE: 53?
TARGETED: NO
REPORT ONLY: YES
SUNSET: x
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
Office of Waste Programs Enforcement
FY92
CERCLA/EPCRA ENFORCEMENT DEFINITIONS
STARS CODE 51: INVESTIGATIONS
Investigation means any follow-up inquiries, such as information request letters,
on-site reviews or inspections to verify a facility's compliance with EPCRA and CERCLA
103 and which could produce evidence upon which a complaint could be based. A phone
call will generally not be considered an investigation.
STARS CODE 52: PENALTY ENFORCEMENT ACTIONS
Referred means that the administrative complaint being submitted to the Office of
Regional Counsel is in near final form, that all evidence supporting the counts alleged
in the complaint be documented in the case file, that all penalty calculations be
documented in the case file, and that a memorandum be sent from the division requesting
ORC review of the complaint.
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OSWER Directive 9200.3-01 F
APPENDIX D
SUPERFUND COMPREHENSIVE ACCOMPLISHMENTS PLAN (SCAPV
STRATEGIC TARGETED ACTIVITIES FOR RESULTS SYSTEM
(STARS) TECHNICAL DEFINITIONS
-------
OSWER Directive 9200.3-01 F
APPENDIX D
SCAP/STARS TECHNICAL DEFINITIONS
TABLE OF CONTENTS
SECTION I: SCAP/STARS DEFINITIONS FOR TARGETS AND MEASURES
SITE ASSESSMENT DEFINITIONS D-l
INTRODUCTION D-l
PA Completions under EPI (S/F-2) D-l
PA Completions D-l
SI Completions (S/F-1) D-2
REMEDIAL DEFINITIONS D-4
INTRODUCTION D-4
REMEDIAL INVESTIGATION/FEASIBILITY STUDIES (RI/FS) D-4
Rl/FS Start First and Subsequent D-5
Treatability Study D-6
RI/FS Projects Nominated for SITE Program (S/C-8) D-7
Trend in RI/FS Duration D-7
RI/FS to Public D-8
Remedies Selected (ROD) First and Subsequent (S/C-10) D-8
REMEDIAL DESIGN (RD) D-12
RD Starts First and Subsequent D-12
Trend in ROD Signature to RD Start Duration D-13
RD Completions First and Subsequent (S/C-3) D-14
REMEDIAL ACTION (RA) D-16
RA Start First and Subsequent D-16
RA Contract Award (S/C-4) D-17
Trend in ROD Signature to RA Start Duration D-17
RA On-Site Construction D-18
RA Completion First and Subsequent (S/C-5) D-18
NPL Site Completion Through Final RA (S/C-6) D-19
NPL Deletion Initiation D-19
RESPONSE DEFINITIONS D-21
INTRODUCTION D-21
First NPL Removal Action or RI/FS (S/C-7) D-21
Progress Through Environmental Indicators D-21
REMOVAL DEFINITIONS D-24
INTRODUCTION D-24
REMOVAL ACTIVITIES D-24
Removal Investigations at NPL Sites D-24
Removal Starts NPL and Non-NPL D-25
Emergency Response Activity D-26
NPL and Non-NPL Removal Completions and NPL
Site Completions through Removals D-27
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OSWER Directive 9200.3-01F
ENFORCEMENT DEFINITIONS D-30
INTRODUCTION D-30
PRP SEARCHES AND NEGOTIATIONS D-30
Issuance of General Notice Letters D-30
Issuance of Special Notice Letters D-31
Section 104(e) Letters Issued D-31
PRP Search Starts (NPL and Non-NPL) D-31
PRP Search Completion (NPL and Non-NPL) D-32
RI/FS Negotiation Starts D-32
RI/FS Negotiation Completions D-33
RD/RA Negotiation Starts D-33
RD/RA Negotiation Completions D-33
Trend in ROD Signature to RD/RA Negotiation
Completion Duration (S/E-3a) D-34
SETTLEMENTS, REFERRALS AND OVERSIGHT D-38
Section 104(e) Referrals/Orders (S/E-2a) D-38
Administrative Record Compilation (Remedial and Removal) D-39
Section 106,106/107,107 Case Resolution D-39
Dollars Achieved Toward Cost Recovery MBO Goal (S/E-7a) D-40
RD/RA Settlements and Injunctive Referrals (S/E-la and Ib) D-40
Unilateral Orders Issued for RD/RA (S/E-lc) D-41
Section 107 or 106/107 Settlements and Injunctive
Referrals (>$200,000) (S/E-5a and 5b) D-42
Section 107 Referrals (<$200,000) D-42
Administrative Cost Recovery Settlements D-43
Administrative Orders Issued for Removals and RI/FS (S/E-2b) D-43
Issue Demand Letter D-43
Issue Cost Recovery Decision Document D-44
Use of Alternative Dispute Resolution (ADR) D-44
State Order for RI/FS D-44
State Consent Decree for RD/RA D-44
Mixed Funding Settlements (S/E-3b) D-45
De minimis Settlements (S/E-3a) D-45
FEDERAL FACILITY DEFINITIONS D-51
Federal Facility Remedy Selected (ROD) D-51
Signed Interagency Agreements at NPL Sites D-51
OIL SPILL ACTIVITY DEFINITIONS D-53
INTRODUCTION D-53
Oil Spills Cleaned up Using OPA Funds D-53
On-Scene Monitoring of Responses to Oil Spills D-53
SPCC Inspections/Reviews D-53
SECTION II: MISCELLANEOUS DEFINITIONS
REMEDIAL PROGRAM DEFINITIONS D-57
PROJECT SUPPORT D-57
Community Relations D-57
Design Assistance D-57
Forward Planning D-58
Long Term Remedial Action (LTRA) D-58
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OSWER Directive 9200.3-01F
Management Assistance/Support Agency Assistance D-59
Operational and Functional D-59
Operation and Maintenance (O&M) D-60
Technical Assistance D-60
Technical Assistance Grants D-61
HAZARDOUS SUBSTANCES RELEASE D-62
Hazardous Substances Release Notification D-62
Hazardous Substances Release Investigations D-62
On-Scene Monitoring of Responses to Hazardous
Substance Releases D-62
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OSWER Directive 9200.3-01 F
Section I
SCAP/STARS DEFINITIONS FOR TARGETS AND MEASURES
The definitions contained in this Appendix are those that were available at the
time the Manual went to the printer. Every effort has been made to ensure that
the definitions contained herein for SCAP and STARS targets and measures
were consistent. If there are inconsistencies, the STARS definition is the
official definition. If STARS definitions are revised during the year, an
addendum to the Superfund Program Management Manual will be published.
The term "activity" as used in the definitions applies to a specific action. It
does not relate to the CERCLIS use of the term "activity" which is applied to
enforcement actions.
The term "CERCLIS" is used to encompass the CERCLIS, CERHELP and
WasteLAN data systems.
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OSWER Directive 9200.3-01 F
APPENDIX D - SECTION I: SCAP/STARS DEFINITIONS FOR TARGETS AND
MEASURES
SITE ASSESSMENT DEFINITIONS
INTRODUCTION
The site assessment targets/measures track the initial events at Superfund sites. Two site
assessment events are projected and tracked through the Superfund Comprehensive Accomplish-
ments Plan (SCAP)/Strategic Targeted Activities for Results System (STARS) process:
Preliminary Assessment (PA) Completions under the Environmental Priorities
Initiative (EPI);
PA Completions; and
Site Inspection (SI) Completions.
PA completions under EPI is a STARS reporting measure. SI completions is a SCAP/
STARS target. PA completions is a SCAP measure. Regions propose targets for all site assess-
ment activities in the CERHELP data system. Funds for site assessment activities are included
in the other response Advice of Allowance (AOA).
ACnVITY: PA Completions under EPI (S/F-2)
DEFINITION: A PA is the first stage of site assessment which determines whether a site
should be recommended for further Comprehensive Environmental Response, Compen-
sation, and Liability Act of 1980 (CERCLA) action. Federal, State, and local govern-
ment files, geological and hydrological data, and data concerning site practices are
reviewed to complete the PA report. A site reconnaissance is also conducted.
DEFINITION OF ACCOMPLISHMENT: A PA is complete when the report is reviewed
and approved by the Region and the Comprehensive Environmental Response, Compen-
sation, and Liability Information System (CERCLIS) contains the PA completion date
and the decision on further activities is shown in the Event Qualifier Field. Although a
site can have multiple PAs, only the first completed PA with an 'S' or 'F' lead counts
toward the target. This measure counts only those PAs conducted at Resource Conserva-
tion and Recovery Act (RCRA) facilities which are eligible under EPI.
CHANGES IN DEFINITION FY 91 - FY 92: Only RCRA facilities eligible under EPI
are included in this measure.
SPECIAL PLANNING/REPORTING REQUIREMENTS: Accomplishments are re-
ported site specifically in CERCLIS.
ACTIVITY: PA Completions
DEFINITION: A PA is the first stage of site assessment which determines whether a site
should be recommended for further CERLCA action. Federal, State, and local govern-
ment files, geological and hydrological data, and data concerning site practices are
reviewed to complete the PA report. A site reconnaissance is also conducted.
D-l
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OSWER Directive 9200.3-01 F
DEFINITION OF ACCOMPLISHMENT: A PA is complete when the report is reviewed
and approved by the Region and CERCLIS contains the PA completion date and the
decision on further activities is shown in the Event Qualifier Field. Although a site can
have multiple PAs, only the first completed PA with an 'S' or 'F' lead counts toward the
target.
CHANGES IN DEFINITION FY 90 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: For budget and resource
allocations, separate projections must be made for Environmental Protection Agency
(EPA) vs. State PA completions. Accomplishments are reported site specifically in
CERCLIS.
ACTIVITY: SI Completions fS/F-n
DEFINITION: The SI involves collection of field data from a hazardous substance site
for the purpose of characterizing the magnitude and severity of the hazard posed by the
site and/or to support enforcement. An SI should provide adequate data to determine the
site's Hazard Ranking System (HRS) score.
DEFINITION OF ACCOMPLISHMENT: An SI is complete when 1) a Screening Site
Inspection Report has been received from FIT/ARCS or the State; 2) the report has been
reviewed and approved by the appropriate Regional official; and 3) CERCLIS contains
the SI completion date and the decision on further activities in the Event Qualifier Field.
Although a site can have multiple Sis, only the first completed SI with an 'S' or 'F' lead
counts toward the target. Federal Facility Sis are not included.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: Commitments are made
based on the sum of the EPA and State conducted Sis. However, for budget and resource
allocations, separate projections must be made for EPA vs. State SI completions. Re-
gions propose targets in the CERHELP non-site data system. Accomplishments are
reported site specifically in CERCLIS.
D-2
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OSWER Directive 9200.3-01 F
SITE ASSESSMENT DEFINITIONS
PLANNING REQUIREMENTS
TARGET OR MEASURE?
QUARTERLY TARGETS?
PRIOR
TOFY
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
PLANNED/REPORTED ON
OPERABLE UNIT
OR WHOLE SITE BASIS?
WHOLE
SITE
WHOLE
SITE
WHOLE
SITE
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
OTHER
RESPONSE
OTHER
RESPONSE
OTHER
RESPONSE
AOA CATEGORY?
NON-SITE
PLANS
NON-SITE
PLANS
NON-SITE
PLANS
BASIS FOR AOA?
D-3
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OSWER Directive 9200.3-01F
REMEDIAL DEFINITIONS
INTRODUCTION
The remedial program consists of on-site response actions beginning with the first Reme-
dial Investigation and Feasibility Study (RI/FS) and proceeding through Remedial Design (RD)
and Remedial Action (RA) to eventual deletion of the site from the National Priorities List
(NPL). All remedial response actions are planned site specifically with quarterly and annual
targets set prior to the beginning of the Fiscal Year (FY). Remedial response actions at sites are
Fund or Potentially Responsible Party (PRP).
REMEDIAL INVESTIGATION/FEASIBILITY STUDIES fRI/FS)
Following are the SCAP and STARS events tracked for RI/FS:
First RI/FS Starts;
Subsequent RI/FS Starts;
Treatability Studies;
RI/FS Projects Nominated for the Superfund Innovative Technology Evaluation
(SITE) Program;
RI/FS to Public;
Trend in RI/FS Duration;
First Remedy Selected (Record of Decision (ROD)); and
Subsequent Remedy Selected (ROD).
Remedies selected (RODs) are a STARS and SCAP target. RI/FS starts are SCAP
targets. First RI/FS start or first NPL removal start is a target under STARS measure S/C-7 titled
Number of Sites Where Activity has Started. RI/FS projects nominated for the SITE program is
a STARS reporting measure. Treatability studies and trend in RI/FS duration are SCAP mea-
sures. All other RI/FS activities are SCAP targets.
All commitments are made on a combined Fund and PRP financed basis. Separate Fund-
financed and PRP goals for RI/FS starts are set prior to the FY and there is a limit on the number
of RI/FS starts during the FY. All RI/FS activities are planned on a site, Operable Unit (OU) and
project-specific basis and entered into CERCLIS. Funds for RI/FS projects are in the RI/FS
AOA.
For the definitions below, first and subsequent RI/FS starts have been combined, as have
first and subsequent remedy selections (RODs).
D-4
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OSWER Directive 9200.3-01 F
ACTIVITY: RI/FS Start First and Subsequent
DEFINITION: The RI/FS is an investigation designed to characterize the site, assess the
nature and extent of the contamination, evaluate potential risk to human health and the
environment, and develop and evaluate potential remediation alternatives.
In order for the RI/FS to be counted as a first start it must not have had previous RI/FS
activity at the site, a prior CERCLA settlement or prior Fund obligation for Remedial
Investigation (RI), Feasibility Study (FS), or RI/FS. In order for the RI/FS to be counted
in the STARS target S/C-7, Number of Sites Where Activity has Started, First NPL
Removal Actions and RI/FS, it must not have had previous RI/FS 01 removal activity at
the site.
Obligation of funds for forward planning, community relations and/or other support
activities do not constitute an RI/FS start. A subsequent RI/FS is any RI/FS that starts
after the first one.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed (Including F and S lead events.) - A Fund RI/FS start is counted when
funds are obligated. Funds are obligated when:
The contract modification for the RI/FS has been signed by the Contracting Offi-
cer (CO);
An Interagency Agreement (IAG) has been signed by the other Federal Agency
(U.S. Army Corps of Engineers (USAGE) or Bureau of Reclamation (BUREC));
or
A Cooperative Agreement (CA) has been signed by the Regional Administrator or
his designee to conduct an RI/FS; and
Obligations have been recorded or documented in CERCLIS as of the end of the
reporting period.
If a subsequent RI/FS or focused FS is initiated without a new obligation of funds, the
start date is defined as EPA approval of the workplan for the subsequent RI/FS.
PRP-financed (Includes RP-, MR-, and PS- lead events) - A Responsible Party (RP)-lead
RI/FS start counts when one of the following enforcement actions occurs:
An Administrative Order on Consent (AOC) is signed by the last appropriate
official or party. The RI/FS start date is the AOC completion date (last signature
date);
A Consent Decree (CD) is referred by the Region to Department of Justice (DOJ)
or Headquarters (HQ). The RI/FS start date is the last signature date by the appro-
priate official or party (e.g., the Regional Administrator, DOJ, or HQ);
A State order or comparable enforcement document is signed by the last appropri-
ate official or party and the site is covered by one of the following:
D-5
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OSWER Directive 9200.3-01F
State enforcement CA that covers the site; or
Superfund Memorandum of Agreement (SMOA) containing a schedule for
RI/FS work at the site; or
Other State/EPA agreement.
If a subsequent RI/FS is initiated without a new or amended AOC, CD, State order, or
other comparable State enforcement document, the start date for the RI/FS is defined as
EPA's or the State's approval of the workplan for the subsequent RI/FS.
If an AOC, a State order, or other comparable State enforcement document is amended
for the subsequent RI/FS, the start date is the date the last official signs the amendment.
If an EPA CD is amended, the start date is the last signature date by the appropriate
official or party.
EP-lead - An EP-lead RI/FS counts when the Region begins preparation of the
workplans following the initial scoping meeting.
CHANGES IN DEFINITION FY 91 - FY 92: The definition for situations where a CD is
negotiated was changed from the date the PRPs give EPA notice they will be starting the
RI/FS by complying with the CD to the signature date by the appropriate official or party.
SPECIAL PLANNING/REPORTING REQUIREMENTS: First RI/FS start or first NPL
removal start is a target under STARS. Individual targets for first RI/FS starts and NPL
removals are established in SCAP for budget purposes. RI/FS starts include Fund-
financed and RP-lead activities. Separate Fund-financed and RP-lead RI/FS start targets
will be established in SCAP prior to the FY. A limit will be placed on the number of
Fund-financed, RP and PS lead RI/FS that can be started during the FY. Targets are
established site specifically. For first RI/FS starts, "to be determined (TBD)" sites are
allowed.
A shift between a Fund or PRP RI/FS can occur. If a PRP takes over a RI/FS before or at
the RI/FS workplan approval stage, the lead at this site should be changed from Fund to
PRP. If the PRP begins the RI/FS and it is subsequently taken over by the Fund the same
criteria apply.
Regions cannot receive credit for a site under STARS S/C-7, Number of Sites Where
Activity has Started, First NPL Removal Actions and RI/FS, if an RI/FS pr NPL removal
began or was conducted at the site in a previous year. Regions also cannot receive credit
for both an RI/FS start and an NPL removal if they are started in the same year. Credit is
given for the first activity started and a site can receive credit only once. Therefore,
historical data must be reviewed prior to negotiating commitments and reporting accom-
plishments in STARS. Regions can receive credit for both individual events in SCAP.
ACTIVITY: Treatability Study
DEFINITION: Treatability studies are the field efforts to support the evaluation of
alternatives to determine their applicability for the site.
D-6
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OSWER Directive 9200.3-01F
DEFINITIQN OF ACCOMPLISHMENT:
Fund-financed - The start of the treatability study is the obligation of funds specifically
for the study. If unexpended RI/FS or RD funds are used for the treatability study, the
start date is the date of EPA approval, as reflected in CERCLIS, of the treatability study
workplan. The completion is the approval of the report on the results of the treatability
study.
PRP-financed - The treatability study starts when EPA approves the treatability study
workplan submitted by the PRPs.
CHANGES IN DEFINITION FY 91 - FY 92: Added PRP-financed treatability study
definition.
SPECIAL PLANNING/REPORTING REQUIREMENTS: Planned and actual start and
completion dates are required in CERCLIS. Funds are planned site specifically and are
placed in the other response AOA.
ACTIVITY: RI/FS Projects Nominated for SITE Program (S/C-8)
DEFINITION: The SITE program assesses new technologies for the treatment of hazard-
ous waste. Technologies enter the program through an annual solicitation. Once tech-
nologies are selected, it is necessary to find demonstration sites.
DEFINITION OF ACCOMPLISHMENT: The nomination of an RI/FS project for the
SITE program is accomplished when the Region sends a memorandum to HQ formally
submitting the site for consideration as a location for a demonstration project. An in-
house (EP-lead) treatability study ("TS") with an Activity/Event Planning Status (C2110)
of Alternate ("A") is entered into CERCLIS. The date of the memorandum nominating
" the site is placed in the planned start data field (C2130).
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: Accomplishments are re-
ported site specifically. Fund-financed or RP-lead sites may be submitted for consider-
ation.
ACTIVITY: Trend in RI/FS Duration
DEFINITIQN: The RI/FS is an investigation designed to characterize the site, assess the
nature and extent of contamination, evaluate potential risk to human health and the
environment, and develop and evaluate potential remediation alternatives.
The RI/FS starts with the obligation of Fund monies or the signature of an AO for RI/FS.
The RI/FS is complete with the signature of the ROD.
The objective of this measure is to convey a positive message with respect to manage-
ment of critical portions of the remedial pipeline and establish a methodology which
accurately assesses program performance. The Integrated Timeline for site management
(Volume I, Chapter I) will be used for establishing performance expectations. Duration
trends will address the need for continuous improvements relative to meeting the goals
outlined in the timeline.
D-7
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OSWER Directive 9200.3-01 F
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 92. The RI/FS duration will be calculated based
on the SCAP/STARS RI/FS start and completion definitions specified in this Manual.
Regional performance in FY 92 will be compared to:
The Region's duration of RI/FS projects completed in FY 90 and FY 91; and
The Region's average duration of RI/FS projects completed in previous quarters of
FY92.
CHANGES IN DEFINITION FY 91 - FY 92: New definition for FY 92.
SPECIAL PLANNING/REPORTING REQUIREMENTS: CERCLIS will automatically
look at actual RI/FS start dates, and planned and actual RI/FS or ROD completion dates.
HQ will perform the analysis of the average durations.
ACTIVITY: RI/FS to Public
DEFINITION: The RI/FS is released to the public when the contamination at the site has
been characterized and alternatives for remediation have been evaluated.
DEFINITION OF ACCOMPLISHMENT: An RI/FS to public is accomplished the date
the proposed plan is available to the public. This date must be recorded in CERCLIS
(C3101) with the RI/FS event under subevent code "CF."
CHANGES IN DEFINITION FY 91 - FY 92: Eliminated the term "and the public
comment period on the RI/FS begins."
SPECIAL PLANNING/REPORTING REQUIREMENTS: Commitments are made
based on first and subsequent RI/FS released to the public regardless of lead.
ACTIVITY: Remedies Selected (ROD) First and Subsequent (S/C-lQl
DEFINITION: A remedy is selected at the completion of the RI/FS. Upon completion of
the public comment period on the RI/FS, a ROD which identifies the Agency's selected
remedy for a site or phase of site cleanup is signed by the Assistant Administrator for the
Office of Solid Waste and Emergency Response (AA SWER) or the Regional Adminis-
trator/Deputy Regional Administrator.
When the 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 RD pilot scale testing and a decision is made to switch to another
remedy. This would represent a fundamental change or amendment to the ROD. When
such fundamental changes are made to a remedy, the ROD process (revised proposed
plan, public comment period, public meeting, responsiveness summary, and amended)
are repeated.
DEFINITION OF ACCOMPLISHMENT: The date the ROD is signed by the Regional
Administrator/Deputy Regional Administrator or the AA SWER is the remedy selection
date. This date must be entered in CERCLIS as both the RI/FS and ROD completions.
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OSWER Directive 9200.3-01 F
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: Commitments are made
based on F or FE lead RODs that result from F, S, EP, MR, RP, or PS lead RI/FS. The
RVFS completion date and ROD completion date are the same. Planned and actual dates
must be entered with both events in CERCLIS. Regions will get SCAP/STARS credit for
amended RODs.
D-9
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a
i
t*
o
REMEDIAL DEFINITIONS
Remedial Investigation/Feasibility Studies
PLANNING REQUIREMENTS
STARS?
SCAP?
TARGET OR MEASURE?
QUARTERLY TARGETS?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES, WHEN?
PLANNED/REPORTED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC BASIS?
FIRST RI/FS
START
NO*
YES
TARGET
YES
PRIOR
TOFY
YES***
PRIOR
TOFY
OPERABLE
UNIT
COMBINED*
SUBSEQUENT
RI/FS START
NO
YES
TARGET
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
COMBINED*
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
SITE
SPECIFIC
SITE
SPECIFIC
AOA CATEGORY IF FUND FINANCED
ACTION?
ENFORCEMENT
AOA CATEGORY FOR PRP OVERSIGHT?
ENFORCEMENT
SITE SPECIFIC
PLANS
SITE SPECIFIC
PLANS
BASIS FOR AOA?
RI/FS TO
PUBLIC
NO
YES
TARGET
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
COMBINED
FIRST REMEDY
SELECTED
YES11
YES
TARGET
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
COMBINED
SUBSEQUENT
REMEDY SELECTED
YES*
YES
TARGET
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
COMBINED
* FIRST RI/FS START OR FIRST NPL REMOVAL IS A STARS TARGET
** THESE ARE A COMBINED TARGET UNDER STARS AND INCLUDE FUND, AND FEDERAL ENFORCEMENT RODS.
*** 'TO BE DETERMINED" SITES ARE ALLOWED.
# GOALS ARE ESTABLISHED ON A PROGRAM SPECIFIC BASIS.
O
-il
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REMEDIAL DEFINITIONS
RI/FS Support
RI/FS
DURATION
TREATABIUTY
STUDIES
RI/FS NOMINATED
FOR SITE
PLANNING REQUIREMENTS
TARGET OR MEASURE?
QUARTERLY TARGETS?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES, WHEN?
PRIOR
TOFY
OPERABLE
UNIT
OPERABLE
UNIT
PLANNED/REPORTED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
OPERABLE
UNIT
COMBINED
COMBINED
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC BASIS?
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
AOA CATEGORY IF FUND FINANCED
ACTION?
OTHER RESPONSE
AOA CATEGORY FOR PRP OVERSIGHT?
ENFORCEMENT
BASIS FOR AOA?
SITE SPECIFIC
PLANS
70
O
I
CO
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OSWER Directive 9200.3-01 F
REMEDIAL DESIGN (RD)
RD activities are planned site, OU and project specifically and reported in CERCLIS.
Initial schedules for RD are established when the RI/FS for the site is initiated. These initial
schedules must be updated in CERCLIS as better planning data become available. The funds for
Fund-financed RDs are pulled directly from CERCLIS and are allocated in the RD AOA. Four
separate SCAP and STARS activities are tracked:
First RD Start;
Subsequent RD Start;
Trend in ROD Signature to RD Start Duration; and
RD Completions.
Separate targets for first and subsequent and Fund and PRP RD starts are established in
SCAP prior to the FY. Like the RI/FS starts there is a limit on the number of Fund-financed RDs
that can be started during the FY. RD completions is a STARS target. RD completion targets
are made on a combined first and subsequent, and Fund-financed, and RP-lead basis. Trend in
average duration from ROD signature to RD start is a STARS measure.
In the definitions below, first and subsequent RD starts and first and subsequent RD
completions have been combined.
ACTIVITY: RD Starts First and Subsequent
DEFINITION: An RD is the process of developing plans and specifications for the
selected remedy at proposed or final NPL sites. The obligation of funds for design
assistance or technical assistance do not constitute an RD start. Under certain circum-
stances, an RD may be prepared by other parties (i.e., water lines where the city already
prepared plans and specifications); or the plans developed for one site may be used at a
similar site. Subsequent RD starts occur at NPL sites where previous RD activity has
taken place.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed (Includes F and S lead events.) - A Fund RD start is counted when funds
are obligated. An obligation is made when:
The CO signs the contract modification for the RD;
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 RD activities are conducted prior to ROD signature, or there is
not a new obligation of funds for a subsequent RD, the start of RD is defined as the
approval of the workplan to conduct these activities. When an RD already exists that can
be used for the site, the RD start is defined as the RA start.
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OSWER Directive 9200.3-01 F
PRP-financed (Includes MR, RP, and PS lead events) - For MR and RP lead, the start is
credited on the date the RD contract is awarded by the PRPs for the RD or RD/RA work
specified in the ROD and an enforcement document exists or is planned. If the work is
being done under an existing contract, the start date is the date the PRPs issue the con-
tractor the notice to proceed with the RD. EPA should receive a copy of the notice to
proceed. The appropriate date must be entered in CERCLIS.
For PS lead sites, credit will be given based on the issuance of a State order or other
comparable State enforcement document for RD (or RD/RA) or, if the RD is covered by
a pre-existing State order, the RD notice to proceed date.
If PRPs are doing the work "in-house" pursuant to an enforcement settlement document,
the start date is when EPA allows the PRPs to proceed.
CHANGES IN DEFINITION FY 91 - FY 92: Regions will receive credit only for RDs
at proposed or final NPL sites. A copy of the notice to proceed should be sent to EPA.
SPECIAL PLANNING/REPORTING REQUIREMENTS: Separate first and subsequent
start targets are established. Separate Fund and PRP financed RD start goals are estab-
lished prior to the FY. A limit will be placed on the number of RDs that can be started
during the FY. The date of the enforcement document must also be recorded in CER-
CLIS. Funds for RD oversight are placed in the other response AOA. Based on the
Integrated Timeline, the Region should plan the RP RD start date to be within two quar-
ters of the RD/RA negotiation completion date.
ACTIVITY: Trend in ROD Signature to RD Start Duration (S/C-9a^
DEFINITION: A remedy is selected when a ROD is signed by either the Regional
Administrator or the A A SWER. An RD is started when funds are obligated for RD or
when the RD contract is awarded by the PRPs.
The objective of this measure is to convey a positive message with respect to manage-
ment of critical portions of the remedial pipeline, particularly the period between ROD
and RA start. It also results in the establishment of a methodology which accurately
assesses program performance. The Integrated Timeline for site management (Volume I,
Chapter I) will be used for establishing performance expectations. Duration trends will
address the need for continuous improvements relative to meeting the goals outlined in
the timeline.
Only RODs where the RI/FS started post-SARA will be used for comparison and evalua-
tion.
DEFINITION OF ACCOMPLISHMENT: This measure will look at Regional perfor-
mance by comparing the duration from ROD signature to RD start for all sites scheduled
for an RD start in FY 92 to:
The Region's average duration from ROD signature to RD start in FY 90 and
FY91;and
The Region's average duration from ROD signature to RD start in previous quar-
ters of FY 92
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OSWER Directive 9200.3-01F
The durations will be calculated using the actual ROD completion dates and the planned
and actual RD start dates in CERCLIS. The ROD completion and RD start definitions
contained in this Manual will be used in the analysis.
CHANGES IN DEFINITION FY 91 TO FY 92: New definition for FY 92.
SPECIAL PLANNING/REPORTING REQUIREMENTS: Data on durations will be
developed using CERCLIS. HQ will conduct the analysis.
ACTIVITY: RD Completions First and Subsequent (S/C-3^
DEFINITION: An RD is complete when the final plans and specifications and, in the
case of a Fund-financed RD, a Fund-financed RA solicitation package for the selected
remedy are developed.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed (Includes F and S lead events) - An RD completion is the date that EPA
concurs on or approves and accepts the final plans, specifications and RA solicitation
package. RDs must be sent to the Hazardous Site Control Division (HSCD) for concur-
rence prior to Regional approval.
PRP-financed (Includes MR, RP, and PS lead events) - An RD is complete on the date
that EPA concurs on or approves and accepts the final plans and specifications. For PS-
lead RDs, the RD is complete when the State concurs on or approves and accepts the
final plans and specifications.
CHANGES IN DEFINITION FY 91 - FY 92: RDs must be sent to HSCD for concur-
rence prior to Regional approval.
SPECIAL PLANNING/REPORTING REQUIREMENTS: Under STARS, the RD
completion commitment includes Fund-financed and RP-lead first and subsequent RD
completions. Separate targets are established in SCAP for first vs. subsequent RD
completions.
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OSWER Directive 9200.3-01F
REMEDIAL DEFINITIONS
Remedial Design
FIRST RD
START
SUB. RD
START
FIRST RD
COMP.
SUB. RD
COMP.
DURATION
ROD TO RD
PLANNING REQUIREMENTS
TARGET OR MEASURE?
QUARTERLY TARGETS?
PRIOR
TOFY
PRIOR
TOFY
PRIOR
TOFY
PRIOR
TOFY
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
PRIOR
TOFY
PRIOR
TOFY
PRIOR
TOFY
PRIOR
TOFY
IF YES, WHEN?
PLANNED/REPORTED ON
OPERABLE UNIT
OR WHOLE SITE BASIS?
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
REPORTED ON COMBINED
PROGRAM LEAD OR ON A
PROGRAM SPECIFIC BASIS?
REPORTED SITE SPECIFICALLY
OR IN NON-SITE PORTION OF
CERCLIS?
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
REMEDIAL
DESIGN
REMEDIAL
DESIGN
AOA CATEGORY IF FUND
FINANCED ACTION?
AOA CATEGORY FOR PRP
OVERSIGHT?
OTHER
RESPONSE
OTHER
RESPONSE
BASIS FOR AOA?
* THESE ARE A COMBINED TARGET UNDER STARS AND INCLUDE FUND AND PRP RD
COMPLETIONS.
# GOALS ARE ESTABLISHED ON A PROGRAM SPECIFIC BASIS.
D-15
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OSWER Directive 9200.3-01F
REMEDIAL ACTION (RA)
Following are the SCAP and STARS activities tracked for RA:
First RA Start;
First RA Contract Award;
Subsequent RA Start;
Subsequent RA Contract Award;
Trend in ROD Signature to RA Start Duration;
RA On-Site Construction;
First RA Completion;
Subsequent RA Completion;
NPL Site Completion Through Final RA; and
NPL Deletion Initiation.
RAs are planned site, OU and project specifically and reported in CERCLIS. Initial
schedules for RA are established when the RI/FS for the site is initiated. These initial schedules
must be updated in CERCLIS as better planning data become available. Funds are allocated site
specifically in the RA AOA.
Award of RA contract, RA completions, and NPL site completions through final RA are
STARS targets. Separate targets are established in SCAP for first and subsequent award of RA
contract and for first and subsequent RA completions. RA starts is a SCAP target. Individual
targets are established for first vs subsequent and Fund vs PRP RA start targets. The duration
from ROD signature to RA start is a STARS measure. RA on-site construction and NPL dele-
tion initiation are SCAP measures.
In the definitions below, first and subsequent RA starts and first and subsequent RA
completions have been combined.
ACTIVITY: RA Start First and Subsequent
DEFINITION: An RA start is the first step toward implementation of the remedy se-
lected in the ROD at final NPL sites.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed (F or S lead events) - Credit for an RA start is given on the date a contract
modification for the RA is signed by the CO, the IAG or CA is awarded, and funds are
obligated. This date is entered into CERCLIS with the RA event.
PRP-financed (RP, MR or PS lead events) - Credit for an RA start is given when one of
the following occurs and has been recorded in CERCLIS:
D-16
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OSWER Directive 9200.3-01 F
If work is performed by the PRPs under the same CD or UAO as the RD, the RA
start is the date EPA approves the PRP RD package (RD completion);
If the PRP is doing work under a State order or comparable enforcement docu-
ment, and the site is covered, by a State enforcement cooperative agreement or
SMOA (PS-lead) with a schedule for RA work at the site, and EPA approved the
ROD, the RA start is the date EPA approves the PRP RD package; and
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 is the date on which the PRPs provide notice of intent to
comply with the UAO (C2801 = "NC") or the date the CD is referred to HQ or
DOJ (as recorded in CERCLIS). Where the PRP is in significant non-compliance
with the UAO, credit will be withdrawn.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: A limit will be placed on the
number of Fund-financed RAs that can be started during the FY.
ACTIVITY: RA Contract Award (S/C-4)
DEFINITION: Award of RA contract is the initiation of on-site construction activities
for the remedy selected in the ROD.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed (F or S lead events) - Credit is given for an award of RA contract when
EPA, a State, an ARCS contractor, USAGE or BUREC has awarded a contract to initiate
a Fund-financed RA. This date must be entered into CERCLIS subevent (C3101) "AC"
(RA contract award).
PRP-financed (RP, MR or PS lead events) - Credit is given for the award of RA contract
when the PRPs have begun substantial and continuous physical action, which is equiva-
lent to a contract award for a Fund RA, or where the PRP has taken equivalent action
with its own work force. This date should be entered in CERCLIS with the AC subevent.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: First and subsequent, Fund
and PRP RA contract awards are a single target. Individual targets are negotiated in
SCAP.
ACTIVITY: Trend in ROD Signature to RA Start Duration fS/C-9rrt
DEFINITION: A remedy is selected when a ROD is signed by either the Regional
Administrator or the AA SWER. An RA is started when funds are obligated for RA,
EPA approves the PRP RD package, or the CD for RA is referred to HQ or DOJ.
The objective of this measure is to convey a positive message with respect to manage-
ment of critical portions of the remedial pipeline, particularly the period between ROD
and RA start. It also results in the establishment of a methodology which accurately
D-17
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OSWER Directive 9200.3-01F
assesses program performance. The Integrated Timeline for site management (Volume I,
Chapter I) will be used for establishing performance expectations. Duration trends will
address the need for continuous improvements relative to meeting the goals outlined in
the timeline.
Only RODs that resulted from RI/FS projects started post-SARA will be used for com-
parison and evaluation.
DEFINITION OF ACCOMPLISHMENT: This measure will look at Regional perfor-
mance by comparing the average duration from ROD signature to RA start for all sites
scheduled for RA start in FY 92 to:
The Region's average duration from ROD signature to RA start in FY 90 and
FY91;and
The Region's average duration from ROD signature to RA start in previous quar-
ters of FY 92.
The durations will be calculated using the actual ROD completion dates and the planned
and actual RA start dates in CERCLIS. The ROD completion and RA start definitions
contained in this Manual will be used in the analysis.
CHANGES IN DEFINITION FY 91 TO FY 92: New definition for FY 92.
SPECIAL PLANNING/REPORTING REQUIREMENTS: Data on durations will be
developed using CERCLIS. HQ will conduct the analysis.
ACTIVITY: RA On-Site Construction
DEFINITION: RA on-site construction begins when the EPA, USAGE, BUREC or State
contractor for a Fund-financed RA or the PRP or PRP's contractor for a PRP RA, mobi-
lizes to start implementation of the selected remedy.
DEFINITION OF ACCOMPLISHMENT: The date of mobilization must be placed in
CERCLIS against the RA subevent (3101) "RO" (on-site construction).
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: Planned RA on-site construc-
tion dates for Fund-financed RAs must be placed in CERCLIS when the RA contract is
awarded. This date is used for planning cost recovery actions and establishing Statute of
Limitation (SOL) dates.
ACTIVITY: RA Completion First and Subsequent (S/C-5)
DEFINITION: A first and subsequent RA is complete when construction activities are
complete, a final inspection has been conducted, the remedy is operational and functional
(see definition for operational and functional in Appendix D, Section n) and an RA
Report has been prepared. This report summarizes site conditions and construction
activities for the OU.
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OSWER Directive 9200.3-01 F
DEFINITION OF ACCOMPLISHMENT: The date the Regional Administrator signs the
Operable Unit RA Report is the accomplishment of the RA completion. The appropriate
dates must be recorded in CERCLIS with the event.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: Commitments are made on a
combined Fund and PRP basis. First and subsequent RA completions are a combined
STARS target, separate targets are established in SCAP.
ACTIVITY: NPL Site Completion Through Final RA (S/C-6)
DEFINITION: This measure is the completion of a final RA at the site. A final RA
indicates that all construction for all OUs has been completed; a final construction in-
spection for the site has been conducted, and an Interim Site Close Out Report or Super-
fund Site Close-Out Report has been prepared. The Superfund Site Close-Out Report
summarizes site conditions and construction activities and demonstrates that the NCP
criteria for deletion has been met. If the only activity remaining is Long Term Response
Action (LTRA) an Interim Site Close Out Report must be prepared.
DEFINITION OF ACCOMPLISHMENT: The date the Regional Administrator signs the
Interim Site Close Out Report or the Superfund Site Close-Out Report is the accomplish-
ment of the NPL site completion through final RA. The date must be recorded in CER-
CLIS with the Ra subevent (C3101) "CL" (Close Out Report).
CHANGES IN DEFINITION FY 91 - FY 92: The place in CERCLIS where final RAs
are recorded has been revised. A final RA requires either an Interim Site Close Out
Report or a Superfund Site Close Out Report.
SPECIAL PLANNING/REPORTING REQUIREMENTS: Commitments are made on a
combined Fund and PRP basis.
ACTIVITY: NPL Deletion Initiation
DEFINITION: The deletion process is initiated when performance monitoring of the
completed remedy or remedies for the site has verified the integrity of the action and it
has been determined that no further response action is required at the site.
DEFINITION OF ACCOMPLISHMENT: The deletion process is credited when a notice
of intent to delete the site is published in the Federal Register. The deletion process is
completed when the notice of deletion is published in the Federal Register.
CHANGES IN DEFINITION FY 91 - FY 92: Added definition for completion of the
deletion process.
SPECIAL PLANNING/REPORTING REQUIREMENTS:
D-19
-------
REMEDIAL DEFINITIONS
Remedial Action
FIRST RA
CONTRACT
AWARD
SUB. RA
CONTRACT
AWARD
FIRST
RA
COMPL.
NFL SITE
COMPL.-
FINALRA
FIRST RA
START
ROD TO RA
DURATION
ON-SITB
CONSTR.
NPL DEL.
PROC.INIT
PLANNING REQUIREMENTS
TARGET OR MEASURE?
QUARTERLY TARGETS?
PLANNED SITE SPECIFICALLY?
KA
CONTRACT
AWARD
PLANNED/REPORTED ON OPERABLE
UNIT OR WHOLE SITE BASIS?
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
AOA CATEGORY IF FUND
FINANCED?
OTHER
RESPONSE
OTHER
RESPONSE
AOA CATEGORY FOR PRP
OVERSIGHT?
SITE SPEC.
PLANS
SITE SPEC.
PLANS
BASIS FOR AOA?
8
I'
*o
8
u>
6
* THESE ARE A COMBINED TARGET UNDER STARS AND INCLUDE FUND AND PRP ACTIONS
# GOALS ARE ESTABLISHED AND REPORTED IN SCAP ON A PROGRAM SPECIFIC BASIS.
-------
OSWER Directive 9200.3-01 F
RESPONSE DEFINITIONS
INTRODUCTION
There are a subset of FY 92 STARS targets/measures that reflect the start of response
activities and the accomplishment of cleanup goals at NPL sites. Following are the response
activities tracked in STARS:
Number of Sites Where Activity has Started, First NPL Removal Actions or
RI/FS;and
Progress Through Environmental Indicators.
Number of sites where activity has started, first NPL removal action or RI/FS is a STARS
target. Progress through Environmental Indicators is a STARS measure
ACTIVITY: Number of Sites Where Activity has Started. First NPL Removal Action or RI/FS
(S/C-7^
DEFINITION: Number of NPL sites (final and proposed) where on-site activity has
begun. On-site activity is characterized by either a removal action under the direction of
EPA or through an Administrative Order (AO), CD or judgment; pi implementation of a
first RI/FS (Fund or PRP) at the site, but not both.
DEFINITION OF ACCOMPLISHMENT: See RI/FS start definitions in the Remedial
Definitions section and NPL removal start definition in the Removal Definitions section.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: First NPL removal start or
first RI/FS start is a target under STARS. Separate targets are negotiated in SCAP for RI/
FS starts and removal starts. Regions cannot receive credit under STARS if an RI/FS or
NPL removal began or was conducted at the site in a previous year. Similarly, Regions
cannot receive credit for both an RI/FS start and a NPL removal if they are started in the
same year. Credit is given for the first activity started and a site can only receive credit
once. Therefore, historical data must be reviewed prior to targeting and reporting accom-
plishments in STARS.
ACTIVITY: Progress Through Environmental Indicators
DEFINITION: This measure results from the Environmental Indicators program. It
documents the number of sites where the following types of results have been achieved:
Progress toward final cleanup goals; and
Reductions of acute threats.
Either of these results may be achieved through implementing removal and/or remedial
projects. Results are reported for each of the media affected at a site. These media
include contaminated land, surface water, and ground water.
D-21
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OSWER Directive 9200.3-01 F
Progress toward final cleanup goals is reported as three levels of progress at NPL sites:
Full achievement of site goals for a medium, partial achievement of goals for a medium,
and cleanup underway. Reduction of acute threats measures how often threats to human
health have been eliminated at both NPL and non-NPL sites by preventing exposure to
contaminated materials. Progress recorded by this indicator should reveal success in
closing off exposure pathways. (See Volume I, Chapter II and Volume II, Appendic G
for additional information on the Environmental Indicators program.)
DEFINITION OF ACCOMPLISHMENT: Same as definition.
CHANGES IN DEFINITION FY 91 - FY 92: New definition for FY 92.
SPECIAL PLANNING/REPORTING REQUIREMENTS: Accomplishment data will be
collected by HQ from Remedial Project Managers (RPM) and On-Scene Coordinators
(OSC). The results should be reflected in the comment field of the STARS data base.
D-22
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OSWER Directive 9200.3-01F
RESPONSE DEFINITIONS
PLANNING REQUIREMENTS
STARS?
SCAP7
TARGET OR MEASURE?
QUARTERLY TARGETS?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES. WHEN?
PLANNED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
PLANNED/REPORTED ON COMBINED
PROGRAM LEAD OR ON A PROGRAM
SPECIFIC BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
AOA CATEGORY?
BASIS FOR AOA?
FIRST NFL
REMOVAL OR Rl/FS
YES#
NO
TARGET
YES
PRIOR
TOFY
YES
PRIOR
TOFY
WHOLE
SITE
COMBINED
SITE
SPECIFIC
RI/FS OR REMOVAL
ENVIRONMENTAL
INDICATORS
YES
NO
MEASURE
NO
NO
OPERABLE
UNIT
COMBINED
N/A
N/A
SITE SPECIFIC PLANS N/A §
# INCLUDES FUND, ENFORCEMENT ACTION OR PRP ACTIVITY.
D-23
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OSWER Directive 9200.3-01F
REMOVAL DEFINITIONS
INTRODUCTION
Requirements for the removal program differ from the remedial program due to the nature of
removal activities. The removal program responds to emergency, time critical and non-time
critical situations at NPL and non-NPL sites. Since so much of the removal work cannot be
anticipated in advance, the planning horizon of these activities is significantly shorter than for
remedial activities. Thus, quarterly commitments are not required. All SCAP/STARS targets,
however, are established on an annual basis. Targets are planned site-specifically prior to the
quarter the removal is projected to begin. Site specific removal funding needs are placed in
CERCLIS the quarter prior to the expected obligation date. The annual removal commitments
are placed in the Targets and Accomplishments portion of the CERHELP non-site data system.
Credit will be given for NPL or non-NPL activities depending on the NPL status recorded
in CERCLIS on the date accomplishment reports are pulled.
REMOVAL ACTIVITIES
The following removal activities are tracked in SCAP and STARS:
Removal Investigations at NPL Sites;
NPL Removal Starts;
Non-NPL Removal Starts;
Emergency Response Activity;
Removal Completions; and
NPL Site Completions through Removal Actions.
First NPL removal start or first RI/FS start is a STARS target under S/C-7, Number of
Sites Where Activity has Started, First NPL Removal Actions and RI/FS. Separate RI/FS and
removal targets are established in SCAP.
Non-NPL and NPL removal starts and NPL site completions through removal actions are
SCAP targets. SCAP commitments for removal starts are made on a combined program basis.
Separate goals for Fund-financed and RP-lead removals are negotiated prior to the FY. Accom-
plishments are reported on a combined program basis. Removal investigations, removal comple-
tions and emergency response activity are SCAP measures.
NPL and non-NPL removal start definitions have been combined. Definitions for re-
moval completions and NPL site completions through removal actions have also been combined.
ACTIVITY: Removal Investigations at NPL Sites
DEFINITION: A removal investigation at an NPL site is the process of collecting field
data at an NPL site for the purpose of characterizing the magnitude and severity of the
problem to determine if a removal or quick response action is warranted.
D-24
-------
OSWER Directive 9200.3-01F
Investigations may be conducted by the State, EPA and/or Technical Assistance Team
(TAT), and must include an on-site component, such as a walk around survey or sam-
pling to be counted.
DEFINITION OF ACCOMPLISHMENT: The start of the removal investigation at NPL
sites is defined as the date of the site visit or the start of the review process if no site visit
took place. The completion is defined as the signature of an Action Memorandum, the
date of a memorandum to the file documenting the decision not to perform a removal
action, or signature of the Site Evaluation Report The removal investigation completion
date must be entered into CERCLIS.
CHANGES IN DEFINITIQN FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: This is a SCAP reporting
measure. Accomplishments are reported site specifically in CERCLIS using event type
"RS".
ACTIVITY: Removal Starts NPL and Non-NPL
DEFINITION: A removal is a response action taken to prevent or mitigate a threat to
public health, welfare or the environment posed by the release or potential release of a
CERCLA hazardous substance, or an imminent or substantial risk posed by a pollutant or
contaminant. For a first removal start there can be no current or previous on-site Fund-
financed or PRP removal activity.
In order for the NPL removal to be counted in the STARS target S/E-7, Number of Sites
Where Activity has Started, First NPL Removal Actions or RI/FS, it must not have had
previous removal 01 RI/FS activity at the site.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed A Fund-financed removal counts toward this target when:
The Action Memorandum is approved by the OSC, Regional Administrator or AA
SWER; and
A Delivery Order has been issued by EPA under the Emergency Response
Cleanup Services (ERCS) contract or a contract has been signed for a U.S. Coast
Guard (USCG) on-site removal; and
An obligation for the removal has been recorded in CERCLIS and the Integrated
Financial Management System (IFMS) or the OSC activates $50,000; and
On-site removal work has begun.
The date the on-site work began is the start date for the removal action.
PRP-fmanced - A PRP removal counts when there is on-site removal activity financed by
the PRP in compliance with an AO (unilateral or consent), CD or judgment. The date the
PRPs begin actual on-site work (as entered in CERCLIS) is the start date. If PRPs start
the removal and become in substantial non-compliance and the Fund takes over the
removal, credit will be given for a PRP start but not the completion, because PRPs have
D-25
-------
OSWER Directive 9200.3-01F
not met the terms of the order or CD. If the PRPs do not comply with a Unilateral Ad-
ministrative Order (UAO), credit for the removal is not given. Regions will receive
credit under STARS S/E-2b, Administrative Orders Issued for Removals and RI/FS for
issuing the UAO. No credit will be provided where a PRP is conducting a response
without an enforcement document.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: Plans are made site specifi-
cally prior to the quarter the removal is expected to begin; TBD sites are allowed. An-
nual targets for removals are established in the Targets and Accomplishments portion of
the CERHELP data base. A limit is placed on the number of Fund-financed removal
starts. Commitments for non-NPL removals are made based on a combined Fund and
PRP financed and first and subsequent basis.
First NPL removal start or first RI/FS start is a target under STARS. Separate targets are
established in SCAP for RI/FS starts and removal starts. Regions cannot receive credit
for a site under STARS S/C-7, Number of Sites Where Activity has Started, First NPL
Removal Actions or RI/FS, if an RI/FS or NPL removal began or was conducted at the
site in a previous year. Regions also cannot receive credit for both an RI/FS start and a
removal if they are started in the same year. Credit is given for the first activity started
and a site can receive credit only once. Therefore, historical data need to be reviewed
prior to negotiating commitments and recording accomplishments in STARS. Regions
can receive credit for both activities under SCAP.
ACTIVITY: Emergency Response Activity
DEFINITION: An emergency response activity is an action performed by an EPA OSC
within 24 hours of receipt of an oil or hazardous substance incident notification. Such
actions include OSC field investigations, OSC on-scene monitoring, and the start of a
removal action; or OSC participation in emergency response field simulations.
Note that the time frame of 24 hours for response is used, as opposed to "hours or days,"
in order to capture first responder type activities and "days" is simply too open-ended.
These activities will only be counted when they are performed in the field and an EPA
OSC performs them. This pertains to simulations as well; table-top exercises do not
count. Training activities are purposely omitted. Contractor activities, for example,
Technical Assistance Team (TAT) investigations, do not count as an accomplishment
under this measure. The purpose of this measure is to identify and track emergency
response activities performed by EPA OSCs to support OSC readiness initiatives.
DEFINITION OF ACCOMPLISHMENT: An Emergency Response Activity must be
performed by an EPA OSC and documented. Appropriate documentation includes the
report date in the Emergency Response Notification System (ERNS) and the following:
Entry in the verification module of ERNS indicating that a release investigation
was initiated with supporting comments, including OSC name, entered in the
"Response Actions Taken" comment field and a note to the file and Emergency
Response Division (ERD) HQ or a POLREP indicating an on-scene release inves-
tigation was initiated; or
D-26
-------
OSWER Directive 9200.3-01F
» Entry in the verification module of ERNS indicating that on-scene monitoring was
initiated with supporting comments, including OSC name, entered in the "Re-
sponse Actions Taken" comment field and a POLREP indicating that on-scene
monitoring was initiated; or
Entry in CERCLIS of an emergency removal action start and entry in the verifica-
tion module of ERNS to tie the removal action to the notification through support-
ing comments, including OSC name, entered in the "Response Actions Taken"
comment field.
Simulations will be counted and documented by a POLREP generated in a field emer-
gency response simulation or a note to the file and ERD HQ.
NOTE: The start of the activity and the other elements required in ERNS are currently
available in the verification module. The "Response Actions Taken" field is an 80-
character comment field in ERNS that can be used to document the OSC's name, the
response time in relation to the notification time, and brief notes on the action. The note
to the file or POLREP requirement provides backup documentation, as well as more
details for future applications (e.g., lessons learned, technology transfer, etc.).
CHANGES IN DEFINITION FY 91 - FY 92: New Measure.
SPECIAL PLANNING/REPORTING REQUIREMENTS: This is a SCAP reporting
measure. Accomplishments should be reported site-specifically in ERNS.
ACTIVITY: NPL and Non-NPL Removal Completions and NPL Site Completions through
Removals
DEFINITION: A removal is complete when the conditions specified in the Action
Memorandum have been met even if the OSC determines that additional response work
may be necessary.
An NPL site is completed through a removal action when the conditions specified in the
Action Memorandum or ROD have been met and no further remedial or removal re-
sponse actions are necessary.
Temporary demobilization and temporary storage on-site are not considered completions.
unless temporary storage is the only action identified in the Action Memorandum to
mitigate threats to public health, welfare and the environment. Likewise, temporary pff-
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 removal action, not a
completion. In addition, removal action would not be considered complete if:
Hazardous substances stored on-site are being monitored by the ERCS contractor
or if any additional ERCS expenditures are anticipated, or
Hazardous substances are being stored at an off-site facility, other than the ulti-
mate TSD facility.
D-27
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OSWER Directive 9200.3-01F
A removal action would be considered complete if:
The scope of work for the removal action does not specify final off-site disposal of
hazardous substances, the substances have been stabilized and are stored on-site,
and no additional CERCLA removal program funds are anticipated to be expended
at the site. In this case, hazardous substances may be expected to undergo long-
term storage on-site due to circumstances such as the unavailability of a final
treatment/disposal remedy. In this instance, no CERCLA removal program funds
will be expended for long-term site operation and maintenance. Any long-term
(greater than 6 months) site operation and maintenance will be performed by the
PRP or another agency (e.g., State).
Hazardous substances are being stored off-site at the location of final disposal, and
no additional ERCS expenditures are anticipated.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed Compleaons are counted when the actions specified in the Action Memo-
randum are complete and no additional ERCS expenditures are anticipated for the action,
and the date is recorded in CERCLIS.
PRP-financed Completions will count when the Region has certified, by entering a date
in CERCLIS, that the PRPs or their contractors have completed a removal action and
fully met the terms of an AO, CD or judgment.
CHANGES IN DEFINITION FY 91 - FY 92: The definition was expanded to consider
storage of the waste.
SPECIAL PLANNING/REPORTING REQUIREMENTS: Measures are reported based
on combined Fund and PRP-financed and first and subsequent NPL and non-NPL re-
moval completions. Projections on the number of NPL removal completions are placed
in the Targets and Accomplishments portion of the CERHELP non-site data system.
NPL site completions through removal are planned site specifically and include Fund-
financed and PRP removals.
D-28
-------
REMOVAL PROGRAM DEFINITIONS
o
to
PLANNING REQUIREMENTS
STARS?
SCAP7
TARGET OR MEASURE?
QUARTERLY TARGETS SET?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES, WHEN?
PLANNED/REPORTED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
AOA CATEGORY IF FUND FINANCED?
ADA CATEGORY FOR PRP OVERSIGHT?
BASIS FOR AOA?
NPL
HEM. START
NO*
YES
TARGET
NO
YES**
PRIOR TO
QUARTER
WHOLE
SITE/OPER.
UNIT
COMBINED*
SITE
SPECIFIC
REMOVAL
ENFORCEMENT
SITE SPEC.
PLANS &
CONTINGENCY
NON-NPL
REM. START
NO
YES
TARGET
NO
YES**
PRIOR TO
QUARTER
WHOLE
SITE
COMBINED*
SITE
SPECIFIC
REMOVAL
ENFORCEMENI
SITE SPEC
PLANS &
CONTINGENCY
REM.
COMP
NO
YES
MEASURE
NO
YES
PRIOR TO
QUARTER
WHOLE
SITE/OPER.
UNIT
COMBINED
SITE
SPECIFIC
N/A
N/A
-
NPL
REMOVAL
SITE COMP.
NO
YES
TARGET
NO
YES
PRIOR TO
QUARTER
WHOLE
SITE
COMBINED
SITE
SPECIFIC
N/A
N/A
N/A
NPL REMOVAL
INVESTIGATIONS
NO
YES
MEASURE
NO
NO
WHOLE
SITE
N/A
SITE
SPECIFIC
REMOVAL
N/A
SFTE SPECIFIC
PLANS
EMERGENCY ffl
RESPONSE ACTION g
N° 1
YES g
MEASURE I
NO I
1
N° i
I
WHOLE if
SITE [i
PROGRAM
SPECIFIC
SITE SPECIFIC
INERNS
REMOVAL
N/A
CONTINGENCY B
« FIRST RI/FS START OR FIRST NPL REMOVAL IS A COMBINED TARGET UNDER STARS.
** "TO BE DETERMINED" SITES ARE ALLOWED.
# SEPARATE PROGRAM SPECIFIC GOALS ARE ESTABLISHED PRIOR TO THE FY. A LIMIT IS PLACED ON THE NUMBER OF FUND-FINANCED NPL
REMOVAL STARTS.
8
93
I
f
6
n
-------
OSWER Directive 9200.3-OIF
ENFORCEMENT DEFINITIONS
INTRODUCTION
The planning requirements for RP-lead response activities parallel those used under the
remedial and removal programs. These requirements are discussed in the previous sections.
Funding for the enforcement targets/measures are provided through the Case Budget. Enforce-
ment definitions have been divided into two categories: PRP Searches and Negotiations, and
Settlements, Referrals, and Oversight.
PRP SEARCHES AND NEGOTIATIONS
Following are the search and negotiation activities tracked in SCAP and STARS:
Issuance of General Notice Letters (GNL);
Issuance of Special Notice Letters (SNL);
Section 104(e) Letter Issued;
NPL PRP Search Starts;
Non-NPL PRP Search Starts;
NPL PRP Search Completions;
Non-NPL PRP Search Completions;
RI/FS Negotiation Starts;
RI/FS Negotiation Completions;
RD/RA Negotiation Starts;
RD/RA Negotiation Completions; and
Trend in ROD Signature to RD/RA Negotiation Completion Duration.
RD/RA negotiation starts and RD/RA negotiation completions are SCAP targets. Trend
in Average Duration between ROD signature and RD/RA negotiation completion is a STARS
measure. The remainder of the activities are SCAP measures.
The definitions for start of PRP search at NPL and non-NPL sites and the completion of
PRP search at NPL and non-NPL sites have been combined.
ACTIVITY: Issuance of General Notice Letters
DEFINITION: Letter sent by EPA under Section 122 of the Superfund Amendments and
Reauthorization Act of 1986 (SARA) informing recipients of their potential liability for
cleanup actions at the site. It is usually sent out during the PRP search or during prepara-
tion for negotiations.
D-30
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OSWER Directive 9200.3-01F
DEFINITION OF ACCOMPLISHMENT: Credit for this activity is given on the date the
GNL is signed by the appropriate EPA official.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: This is a SCAP reporting
measure and is recorded at the milestone level.
ACTIVITY: Issuance of Special Notice Letters
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 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 (RVFS, RD/RA) and can be extended if necessary.
DEFINITION OF ACCOMPLISHMENT: Credit for this activity is given on the date the
SNL is signed by the appropriate EPA official.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: This is a SCAP reporting
measure and is recorded at the milestone level.
ACTIVITY: Section 104(e>) Letters Issued
DEFINITION: This is a letter issued under Section 104(e) of SARA. It requests infor-
mation from PRPs on matters such as: the nature and extent of a release or threatened
release at a site; nature and quantity of materials; indemnification; financial ability of
PRP to pay for response actions.
DEFINITION OF ACCOMPLISHMENT: Credit for this activity is given on the date the
information request letter is signed by the appropriate EPA official.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: This is a SCAP reporting
measure and is recorded at the milestone level.
ACTIVITY: PRP Search Starts TNPL and Non-NPL)
DEFINITION: The purpose of the PRP search is to identify PRPs. At NPL sites the PRP
search should be initiated at the same time as the Listing Site Inspection (LSI) or, at the
latest, with the listing of the site. It should be completed 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 a RI/FS. At sites where a removal will be conducted, it should be
done prior to the start of the action when possible or very soon after the initiation of the
emergency response.
DEFINITION OF ACCOMPLISHMENT: If the search is being conducted by a contrac-
tor, the start date is considered to be the date the work assignment is procured. If it is
conducted by EPA, the start date is the day the EPA staff begins the PRP search activi-
ties.
D-31
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OSWER Directive 9200.3-01 F
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: Removal PRP searches
should be planned site specifically to the maximum extent possible. All targeted non-
NPL removal starts should have an associated projection for a removal PRP search.
Funds for removal PRP searches are requested in CERHELP. Projections for removal
PRP searches should be placed in the Targets and Accomplishments portion of CER-
HELP. NPL PRP searches are planned and funds requested on a site specific basis. PRP
searches should be planned for all sites listed on the NPL and for all removals conducted
during the FY.
ACTIVITY: PRP Search Completion (NPL and Non-NFC)
DEFINITION: A PRP search is the action taken by the Region to identify the respon-
sible parties at a site.
DEFINITION OF ACCOMPLISHMENT: The PRP search is complete when PRPs at a
site have been identified, all applicable activities described in the Agency PRP Search
Manual have been completed, and the date and, for NPL sites, the outcome of the search
has been determined. If no PRPs are found, the date and the outcome of the search are
entered into CERCLIS.
This definition applies to both Phase I (single owner, operator site) and Phase II (multi-
generator site) PRP search accomplishments.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: NPL PRP search completions
are planned on a site specific basis; removal searches should be planned site-specifically
to the maximum extent possible. All targeted non-NPL removal starts should have an
associated projection for a removal PRP search. These projections should be placed in
the Targets and Accomplishments portion of CERHELP.
ACTIVITY: RI/FS Negotiation Starts
DEFINITION: RI/FS negotiations are discussions between EPA and the PRPs on their
liability, willingness, and ability to conduct the RI/FS.
DEFINITION OF ACCOMPLISHMENT: RI/FS negotiations start when:
The first SNL is signed, or
A waiver of SNL is signed.
CHANGES IN DEFINITION FY 91 - FY 92: Eliminated GNL with negotiation
timeframes
SPECIAL PLANNING/REPORTING REQUIREMENTS: If the Region does not plan to
perform RI/FS negotiations at a site, negotiation dates should not be placed in CERCLIS.
The start of RI/FS negotiations should be planned site specifically.
D-32
-------
OSWER Directive 9200.3-01 F
ACTIVITY: RI/FS Negotiation Completions
DEFINITION: RI/FS negotiations end when the Region decides how to proceed with the
RI/FS activities.
DEFINITION OF ACCOMPLISHMENT: RI/FS negotiations end when:
A UAO or AOC for RI/FS is signed by the last official;
A signed CD for RI/FS is referred by the Region to HQ or DOT;
The Region decides to proceed with a Fund-financed RI/FS and terminates nego-
tiations; or
Funds are obligated for a Fund-financed RI/FS.
The negotiations conclusion date is the order signature date, the date on the transmittal
letter referring the CD, or the date funds for RI/FS are obligated.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: The activity is planned site
specifically in CERCLIS.
ACTIVITY: RD/RA Negotiation Starts
DEFINITION: RD/RA negotiations are discussions between EPA and the PRPs on their
liability, willingness and ability to implement the remedy selected in the ROD for the site
orOU.
DEFINITION OF ACCOMPLISHMENT: RD/RA negotiations start when:
The first SNL is signed, or
A Section 122(a) waiver of SNL is signed.
CHANGES IN DEFINITION FY 91-FY 92: Eliminated GNL with negotiation
timeframes
SPECIAL PLANNING/REPORTING REQUIREMENTS: If the Region does not plan to
conduct RD/RA negotiations, dates should not be entered into CERCLIS. The start of
RD/RA negotiations is planned site specifically.
ACTIVITY: RD/RA Negotiation Completions
DEFINITION: RD/RA negotiations end when the Region decides how to proceed with
the RD/RA.
DEFINITION OF ACCOMPLISHMENT: RD/RA negotiations end when:
A signed CD (Section 106 or 106/107 referral with settlement) for RD/RA and 10
point analysis are referred by the Region to either DOT or HQ;
D-33
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OSWER Directive 9200.3-01 F
A Section 106 or 106/107 injunctive referral to compel the RPs to conduct the RD/
RA is referred to DOJ or HQ;
A UAO for RD and/or RA to initiate site work is signed;
EPA and PRPs proceed to trial under an existing case;
Funds are obligated for a Fund-lead RD; or
If RD funds are not available and the Region decides a UAO is not appropriate;
and HQ concurs with this decision in writing, the negotiation completion date is
the date of the HQ memorandum concurring with the UAO decision.
The negotiation conclusion date is: the date on the transmittal letter for the CD, the date
on the transmittal letter with the injunctive referral, the date the UAO is signed, the date
the trial begins, the date funds are obligated, or the date on HQ memorandum.
CHANGES IN DEFINITION FY 91 - FY 92: The situation where EPA and the PRPs
proceed to trial under an existing case was added. Credit for the UAO is given when the
order is issued.
SPECIAL PLANNING/REPORTING REQUIREMENTS: The activity is planned site
specifically in CERCLIS.
ACTIVITY: Trend in ROD Signature to RD/RA Negotiation Completion Duration (S/E-31
DEFINITION: A remedy is selected when a ROD is signed by either the Regional
Administrator or AA SWER. RD/RA negotiations end when the Region decides how to
proceed with the RD/RA.
The objective of this measure is to convey a positive message with respect to manage-
ment of critical portions of the remedial pipeline, particularly the period between ROD
and RA start. It also results in the establishment of a methodology which accurately
assesses program performance. The Integrated Timeline for site management (Volume I,
Chapter I) will be used for establishing performance expectations. Duration trends will
address the need for continuous improvements relative to meeting the goals outlined in
the timeline.
Only RODs that resulted from RI/FS projects started post-SARA will be used for com-
parison and evaluation.
DEFINITION OF ACCOMPLISHMENT: This measure will look at Regional perfor-
mance by comparing the average duration from ROD signature to RD/RA negotiation
completions for all RD/RA negotiations completed or planned for completion in FY 92
to:
The Region's average duration from ROD signature to RD/RA negotiation
completions in FY 90 and FY 91; and
The Region's average duration from ROD signature to RD/RA negotiation
completion in prior quarters in FY 92.
D-34
-------
OSWER Directive 9200.3-01F
The durations will be calculated using the actual ROD completion dates and the planned
and actual RD/RA negotiation completion dates in CERCLIS. The ROD completion and
RD/RA negotiation completion definitions contained in this Manual will be used during
this analysis.
CHANGES IN DEFINITION FY 91 - FY 92: New definition for FY 92.
SPECIAL PLANNING/REPORTING REQUIREMENTS: Data on durations will be
developed using CERCLIS. HQ will conduct the analysis.
D-35
-------
OSWER Directive 9200.3-01F
ENFORCEMENT DEFINITIONS
Searches and Negotiations
PLANNING REQUIREMENTS
STARS?
SCAP?
TARGET OR MEASURE?
QUARTERLY TARGETS SET?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES .WHEN?
PLANNED/REPORTED ON OPERABLE
UNIT OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
AOA CATEGORY?
BASIS FOR AOA?
NPLPRP
SEARCH
START
NO
YES
MEASURE
NO
YES
PRIOR
TOFY
WHOLE
SITE
N/A
SITE
SPECIFIC
ENFORCE-
MENT
SITE SPEC.
PLANS
NON-NPL
PRP
SEARCH
START
NO
YES
MEASURE
NO
NO
WHOLE
SITE
N/A
SITE
SPECIFIC
ENFORCE-
MENT
NON-SITE
PLANS
NPL PRP
SEARCH
COMP
NO
YES
MEASURE
NO
YES
PRIOR
TOFY
WHOLE
SITE
N/A
SITE
SPECIFIC
N/A
N/A
NON-NPL
PRP SEARCH
COMP
NO
YES
MEASURE
NO
NO
WHOLE
SITE
N/A
SITE
SPECIFIC
N/A
N/A
SEC. 104e
LETTERS
NO
YES
MEASURE
NO
NO
WHOLE
SITE
N/A
SITE
SPECIFIC
N/A
N/A
D-36
-------
ENFORCEMENT DEFINITIONS
PRP SEARCHES AND NEGOTIATIONS
DURATION-
GENERAL
NOTICE
LETTERS
RI/FS
NEC
START
SPECIAL
NOTICE
LETTERS
RI/FS
NEC
COMP
RD/RA
NEG
START
RD/RA
NEG
COMP
ROD TO
RD/RA NEG
COMPLETE
PLANNING REQUIREMENTS
TARGET OR MEASURE?
QUARTERLY TARGETS SET?
PRIOR
TOFY
IF YES, WHEN?
PRIOR
TOFY
PLANNED SITE SPECIFICALLY?
PRIOR
TOFY
PRIOR
TOFY
PRIOR
TOFY
IF YES, WHEN?
PRIOR
TOFY
PLANNED/REPORTED ON OPERABLE
UNIT OR WHOLE SITE BASIS?
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
ENFORCE-
MENT
ENFORCE-
MENT
ENFORCE-
MENT
ENFORCE
MENT
AOA CATEGORY?
SITE/NON
SITE SPEC.
PLANS
SITE/NON
SITE SPEC.
PLANS
SITE SPEC.
PLANS
SITE SPEC.
PLANS
BASIS FOR AOA?
a.
$
-------
OSWER Directive 9200.3-01 F
SETTLEMENTS. REFERRALS AND OVERSIGHT
SCAP and STARS track the following enforcement activities:
Section 104(e) Referrals and Orders Issued;
Administrative Record (AR) Compilation Completion (removal and remedial);
Section 106, 106/107,107 Case Resolution;
Dollars Achieved Toward Costs Recovery Management by Objective (MBO)
Goal;
Section 107 or 106/107 Referrals/Settlements (>$200,000);
RD/RA Settlements and Injunctive Referrals;
Unilateral Orders Issued for RD/RA;
Section 107 Referrals/Settlements (<$200,000);
Administrative Cost Recovery Settlements;
Administrative Orders Issued for Removals and RI/FS;
Demand Letters Issued;
Issue Cost Recovery Decision Document;
Use of Alternative Dispute Resolution (ADR) for Cost Recovery;
State CDs for RD/RA Issued;
State orders for RI/FS Issued;
Mixed Funding Settlements Achieved; and
De minimis Settlements Achieved.
Section 106 or 106/107 settlements and injunction referrals (>$200,000) and RD/RA
settlements and injunctive referrals are STARS/SCAP targets. Section 107 referrals/settlements
(<$200,000) and administrative cost recovery settlements are SCAP targets. Section 104(e)
referrals/orders, dollars achieved toward cost recovery MBO goal, AOs issued for removals and
RI/FS, and UAOs issued for RD/RA are STARS reporting measures. The remaining activities
are SCAP reporting measures.
ACTIVITY: Section 104(e^ Referrals and Orders Issued (S/E-2a)
DEFINITION: Section 104(e)(5) referrals/orders are enforcement actions to compel
parties to respond to EPA requests for information.
D-38
-------
OSWER Directive 9200.3-01F
DEFINITION OF ACCOMPLISHMENT: Credit for a 104(e) referral is given when the
Regional Administrator signs the transmittal letter referring the action to HQ or DOJ.
The signature date must be recorded in CERCLIS as the activity start date.
Credit for a 104(e) order is based on the date it is issued to the PRPs as recorded in
CERCLIS as the activity completion date.
Due to workload considerations, Regions issuing referrals for non-compliance with a
104(e)(5) order will receive credit for both the order and the follow-up referral.
CHANGES IN DEFINITION FY 91 - FY 92: Orders were added to the definition. The
Region's ability to receive credit for an order and a referral was also added.
SPECIAL PLANNING/REPORTING REQUIREMENTS: Targets are established on a
site specific basis; TBD sites are allowed with an explanation.
ACTIVITY: Administrative Record Compilation (Remedial and Removal)
DEFINITION: An AR is a compilation of all documents which EPA used to make a
specific decision on the appropriate response action to be taken at a Superfund site.
SARA specifies that ARs be compiled at sites where remedial or removal responses are
planned or are occurring, or where EPA is issuing a UAO or initiating litigation.
DEFINITION OF ACCOMPLISHMENT: The AR compilation begins when the AR is
received at the site repository and the start date is entered into CERCLIS. The AR
compilation is complete when the compilation is verified via Administrative Record
Coordinator certification.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: The number of ARs compiled
must be reported quarterly in the CERHELP Targets and Accomplishments data base.
ACTIVITY: Section 106.106/107. 107 Case Resolution
DEFINITION: Case resolution is the conclusion of a Section 106,106/107, or 107
judicial action by a full settlement, a final judgment, a case dismissal, or a case with-
drawal.
DEFINITION OF ACCOMPLISHMENT: Credit for case resolution is given when:
A CD is entered in the court fully addressing the complaint with all parties;
The case is withdrawn;
The case is dismissed; or
A trial concluded and a judgment entered fully addressing the complaint.
The case resolution date (activity actual completion date) is the same as the milestone
date and is defined as follows:
Date CD is entered;
D-39
-------
OSWER Directive 9200.3-01F
Date case is withdrawn;
Date case is dismissed; or
Date judgment is entered.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: Commitments are established
site specifically.
ACTIVITY: Dollars Achieved Toward Cost Recovery MBO Goal (S/E-5)
DEFINITION: This is the sum of all cost recovery and cash out settlement dollars.
Report the value of:
Cost recovery CDs, upon lodging;
Cash out settlements for future response costs;
Administrative cost recovery settlements including ADR; and
Cost recovery judgments including:
Bankruptcy settlements and judgments;
Penalties assessed;
Fines collected; and
PRP oversight bills collected
DEFINITION OF ACCOMPLISHMENT: Credit is given when the value of the settle-
ments/judgments are entered into CERCLIS. Credit for administrative settlements will
be given when the action is issued by the Regional Administrator. For those sites requir-
ing DOJ concurrence pursuant to Section 122(h)(l) of SARA, credit is given when the
action is published in the Federal Register for public comment.
CHANGES IN DEFINITION FY 91 - FY 92: Includes penalties assessed, fines col-
lected, PRP oversight bills collected, and bankruptcy settlements and judgments. Credit
is given for cost recovery CDs when they are lodged. Does not include AOs.
SPECIAL PLANNING/REPORTING REQUIREMENTS: This is a STARS reporting
measure only, not a targeted activity.
ACTIVITY: RD/RA Settlements and Injunctive Referrals (S/E-la and Ib)
DEFINITION: These are the enforcement actions to compel the PRPs to conduct the RD
and/or RA.
D-40
-------
OSWER Directive 9200.3-01F
DEFINITION OF ACCOMPLISHMENT:
1) RD/RA Settlements (S/E-la) - This measure includes CD referrals under Section 106,
107 and 122(d) for PRPs to conduct or pay for RD and/or RA. It includes mixed funding
and cash out settlements for RD/RA. The CD referral package must contain all signa-
tures (EPA and PRPs), and a complete 10-point analysis document. Credit will be based
on the date, as recorded in CERCLIS, of the Regional Administrator's memo transmitting
the referral to the Office of Enforcement (OE) or DOJ.
This measure also includes UAOs issued under Section 106 for RD/RA where the PRPs
are in compliance. Credit for UAOs is the date PRPs provide notice of intent to comply
with the order as recorded in CERCLIS milestone "Notice of Intent to Comply" (C2801 =
NC). Should a PRP initially comply with a UAO, and later a CD is agreed to for the
same work, credit will be for the UAO only.
2) RD/RA Injunctive Referrals (S/E-lb) - This measure includes injunctive referrals,
under Section 106 or 106/107, to compel PRPs to conduct the RD/RA. Credit is given on
the date, as recorded in CERCLIS, of the Regional Administrator's memo transmitting
the referral to OE or DOJ.
Referrals seeking preliminary relief or penalties do not count toward this measure.
CHANGES IN DEFINITION FY 91 - FY 92: Regions will not receive credit for a UAO
and a CD for the same work. Credit for the UAO is not withdrawn if the PRPs become
substantially out of compliance with the order.
SPECIAL PLANNING/REPORTING REQUIREMENTS: RD/RA settlement and
injunctive referrals are a combined targets in STARS. TBD sites are allowed with an
explanation. Credit will be withdrawn if a case is returned by OE or DOJ for additional
work. Credit will be reinstated upon re-referral and will be based on the quarter of re-
referral. In the event a case is referred in one year and returned to the Region in subse-
quent years, no credit will be provided for re-referral.
ACTIVITY: Unilateral Orders Issued for RD/RA (S/E-lc)
DEFINITION: UAOs are an enforcement tool to compel the PRPs to conduct the RD
and/or RA.
DEFINITION OF ACCOMPLISHMENT: This measure includes UAOs issued under
Section 106 to compel PRPs to conduct RD/RA. Credit is based on the date the UAO is
issued to the PRPs as recorded in CERCLIS. PRPs do not have to comply with the UAO
in order for the Region to receive credit under this measure.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: UAOs are reported separate
from RD/RA settlements and injunctive referrals.
D-41
-------
OSWER Directive 9200.3-01F
ACTIVITY: Section 107 or 106/107 Settlements and Iniunctive Referrals f>$200.00m (S/E-41
DEFINITION: This measure includes Section 107 or 106/107 injunctive referrals (i.e.,
without settlement) and 107 or 106/107 settlement referrals for cost recovery where there
is greater than $200,000 in past costs for Fund-financed removals, RI/FS, RD or RA.
DEFINITION OF ACCOMPLISHMENT:
Credit is based on the Regional Administrator's signature date on the referral transmittal
letter (as entered in CERCLIS) to OE or DOJ.
Where a judicial referral is targeted and an administrative settlement greater than
$200,000 is achieved, credit will be given on the date of issuance or, for those sites
requiring DOJ concurrence pursuant to Section 122(h)(l) of SARA, the date the adminis-
trative settlement is transmitted to DOJ for concurrence. It is possible for a Region to
receive credit for a referral under this STARS measure and STARS measure S/E-1,
RD/RA Injunctive Referrals/Settlements. Credit for settlement referrals will be given for
only those cases where there has been no previous referral. Entry of the following infor-
mation into CERCLIS is required for credit: 1) date referred to HQ/DOJ (C1716); cost
recovery remedy type (C2731); 3) cost recovery financial type (C2903); 4) cost recovery
financial amount (C2907); and 5) settlement status (C1721).
CHANGES IN DEFINITION FY 91 - FY 92: Includes 106/107 actions. The measure
has been changed from targeting and reporting pre-RA and RA activities to targeting and
reporting settlements and injunctive referrals. Credit is also given for administrative
settlements greater than $200,000. The Region can receive credit for both a cost recovery
and RD/RA referral/settlement. Credit for a settlement is only given when there was no
prior referral. Credit is based on referrals rather than sites.
SPECIAL PLANNING/REPORTING REQUIREMENTS: Credit will be withdrawn if a
case is returned to the Region by OE or DOJ for additional work, but will be reinstated
upon re-referral and will be based on the quarter of re-referral. Credit will not be given
for bankruptcy settlements.
ACTIVITY: Section 107 Referrals (<$200.QOO^
DEFINITION: This category includes Section 107 referrals (with and without settle-
ment) for reimbursement of Trust Fund amounts of less than $200,000.
DEFINITION OF ACCOMPLISHMENT:
Credit is given on the date the Regional Administrator signs the transmittal letter accom-
panying the referral with or without settlement to HQ or DOJ.
CHANGES IN DEFINITION FY 91 - FY 92: Voluntary cost recovery, AOCs and
judgments were deleted.
SPECIAL PLANNING/REPORTING REQUIREMENTS: Credit is based on the referral
package per se, not on the number of sites. Regions are constrained to a maximum of one
small case referral. Targets are established non-site specifically.
D-42
-------
OSWER Directive 9200.3-01F
ACTIVITY: Administrative Cost Recovery Settlements
DEFINITION: This category includes Section 107 and Section 122 administrative
settlements for reimbursement of Trust Fund.
DEFINITION OF ACCOMPLISHMENT:
1) Voluntary cost recovery - Credit is given on the date on which the Financial Manage-
ment Division (FMD) or the Regional office receives a payment from the PRPs in direct
response to a demand letter (no formal settlement document exists).
2) AOC - Credit is given on the date the Regional Administrator signs the AOC and the
administrative cost recovery settlement.
CHANGES IN DEFINITION FY 91 - FY 92: New definition for FY 92.
SPECIAL PLANNING/REPORTING REQUIREMENTS: Targets are established non-
site specifically.
ACTIVITY: Administrative Orders Issued for Removals and RI/FS rS/E-2b)
DEFTNITTQN: Administrative Orders (AOC and UAO) are an enforcement tool to
compel the PRPs to assume responsibility for removal actions and RI/FS projects.
DEFINITION OF ACCOMPLISHMENT: Credit is provided where a Section 104/1067
122 UAO or AOC for removal actions or RI/FS has been signed by the Regional Admin-
istrator or designated official and is issued to the PRPs. PRPs do not need to comply in
order for the Region to receive credit for the UAO.
' The completion date (C1717), compliance status (C1726), remedy code (C2731) and the
settlement status flag (C1721) are entered in CERCLIS.
CHANGES IN DEFINITION FY 91 - FY 92: Only AOs issued for removals and RI/FS
are included.
SPECIAL PLANNING/REPORTING REQUIREMENTS: Projections for AOs for
removal actions are made in the Targets and Accomplishments portion of the CERHELP
non-site data base. Projections for AOs for RI/FS are made site specifically.
ACTIVITY: 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.
DEFINITION OF ACCOMPLISHMENT: Credit for this activity is given on the date the
demand letter is signed by the appropriate EPA official and recorded in CERCLIS.
CHANGES IN DEFINITION FY 91 - FY 92:
D-43
-------
OSWER Directive 9200.3-01 F
SPECIAL PLANNING/REPORTING REQUIREMENTS: This is a SCAP reporting
measure and is recorded at the milestone level.
ACTIVITY: Issue Cost Recovery Decision Document
DEFINITION: Document prepared by EPA Regional office specifying EPA's rationale
for not pursuing cost recovery against PRPs at a site, event or OU.
DEFINITION OF ACCOMPLISHMENT: Date the document is issued by the Regional
office and recorded in CERCLIS.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: This is a SCAP reporting
measure.
ACTIVITY: Use of Alternative Dispute Resolution (ADR)
DEFINITION: ADR (mediation, arbitration or financial accounting) may be used as a
method of settling claims where total response costs do not exceed $500,000.
DEFINITION OF ACCOMPLISHMENT: This measure includes cases in which an
ADR technique (mediation, arbitration, financial accounting) was used to resolve a cost
recovery case under Section 122 (h)(2). Credit is based on information as reported in
CERCLIS.
CHANGES IN DEFINITION FY 91 - FY 92: New definition for FY 92.
SPECIAL PLANNING/REPORTING REQUIREMENTS: A new activity code will be
added to CERCLIS for reporting settlements achieved through ADR.
ACTIVITY: State Order for RI/FS
DEFINITION: AO or CD signed by the State and the PRPs for the PRPs to conduct the
RI/FS.
DEFINITION OF ACCOMPLISHMENT: The date the last official or party signs the
order or CD. All CERCLIS coding requirements for AOs and CDs apply. The enforce-
ment activity type (C1701) should be State decree ("SD") or State order ("SO") and the
date should be placed in C1717. In addition, the remedy field must denote that the AO/
CD was issued for an RI/FS.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: This is a SCAP reporting
measure not a targeted activity.
ACTIVITY: State Consent Decree for RD/RA
DEFINITION: Judicial agreement between the State and the PRPs fully or partially
settling a claim under CERCLA. The settlement may be for response work, or both
response and cost recovery work.
D-44
-------
OSWER Directive 9200.3-01 F
DEFINITION OF ACCOMPLISHMENT: Date the State CD is signed by the last
official or party. All CERCLIS coding requirements for CDs apply. The enforcement
activity type (C1701) should be State decree ("SD") and the date should be reported in
C1717. In addition, the remedy field must denote that the CD was issued for RD and/or
RA.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: This is a SCAP reporting
measure not a targeted activity.
ACTIVITY: Mixed Funding Settlements
DEFINITION: Administrative or judicial settlements under Section 106 or 107 and
Section 122 (b)(l) of SARA. Mixed funding genetically refers to three types of settle-
ments: 1) preauthorization, 2) mixed work; and 3) cash outs. Preauthorization occurs
where PRPs reach a settlement with EPA whereby they agree to perform a share of the
response actions, and the Agency agrees to reimburse some part of their expenses. Mixed
work occurs where PRPs and EPA agree to jointly work on a project or where work may
be divided between the parties. Cash outs are funds received by EPA, a State, or another
PRP to pay for all or part of the future cost for a response action that is or may be imple-
mented at a site.
DEFINITION OF ACCOMPLISHMENT: This measure includes mixed funding settle-
ments in the form of a CD or AOC between EPA and the PRPs. Credit for the CD is the
date on the Regional Administrator's memo transmitting the referral to HQ or DOJ as
recorded in CERCLIS. Credit for the AOC is based on the date it is signed by the Re-
gional Administrator and issued to the PRPs as recorded in CERCLIS.
CHANGES IN DEFINITION FY 91 - FY 92: New definition for FY 92 .
SPECIAL PLANNING/REPORTING REQUIREMENTS: This is a reporting measure
only. The remedy qualifier for cash out ("CO"), mixed work ("MW"), or preauthoriza-
tion ("PA") must be entered into CERCLIS Enforcement Remedy Qualifier (C2741 -
C2750).
ACTIVITY: De minimis Settlements
DEFINITION: Administrative or judicial settlement under Sections 106 or 107 and
Section 122 (g) of SARA. This settlement involves a minor portion of the response costs
at the site and is embodied as a CD or in an AOC. If the total response costs at the site
exceed $500,000 (excluding interest), the AO can only be issued with DOJ's prior written
approval. If DOJ does not approve or disapprove the order within 30 days, the order is
considered approved and can be issued. (DOJ and the Administrator can agree to extend
this 30-day period).
DEFINITION OF ACCOMPLISHMENT: Credit is given on the date, as recorded in
CERCLIS, the Regional Administrator signs the referral transmittal letter to OE or DOJ
for the dfi minimis CD or the date, as recorded in CERCLIS, the AO is signed by the
Regional Administrator and issued to the PRPs.
CHANGES IN DEFINITION FY 91 - FY 92:
D-45
-------
OSWER Directive 9200.3-01 F
SPECIAL PLANNING/REPORTING REQUIREMENTS: This is a reporting measure
only. The remedy qualifier for d£ minimis must be entered into CERCLIS Enforcement
Remedy Qualifier (C2741 - C2750 = "DL" or "DG").
D-46
-------
ENFORCEMENT DEFINITIONS
Settlements, Referrals and Oversight
PLANNING REQUIREMENTS
STARS?
SCAP?
TARGET OR MEASURE?
QUARTERLY TARGETS SET?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES, WHEN?
PLANNED/REPORTED ON
OPERABLE UNIT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR
IN NON-SITE PORTION OF CERCLIS?
AOA CATEGORY?
BASIS FOR AOA?
ADMIN. RECORD
COMPILATION
NO
YES
MEASURE
NO
NO
OPERABLE
UNIT
COMBINED
NON-SITE
ENFORCEMENT
OR OTHER
RESPONSE
SITE OR NON-
SITE SPECIFIC
PLANS
DEMAND
LETTERS
NO
YES
MEASURE
NO
NO
WHOLE
SITE
N/A
SITE SPECIFIC
ENFORCEMENT
SITE OR NON-
SITE SPECIFIC
PLANS
104
-------
ENFORCEMENT DEFINITIONS
Settlements, Referrals and Oversight
(Cont)
o
-U
oo
PLANNING REQUIREMENTS
STARS?
SCAP?
TARGET OR MEASURE?
QUARTERLY TARGETS SET?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES, WHEN?
PLANNED/REPORTED ON
OPERABLE UNIT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
AOA CATEGORY?
BASIS FOR AOA?
106, 106/107
107 CASE
RESOLUTION
NO
YES
MEASURE
NO
NO
OPERABLE
UNIT
N/A
SITE
SPECIFIC
ENFORCE-
MENT
SITE SPEC.
PLANS
107
REFERRALS/
SETTLEMENTS
<$200,000
NO
YES
TARGET
YES
PRIOR
TOFY
YES
PRIOR
TOFY*
WHOLE
SITE
N/A
SITE
SPECIFIC
ENFORCE-
MENT
SITE SPEC.
PLANS
AOFOR
REMOVAL/
RI/FS
YES
YES
MEASURE
NO
NO
OPERABLE
UNIT
N/A
SITE
SPECIFIC
ENFORCE-
MENT
SITE SPEC.
PLANS
$
ACHIEVED
YES
NO
MEASURE
NO
NO
WHOLE
SITE
N/A
SITE
SPECIFIC
N/A
N/A
ADMIN COST 1
RECOVERY (I
SETTLEMENTS j|
NO 11
YES H
MEASURE I
NO I
|
NO |
|
OPERABLE I
UNIT |
N/A \
SITE |
SPECIFIC I
ENFORCE- i
MENT 1
SITE SPEC. 1
PLANS |
90
I
I'
o
a
*«TBD" SITES ARE ALLOWED.
-------
ENFORCEMENT DEFINITIONS
Settlements, Referrals and Oversight
(Cont.)
O
PLANNING REQUIREMENTS
STARS?
SCAP?
TARGET OR MEASURE?
QUARTERLY TARGETS SET?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES, WHEN?
PLANNED/REPORTED ON
OPERABLE UNIT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
AOA CATEGORY?
BASIS FOR AOA?
107 OR 106/107
REFERRALS/
SETTLEMENT
(>$200,000)
YES
YES
TARGET
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
N/A
SITE
SPECIFIC
ENFORC-
MENT
SITE SPEC.
PLANS
106 OR
106/107 RD/RA
REFERRAL
/SETTLEMENT
YES
YES
TARGET
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
N/A
SITE
SPECIFIC
ENFORC-
MENT
SITE SPEC.
PLANS
UAO FOR I
RD/RA I
I
YES 1
YES
MEASURE
NO
NO
OPERABLE
UNIT
N/A
SITE
SPECIFIC
ENFORC- 1
MENT
SITE SPEC. 1
PLANS
8
I
OJ
6
a
-------
ENFORCEMENT DEFINITIONS
Settlements, Referrals and Oversight
(Cont.)
o
o
MIXED
FUNDING
SETTLEMENTS
STATE CD
FOR RD/RA
STATE ORDER
FOR RI/FS
PLANNING REQUIREMENTS
SETTLEMENTS
TARGET OR MEASURE?
QUARTERLY TARGETS SET?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES, WHEN?
PLANNED/REPORTED ON
OPERABLE UNIT
OR WHOLE SITE BASIS?
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
ENFORC-
MENT
ENFORC-
MENT
ENFORC-
MENT
ENFORC-
MENT
AOA CATEGORY?
SITE OR NON-
SITE SPECIFIC
PLANS
SITE OR NON-
SITE SPECIFIC
PLANS
SITE OR NON-
SITE SPECIFIC
PLANS
SITE OR NON-
SITE SPECIFIC
PLANS
BASIS FOR AOA?
90
I
6
B
-------
OSWER Directive 9200.3-01 F
FEDERAL FACILITY DEFINITIONS
ACTIVITY: Federal Facility Remedy Selected (ROD)
DEFINITION: The ROD is the document which details the selection of remedy. The
Federal entity and EPA jointly select the remedy at the facility.
DEFINITION OF ACCOMPLISHMENT: The date the ROD is signed by the Regional
Administrator or the AA SWER is the completion date. This date must be entered in
CERCLIS.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS:
ACTIVITY: Signed Interagency Agreements at NPL Sites
DEFINITION: Under Article 120 of SARA, Federal agencies are required to enter into a
Federal Facility IAG with EPA within six months of EPA review of RI/FS regarding:
A schedule for completion of the remedy; and
Arrangements for Operation and Maintenance (O&M) at the facility.
OE policy is to enter into an IAG for the RI/FS and RD/RA phases. lAGs should be
signed at NPL or proposed NPL Federal Facilities.
DEFINITION OF ACCOMPLISHMENT: Credit is given for any of the following: 1) A
signed Section 120 IAG for an RI/FS/RD/RA or RD/RA only; 2) Issuance of a RCRA
Section 3008(h) corrective action order that addresses all releases; 3) Referral of a Sec-
tion 106 AO to DOJ for concurrence; 4) Issuance of a RCRA permit addressing all
releases and all CERCLA requirements; or 5) A formal referral has been made to the AA
OE for dispute resolution. A site can only receive credit once under this measure.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: Issuance of a Section 3008(h)
order, issuance of a RCRA permit and formal referral to OE are not currently tracked in
CERCLIS and must be reported separately to HQ.
D-51
-------
OSWER Directive 9200.3-01F
FEDERAL FACILITY DEFINITIONS
SIGNED IAGS
AT NPL SITES
REMEDY
SELECTION
PLANNING REQUIREMENTS
TARGET OR MEASURE?
QUARTERLY TARGETS?
PRIOR TO FY
PRIOR TO FY
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
PRIOR TO FY
IF YES, WHEN?
PRIOR TO FY
PLANNED/REPORTED ON OPERABLE
UNIT OR WHOLE SITE BASIS?
WHOLE SITE
OPERABLE UNIT
PLANNED/REPORTED ON COMBINED
PROGRAM LEAD OR ON A PROGRAM
SPECIFIC BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
SITE SPECIFIC
SITE SPECIFIC
AOA CATEGORY?
BASIS FOR AOA?
D-52
-------
OSWER Directive 9200.3-01 F
OIL SPILL ACTIVITY DEFINITIONS
INTRODUCTION
There are three oil spill activities that are planned and tracked through the SCAP process.
They are planned on a non-site specific basis and do not require Regions to plan obligations.
Accomplishments are reported in CERHELP in the aggregate, not at the site level. These activi-
ties are the following:
Oil Spills Cleaned up Using Oil Pollution Act (OPA) Funds;
On-Scene Monitoring of Responses to Oil Spills; and
Spill Prevention Control and Countermeasure (SPCC) Inspections/Reviews.
ACTIVITY: Oil Spills Cleaned up Using OPA Funds
DEFINITION: OPA-funded oil spill cleanups are oil spills cleaned up by EPA using
OPA funds. A single incident should be counted only once regardless of how many times
an EPA OSC or TAT goes back on-scene or how many phases the response entails.
DEFINITION OF ACCOMPLISHMENT: Completion of the cleanup activities is de-
fined as oil spills cleaned up by EPA using OPA funds.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS:
ACTIVITY: Qn-Scene Monitoring of Responses to Oil Spills
DEFINITION: On-scene monitoring occurs when the PRP, State, local authorities or
other party responds and OPA funds are not invoked, but where EPA or a TAT provides
on-scene oversight or technical assistance to ensure adequate cleanup takes place.
DEFINITION OF ACCOMPLISHMENT: Activation of EPA or TAT personnel in
response to activities conducted by other entities to cleanup oil spills.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS:
ACTIVITY: Spill Prevention Control and Countermeasure (SPCC) Inspections/Reviews
ION: Spill prevention compliance reviews performed by EPA and/or a TAT
defines the SPCC inspections/reviews. The count should include both on-site inspections
and detailed plan reviews. Follow-up inspections at a single facility may be counted
separately.
DEFINITION OF ACCOMPLISHMENT: Completion of the review.
CHANGES IN DEFINITION FY 91 - FY 92:
D-53
-------
OSWER Directive 9200.3-01F
SPECIAL PLANNING/REPORTING REQUIREMENTS:
D-54
-------
OSWER Directive 9200.3-01 F
OIL SPILL ACTIVITY DEFINITIONS
OPA-FUNDED
OIL SPILLS*
PLANNING REQUIREMENTS
INSPECTION/
STARS COMMITMENT?
SCAP COMMITMENT?
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET?
QUARTERLY TARGETS/MEASURES?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES, WHEN?
PLANNED/REPORTED ON
OPERABLE UNIT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR
IN NON-SITE PORTION OF CERCLIS?
AOA CATEGORY?
BASIS FOR AOA?
* CLEANED UP BY EPA
D-55
-------
OSWER Directive 9200.3-01F
APPENDIX D - SECTION II: MISCELLANEOUS DEFINITIONS
REMEDIAL PROGRAM DEFINITIONS
PROJECT SUPPORT
ACTIVITY: Community Relations
DEFINITION: Community Relations (CR) are the activities conducted in accordance
with the 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 is the obligation of funds for
the development of the Community Relations Plan (CRP). For RP-lead sites where the
PRP is preparing the CRP in accordance with an AO or CD, the start of CR is defined as
EPA approval of the CRP. For 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
a removal action.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: CR activities at PRP sites are
paid for by the Case 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 site specifically. Once funds are obligated, the non-site specific
amount must be reduced. Funds for CR activities are in the enforcement or other re-
sponse AOAs.
ACTIVITY: Design Assistance
DEFINITION: Design assistance activities are undertaken by USAGE in preparation for
initiating RD activities. This includes
Synopsize RD requirements in the Commerce Business Daily (CBD);
Develop architect/engineer (A/E) firm pre-selection list;
Contact A/E firms on the pre-selection list to ascertain interest in project;
Develop A/E selection list; and
Tentative selection of A/E firm.
DEFINITION OF ACCOMPLISHMENT: The initiation of design assistance is the
obligation of funds. The completion of design assistance is the start of RD.
CHANGES IN DEFINITION FY 91 - FY 92:
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,
D-57
-------
OSWER Directive 9200.3-01F
the non-site specific amount must be reduced. Funds for design assistance are in the
other response AOA.
ACTIVITY: Forward Planning
DEFINITION: Forward planning activities include:
The development of technical/financial information to support requests for funds
for RI/FS activities;
The evaluation of the extent and utility of available data and the identification of
additional data needs; and
The identification of administrative or procedural problems that may affect project
implementation.
DEFINITION OF ACCOMPLISHMENT: The start of forward planning is the obligation
of funds for forward planning. The completion of forward planning is the start of the RI/
FS.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: Planned and actual start and
completion dates are not required in CERCLIS. Funds must be planned site specifically.
Once funds are obligated, the non-site specific amount must be reduced. Funds for
forward planning are in the RI/FS AOA.
ACTIVITY: Long Term Remedial Action (LTRA)
DEFINITION: LTRA is a response action 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 an Action Memorandum, are
achieved.
For Fund-financed RAs involving treatment or other measures to restore contaminated
ground or surface water quality, the operation of such treatment or measures for a period
up to 10 years after the construction or installation and commencement of operation will
be considered part of RA.
Activities required to maintain the effectiveness of such treatment or measures following
the 10 year period, or after RA is complete, whichever is earlier, shall be considered
O&M. The following shall not be considered treatment or other measure to restore
contaminated ground or surface water:
Source control measures initiated to prevent contamination of ground or surface
water; and
Ground or surface water measures initiated for the primary purpose of providing
drinking water, not for the purpose of restoring ground or surface water.
DEFINITION OF ACCOMPLISHMENT: An LTRA begins when EPA and the State
have jointly determined that the RA is operational and functional. (See definition of
operational and functional.) Typically this is when the Operable Unit RA Report or
D-58
-------
OSWER Directive 9200.3-01F
Interim Superfund Site Close-Out Report is accepted. The completion date is the point at
which the levels specified in the ROD or Action Memorandum have been achieved and
no further Superfund response is required to protect human health or the environment, or
ten years after the remedy becomes operational and functional, whichever is earliest.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: LTRA is planned on a site
specific basis in CERCLIS and is used for resource allocation purposes only. Funds for
LTRA are issued site specifically in the RA AOA.
ACTIVITY: Management Assistance/Support Agency Assistance
DEFINITION: Management assistance/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 CA to ensure their
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 documented under a single Superfund account number
designated specifically for support agency activities. RA support agency activities must
be documented site specifically and require cost share provisions.
DEFINITION OF ACCOMPLISHMENT: The start of management assistance/support
agency assistance is the signature of the CA, which awards funds to the support agency,
by the Regional Administrator or his designee. The completion of management assis-
tance is the completion of all remedial activities at the site.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: Management assistance/
support agency assistance activities for RP and PS-lead projects are paid for by the
Enforcement Program, are contained in the Case Budget, and distributed to the Region in
the enforcement AOA. Funds to support MR and F-lead projects are in the other re-
sponse AOA. Planned and actual start and completion dates are not required in CER-
CLIS. Funds may be planned site or non-site specifically; however, they must be obli-
gated site specifically. Once funds are obligated, the non-site specific amount must be
reduced.
ACTIVITY: Operational and Functional
DEFINITION: Operational and functional means the activities required to determine that
the remedy is functioning properly and is performing as designed. Operational and
functional activities are part of RA. EPA funds these activities for a period up to one
year after construction is complete, or until EPA and the State jointly determine that the
remedy is functioning properly and is performing as designed, whichever is earliest.
EPA may extend the one-year period, as appropriate.
DEFINITION OF ACCOMPLISHMENT: The start of the operational and functional
period is defined as the point at which the lead agency determines that construction has
D-59
-------
OSWER Directive 9200.3-01 F
been completed and (where appropriate) the remedy is operating. The completion of
operational and functional is the date upon which the lead and support agencies agree to
accept the Operable Unit RA Report or Superfund Site Close-Out Report documenting
that the remedy is operational and functional. Normally, operational and functional
completion will occur within one year following completion of construction.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS:
ACTIVITY: Operation and Maintenance (O&M)
DEFINITION: O&M means 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. Except for ground or
surface water actions covered under Section 300.435(0(3) of the NCP, O&M measures
are initiated after the remedy has achieved the RA objectives and remediation goals in the
ROD or CD, and is determined to be operational and functional. The State or PRP is
totally responsible for these activities for the time period specified in the ROD or other
appropriate documents.
DEFINITION OF ACCOMPLISHMENT: The start of O&M is defined as the date upon
which the lead and support agencies agree to accept the Operable Unit RA Report or
Interim Superfund Site Close-Out Report, following their joint inspection. These reports
document that work has been performed within desired specifications and that the remedy
is operational and functional. The lead agency prepares the report after construction
activities are complete and the contractor has demobilized. The completion (where
appropriate) of O&M is defined as the date specified in a CA, Superfund State Contract
(SSC), or CD.
'CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: O&M is planned site specifi-
cally in CERCLIS and is used for resource allocation purposes only. Funds for O&M are
contained in the RA AOA.
ACTIVITY: Technical Assistance
DEFINITION: Technical assistance is support provided by a third party to EPA in the
conduct of response activities.
DEFINITION OF ACCOMPLISHMENT: The start of technical assistance is the obliga-
tion of funds for technical assistance. The completion is defined as the completion of the
response activities for which technical assistance was requested.
CHANGES IN DEFINITION FY 91 - FY 92:
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 technical assistance are con-
tained in the other response AOA.
D-60
-------
OSWER Directive 9200.3-01F
ACTIVITY: Technical Assistance Grants
DEFINITION: Technical Assistance Grants (TAG) are provided under SARA to a
community for technical assistance in dealing with Superfund issues at NPL sites.
DEFINITION OF ACCOMPLISHMENT: The start of the TAG is the signature of the
CA to the community group. The completion of the TAG is the completion of the final
RA or the deletion of the site from the NPL.
CHANGES IN DEFINITION FY 91 - FY 92:
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 are contained in the
response budget and found in the other response AOA.
D-61
-------
OSWER Directive 9200.3-01F
HAZARDOUS SUBSTANCES RELEASE
ACTIVITY: Hazardous Substances Release Notification
DEFINITION: The definition of hazardous substances release notification is a report to
EPA of a hazardous substance released into the environment.
DEFINITION OF ACCOMPLISHMENT: The definition for release notifications is the
number of sites/incidents where a release notification is received. A release notification
is counted when a report of a hazardous substances release is received, processed and
logged by EPA.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: The count for hazardous
substances release notifications should not include State or USCG notifications for-
warded ex-post facto through monthly summaries unless followed up by EPA. Count
should include potential releases, notifications not recognized through CERCLA and
spills at waste sites if reported to EPA. Accomplishments should be reported in CER-
HELP.
ACTIVITY: Hazardous Substances Release Investigations
DEFINITION: A release investigation is the process of collecting field data on an actual
or potential hazardous substance site or spill for the purpose of characterizing the magni-
tude and severity of the hazard and/or to support enforcement. This activity includes all
efforts from the decision to conduct an investigation up to the decision to prepare an
action memorandum for removal action.
DEFINITION OF ACCOMPLISHMENT: Investigations may be conducted by EPA and/
or a TAT, and must include an on-site component, such as a walk around survey or
sampling to be counted.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: Investigations conducted
entirely by the State do not count. Accomplishments should be reported in CERHELP.
ACTIVITY: On-Scene Monitoring of Responses to Hazardous Substance Releases
DEFINITION: On-scene monitoring of responses to hazardous substance release occurs
when CERCLA funds are not obligated for cleanup work, but EPA provides on-scene
oversight and technical assistance to ensure that all CERCLA statutes/regulations are
adhered to in site cleanup or stabilization.
DEFINITION OF ACCOMPLISHMENT: Credit is given for on-scene monitoring when
EPA goes on-site to monitor cleanup activities.
CHANGES IN DEFINITION FY 91 - FY 92:
SPECIAL PLANNING/REPORTING REQUIREMENTS: State removals conducted
through CAs do not count toward this activity. Accomplishments should be reported in
CERHELP.
D-62
-------
OSWER Directive 9200.3-01F
APPENDIX E
CASE BUDGET
-------
OSWER Directive 9200.3-01F
APPENDIX E
CASE BUDGET
TABLE OF CONTENTS
CASE BUDGET CODING AND DATA ENTRY INSTRUCTIONS E-l
FINANCIAL PLANNING REQUIREMENTS E-l
WasteLAN Coding Instructions E-l
Remedial Events E-l
Enforcement Activities E-3
Non-Site Specific Incidents E-3
Mainframe CERCLIS Coding Instructions E-4
Remedial Events E-4
Enforcement Activities E-4
Non-Site Specific Incidents E-4
OBLIGATING FUNDS TO COVER REGIONAL TES 5+
PROGRAM MANAGEMENT WORK ASSIGNMENTS E-5
WasteLAN CERHELP Coding Instructions E-5
CERHELP Mainframe Coding Instructions E-6
OBLIGATING FUNDS GENERICALLY TO COVER ALL
SITE SPECIFIC WORK ASSIGNMENTS E-6
WasteLAN CERHELP Coding Instructions E-6
Mainframe CERHELP Coding Instructions E-7
OBLIGATING FUNDS TO COVER CONTRACT BUY IN
WORK ASSIGNMENTS E-7
WasteLAN Coding Instructions E-8
Remedial Events E-8
Enforcement Activities E-8
Non-Site Specific Incidents E-8
Mainframe CERCLIS Coding Instructions E-9
Remedial Events E-9
Enforcement Activities E-10
Non-Site Specific Incidents E-10
ENTERING TES WORK ASSIGNMENT AMOUNTS (TASKING) E-ll
WasteLAN Coding Instructions E-ll
Remedial Events E-ll
Enforcement Activities E-ll
Non-Site Specific Incidents E-12
Mainframe CERCLIS Coding Instructions E-12
Remedial Events E-12
Enforcement Activities E-13
Non-Site Specific Incidents E-13
-------
OSWER Directive 9200.3-01F
APPENDIX E - CASE BUDGET
CASE BUDGET CODING AND DATA ENTRY INSTRUCTIONS
This appendix outlines the required data for Case Budget financial records and provides detailed
data entry instructions. Exhibit G-l should be referenced to determine the financial data require-
ments for each type of financial record being entered. For example, if a planned obligation is
being entered, only those data elements with a check mark applies to the financial record for
planned obligation. Failure to enter a valid code for the data element will result in an error to
appear on the ENFR49 report.
FINANCIAL PLANNING REQUIREMENTS
This section reviews the CERCLIS/WasteLAN data entry instructions for planned obliga-
tions (requests). Activity-specific financial planning is required to clearly identify extramural
Regional Enforcement funding requirements. This guidance is provided to assist the Regions in
carrying out the Case Budget strategy and accurately entering financial plans.
The list of enforcement activities and events with their corresponding codes, that are
funded with Case Budget appears in Exhibit VI-8. It is important to note that additional coding
requirements exist in order for any of these planned activities to be considered as a regional
request.
WasteLAN Coding Instructions
A: Remedial Events
Al. Select Remedial from the main menu.
" A2. Choose the event type (RI/FS, RD, RA, etc.) from the remedial menu.
A3. Specify the site by entering the WasteLAN reference number and verify that the
information is correct.
A4. Choose the correct operable unit by selecting next/previous operable unit until the
screen information matches the desired operable unit. Select 'View/Edit Events'.
If the event is not found then select 'Add' to add a new event.
A5. Choose the correct event by viewing the next/previous events until the informa-
tion matches the desired event.
A6. Choose 'Edit Event'.
A7. Enter a lead of 'FE','SE','MR','RP' or 'PS'.
A8. Enter the current planned start date.
A9. Enter the current planned completion date.
A10. Enter the actual start date.
All. Update/Add the record and then choose 'Financial System'.
A12. Choose the financial type for planned obligation.
A13. Choose 'A' to add a new financial record.
A14. Enter the planned obligation date.
A15. Enter the planned amount.
A16. Enter an 'E' for the Enforcement budget source.
A17. Enter 'APR', 'ALT', or 'CON' for the funding priority status.
Al8. Enter the contract vehicle (e.g. TES##, IAG##, MSC##, REM##).
A19. Enter contractor name (optional).
A20. Enter financial comments if necessary.
A21. Choose 'A' to add record.
E-l
-------
Exhibit E-l
o
on
W
CASE BUDGET CODING REFERENCE GUIDE
(REQUIRED DATA ELEMENTS)
SITE SPECIFIC
-------
OSWER Directive 9200.3-01F
B: Enforcement Activities
Bl. Select Enforcement from the main menu.
B2. Choose the activity group (RP Search, Negotiations, Litigation, etc.) from the
Enforcement menu.
B3. Choose the activity type.
B4. Specify the site by entering the WasteLAN reference number and verify that the
information is correct.
B5. Choose 'Add' to add an activity if it does not already exist.
B6. Choose the correct event by viewing the next/previous events until the informa-
tion matches the desired activity.
B7. Choose 'Edit' activity.
B8. Enter a lead of TE' or 'SE'.
B9. Enter the current planned start date.
BIO. Enter the current planned completion date.
B11. Enter the actual start date.
B12. Update/Add the record and then choose 'Budget Financial'.
B13. Choose financial type for planned obligation.
B14. Choose 'A' to add a new financial record.
B15. Enter the planned amount.
B16. Enter the planned obligation FYQ.
B17. Enter an 'E' for the Enforcement budget source.
B18. Enter 'APR', 'ALT', or 'CON' for the budget status.
B19. Enter the contract vehicle (e.g. TES##, IAG##, MSC##, REM##).
B20. Enter financial comments in the 'Note' area if necessary.
B21. Choose 'A' to add record.
C: Non-Site Specific Incidents
Cl. From Main Menu select CERHELP System.
C2. Select Non-Site/Incident from CERHELP Program screen.
C3. Select Modify/View Activitites from the non-site/incident menu.
C4. Enter the activity in the Non-Site/Incident Activity Code field.
C5. WasteLAN system generates the current fiscal year (FY), but the user can over-
write the data in this field if desired. If the correct activity already exists in
WasteLAN, then proceed with step 6, otherwise do steps 5a - 5d.
5a. Select Add New Activity.
5b. Enter 'FE','SE','MR','RP',or 'PS' as the Lead.
5c. Enter any activity comment desired.
5d. Select A to add the record.
C6. Select the specific activity record needed, e.g., OH01.
C7. Select Financial System.
C8. Choose financial type for planned obligation.
C9. Select Add New Record.
CIO. Enter the planned obligation FYQ.
Cl 1. Enter financial comments if necessary.
C12. Enter the planned amount.
C13. Enter the contract vehicle (e.g. TES##, IAG##, MSC##, REM##).
C14. Enter contractor name (optional).
CIS. Enter an 'E' for the Enforcement budget source.
C16. Enter 'APR', 'ALT', or 'CON' for the budget status.
C17. Enter the number of sites expected to have TES work assignments during the
fiscal year.
CIS. Choose 'A' to add record.
E-3
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OSWER Directive 9200.3-01 F
Mainframe CERCLIS Coding Instructions
A: Remedial Events
Al. Access main menu for data entry and choose Remedial/Removal.
A2. Choose the event information screen.
A3. Select 'A' to add an event or 'C' to update an event.
A4. Enter the EPA ID, operable unit, and event code.
A3. Enter a lead of 'FE','SE','MR','RP' or 'PS'.
A4. Enter the current planned start date.
A5. Enter the current planned completion date.
A6. Enter the actual start date.
A7. Update/Add the record.
A8. Select Event Financial Info. Screen to add or update an event financial record.
A9. Select 'A' to add a new event financial record.
A10. Enter the EPA ID Number .
All. Enter the operable unit number.
A12. Enter the event type and sequence number and press enter.
A13. Enter 'P' for a planned obligation.
A14. Enter 'APR', 'ALT' or 'CON' for the funding priority status.
A15. Enter the planned obligation FYQ.
A16. Enter 'E' for the Enforcement budget source.
A17. Enter the planned obligation amount.
A18. Enter the contract vehicle (e.g., TES##, IAG##, MSC##, REM##).
B: Enforcement A ctivities
Bl. Access main menu for data entry and choose Enforcement.
B2. Choose the activity screen.
B3. Select 'A' to add or 'C' to update an activity.
B4. Enter the EPA ID and the activity code.
B6. Enter a lead of'FE', or'SE'.
B7. Enter the current planned start date.
B8. Enter the current planned completion date.
B9. Enter the actual start date.
BIO. Update/Add the record.
Bl 1. Select the Enforcement FMS Financial Information Screen.
B12. Select 'A' to add a new financial record and enter the EPA ID, and the Activity
Type with the sequence number.
B13. Enter 'P' for a planned obligation.
B14. Enter 'E' for the Enforcement budget source.
B15. Enter the planned obligation amount.
B16. Enter the planned obligation FYQ.
B17. Enter the contract vehicle (e.g., TES##, IAG##, MSC##, REM##).
B18. Enter 'APR', 'ALT', or 'CON' for the budget status.
C: Non-Site Specific Incidents
Cl. Access main menu for data entry and choose non-site/incident.
C2. Select non-site/incident screen from the non-site menu.
C3. Enter 'A' to add a new record.
C4. Enter Region number.
C5. Enter activity type and press enter.
C6. Enter activity lead as 'FE','SE','MR', 'RP', or 'PS'.
E-4
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OSWER Directive 9200.3-01F
C7. Enter current FY.
C8. Enter any activity comment (e.g., Funds to cover all TES work assignments).
C9. Confirm the activity.
CIO. Enter 'A' to add financial information and enter Region, activity type including
the sequence number and press enter.
Cl 1. Enter financial type 'P' for a planned obligation.
C12. Enter the contract vehicle (e.g., TES##, IAG##, MSC##, REM##).
C13. Enter 'E' for the funding source.
C14. Enter the estimated number of sites expected to be funded from the non-site-
specific plan.
CIS. Enter 'APR', 'ALT', or 'CON' for the budget status.
C16. Enter the planned obligation FYQ.
C17. Enter the planned obligation amount.
OBLIGATING FUNDS TO COVER REGIONAL TES 5+ PROGRAM MANAGEMENT
WORK ASSIGNMENTS
At the beginning of each FY, RPOs will write work assignments to provide contract
management and administrative support for the contractors' regional offices. Funds for these
management work assignments should be obligated independently of generic funds that cover
site specific work assignments. The split will also provide the unique account number and
document control number combinations required to make the CERCLIS to IFMS data transfer
possible.
WasteLAN CERHELP Coding Instructions
Al. From Main Menu select CERHELP System.
A2. Select Non-Site/Incident from CERHELP Program screen.
A3. Select Modify/View Activitites from the non-site/incident menu.
"A4. Enter 'TM' in the Non-Site/Incident Activity Code field, for TES 5+ Program
Management.
A5. WasteLAN system generates the current FY, but the user can overwrite the data in
this field if desired. If the correct PM activity already exists in WasteLAN, then
proceed with step 6, otherwise do steps 5a - 5d.
5a. Select Add New Activity.
5b. Enter 'FE' as the Lead.
5c. Enter any activity comment desired.
5d. Select A to add the record.
A6. Select the specific activity record needed (e.g., TM01).
A7. Select Financial System.
A8. Choose financial type, i.e., Option 4 is commitment or Option 5 is decommitment.
A9. Select Add New Record.
A10. Do not enter data into the date or amount fields, unless you have the correct FMS
amount and commitment date, in order to avoid creating duplicate records during
the financial download procedure.
All. Enter any activity comments (e.g., 'work assignment amount'or 'approved work
plan amount').
A12. Enter the Document Control Number (DCN) from the PR.
A13. Enter the Account Number (ACN) from the PR.
A14. Enter 'TES05', 'TES06', etc., for the TES contract number into the Vehicle field.
A15. Enter the contractor's name in the Contractor field (optional).
A16. Enter '2535' in the Ob. Subob. Class field.
E-5
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OSWER Directive 9200.3-01F
A17. Enter 'E' for the Enforcement Funding Source.
A18. Enter the estimated number of sites expected to have TES work assignments
during the FY.
A19. Enter 'A' (default) in order to add this financial record to the data base.
CERHELP Mainframe Coding Instructions
Bl. Access main menu for data entry and select non-site/incident.
B2. Select non-site/incident screen from the non-site menu.
B3. Enter 'A' to add a new record.
B4. Enter Region number.
B5. Enter activity type as 'TM' (TES 5+ Program Management) and press enter.
B6. Enter activity lead as 'FE'.
B7. Enter current FY.
B8. Enter any activity comment (e.g., work assignment amount or approved work plan
amount).
B9. Press Enter and confirm the activity.
BIO. Enter 'A' to add financial information and then proceed to enter Region, activity
type with the sequence number and press enter.
Bl 1. Enter financial type 'C' for a commitment (positive amount), or 'M' for a
decommitment (negative amount).
B12. Enter the IFMS account number (ACN) from the PR.
B13. Enter the IFMS document control number (DCN) from the PR.
B14. Enter TES05', 'TES06', etc., identifying the specific TES contract.
B15. Enter '2535' for the Object/Subobject Class.
B16. Enter 'E' for Enforcement Funding Source.
B17. Enter the estimated number of sites expected to have TES work assignments for
the FY in the 'NBR SITES' field.
B18. Enter the date the Funds Control Clerk signed the PR in the actual financial date
field.
B19. Enter the amount from the PR.
B20. Confirm the record.
OBLIGATING FUNDS GENERICALLY TO COVER ALL SITE SPECIFIC WORK AS-
SIGNMENTS
RPOs will obligate funds to a non-site specific (also referred to as generic) account to
cover the value of their site specific work assignments (including award fees) each FY. The
contractors will be paid by work assignment from the generic PRs by identifying the PR docu-
ment control number and site specific account number to be charged on their invoices. The
generic PRs will be entered much the same as contract program management PRs.
WasteLAN CERHELP Coding Instructions
A1. From Main Menu select CERHELP System.
A2. Select Non-Site/Incident from CERHELP Program screen.
A3. Select Modify/View Activitites from the non-site/incident menu.
A4. Enter 'TG' in the Non-Site/Incident Activity Code field (TES Generic Obliga-
tion).
A5. WasteLAN system generates the current FY, but the user can overwrite the data in
this field if desired.If the correct TG activity already exists in WasteLAN, then
proceed with step 6, otherwise do steps 5a - 5d.
E-6
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OSWER Directive 9200.3-01F
5a. Select Add New Activity.
5b. Enter 'FE' as the Lead.
5c. Enter any activity comment desired.
5d. Select A to add the record.
A6. Select the specific activity record needed, e.g., TG01.
A7. Select Financial System.
A8. Choose financial type, i.e., Option 4 is commitment or Option 5 is decommitment.
A9. Select Add New Record.
A10. Do not enter data into the date or amount fields, unless you have the correct FMS
amount and commitment date, in order to avoid creating duplicate records during
the financial download procedure.
All. Enter any activity comments .
A12. Enter the Document Control Number (DCN) from the PR.
A13. Enter the Account Number (ACN) from the PR.
A14. Enter TES05', 'TES06', etc. into the Vehicle field for the TES contract number.
A15. Enter the contractor's name in the Contractor field (optional).
A16. Enter '2535' in the Ob. Subob. Class field.
A17. Enter '£' for the Enforcement Budget Source.
A18. Enter the number of expected work assignments against the generic obligation.
A19. Enter 'A' (default) in order to add this financial record to the data base.
Mainframe CERHELP Coding Instructions
Bl. Access main menu for data entry and select non-site/incident.
B2. Select non-site/incident screen from the non-site menu.
B3. Enter 'A' to add a new record.
B4. Enter Region number.
B5. Enter activity type as 'TG' for TES generic obligation and press enter.
B6. Enter activity lead as 'FE'.
B7. Enter current FY.
B8. Enter any activity comment (e.g., Funds to cover all TES work assignments).
B9. Confirm the activity.
BIO. Enter 'A' to add financial information and then proceed to enter region, activity
type including the sequence number and press enter.
Bl 1. Enter financial type 'C' for a commitment (positive amount), or 'M' for a
decommitment (negative amount).
B12. Enter the IFMS account number (ACN) from the PR.
B13. Enter the IFMS document control number (DCN) from the PR.
B14. Enter TES05', 'TES06', etc., identifying the specific TES contract.
B15. Enter '2535' for the Object/Subobject Class.
B16. Enter 'E' for Enforcement Funding Source.
B17. Enter the estimated number of sites expected to have TES work assignments
against the generic obligation in the NBR SITES field.
B18. Enter the date the Funds Control Clerk signed the PR in the ACTUAL FIN.
DATE field.
B19. Enter the amount from the PR.
OBLIGATING FUNDS TO COVER CONTRACT BUY IN WORK ASSIGNMENTS
Buy-in commitments/obligations are of two types: 1) Enforcement funds used to buy into
one of the Non-TES contracts, and 2) Remedial, Removal, or Federal Facility funds used to buy
into one of the TES contracts. Both types of buy-ins must be entered into the data base. The
budget source code should be used to indicate the source of funds.
E-7
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OSWER Directive 9200.3-01 F
WasteLAN Coding Instructions
A: Remedial Events
Al. Select Remedial from the main menu.
A2. Choose the event type (RI/FS, RD, RA, etc.) from the remedial menu.
A3. Specify the site by entering the WasteLAN reference number and verify that the
information is correct.
A4. Choose the correct operable unit (OU) by selecting next/previous OUuntil the
screen information matches the TES WA form. Then choose 'View/Edit Events'.
If there is no event then choose 'Add' to add a new event.
A5. Choose the correct event by viewing the next/previous events until the informa-
tion matches the TES WA form. Then choose 'Financial System.'
A6. Choose financial type of commitment or decommitment.
A7. Choose 'A' to add a new financial record.
A8. Enter date the Funds Control Officer signed the PR.
A9. Enter the amount from the PR.
A10. Enter an 'E', 'R', 'V, or 'F' based on Funding Source.
All. Enter the ACN from the PR.
A12. Enter the DCN from the PR.
A13. Enter the contract vehicle number (e.g., TES12).
A14. Enter contractor name (optional).
A15. Enter '2535' for the object class.
A16. Enter financial comments if necessary.
A17. Choose 'A' to add record.
B: Enforcement Activities
B1. Select Enforcement from the main menu.
B2. Choose the activity group (RP Search, Negotiations, Litigation, etc.) from the
Enforcement menu.
B3. Choose the activity type.
B4. Choose 'Add' to add an activity if one does not already exist.
B5. Specify the site by entering the WasteLAN reference number and verify that the
information is correct.
B6. Choose 'Budget Financial' from the activity menu.
B7. Choose financial type for commitment or decommitment.
B8. Choose 'Add' to add a new financial record.
B9. Enter the amount from the PR unless the financial download has been imple-
mented.
BIO. Enter date the Funds Control Officer signed the PR.
Bll. Enter an 'E', 'R', 'V, or 'L' based on Funding Source.
B12. Enter the contract vehicle number (e.g., TES 12).
B13. In the financial note field, enter ACN in the first 10 characters. Then enter a
single space and enter the DCN.
B14. Choose 'A' to add record.
C: Non-Site Specific Incidents
Cl. From Main Menu select CERHELP System.
C2. Select Non-Site/Incident from CERHELP Program screen.
C3. Select Modify/View Activitites from the non-site/incident menu.
C4. Enter 'TG' in the Non-Site/Incident Activity Code field.
E-8
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OSWER Directive 9200.3-01F
C5. WasteLAN system generates the current FY, but user can overwrite the data in
this field if desired. If the correct TG activity already exists in WasteLAN, then
proceed with step 6, otherwise do steps 5a - 5d.
5a. Select Add New Activity.
5b. Enter 'FE' as the Lead.
5c. Enter any activity comment desired.
5d. Select A to add the record.
C6. Select the specific activity record needed, e.g., TG01.
C7. Select Financial System.
C8. Choose financial type, i.e., Option 4 is commitment or Option 5 is decommitment.
C9. Select Add New Record.
CIO. Do not enter data into the date or amount fields, unless you have the correct IFMS
amount and commitment date, in order to avoid creating duplicate records during
the financial download procedure.
Cl 1. Enter any activity comments .
C12. Enter the Document Control Number (DCN) from the PR.
Cl3. Enter the Account Number (ACN) from the PR.
C14. Enter contract vehicle and number into the Vehicle field.
C15. Enter the contractor's name in the Contractor field (optional).
C16. Enter '2535' in the Ob. Subob. Class field.
C17. Enter an 'E', 'R', 'V, or 'L' based on Funding Source.
CIS. Enter 'A' (default) in order to add this financial record to thedata base.
Mainframe CERCLIS Coding Instructions
I. Determine whether the assignment is for a remedial event, enforcement activity, or
non-site specific function. The event or activity type will be coded on the
TESWATS form in: Item 10A, 10B, or IOC, respectively.
.II. Access the appropriate side of the database, remedial site information, enforce-
ment site information, or non-site specific information.
III. At this point, instructions vary between remedial events, enforcement activities,
and non-site specific assignments. Use part A below for remedial event coding,
part B below for enforcement activity coding, and part C below for non-site
specific coding.
A: Remedial Events
Al. Access main menu for data entry and choose Remedial/Removal
A2. Select Financial Info. Screen to add or update an event financial record.
A3. Select 'A' to add a new event financial record.
A4. From the work assignment form, Item 7, enter the EPA ID Number
[LAD000239814]. (The RPO may verify Site Name and Number with a CER-
CLIS Site Alias Location Listing, report L.4.)
A5. From the work assignment form, Item 9, enter the operable unit number.
A6. From the work assignment form, Item 10A, enter the event type and sequence
number and press enter.
A7. The PR amount will be positive or negative. For a positive number, enter 'C' for
commitment; for a negative number, enter 'M' for decommitment as the Financial
Type.
A8. Enter an 'E', 'R', 'V, or 'L' based on Funding Source.
A9. From the PR, or work assignment form, Item 11, enter the financial amount.
E-9
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OSWER Directive 9200.3-01 F
A10. From the PR, enter the date the Funds Control Officer signed the PR to make the
EFMS commitment in the FIN DATE field.
All. From the work assignment form, Item 1, enter the TES contract number as the
Financial Vehicle.
A12. From the work assignment form, Item 5, enter the contractor's name.
A13. From the PR, or work assignment form, Item 4, enter the IFMS account number
in the ACCOUNT field.
A14. From the PR, enter the IFMS document control number in the DCN field.
B: Enforcement A ctivities
B1. Access main menu for data entry and choose Enforcement.
B2. Select the Enforcement FMS Financial Info. Screen.
B3. Select 'A' to add a new financial record and enter the EPA ID, and the Activity
Type with the sequence number.
B4. The PR amount will be positive or negative. For a positive number, enter 'A' for
obligation; for a negative number, enter 'D' for deobligation as the Financial
Type.
B5. From the PR, or work assignment form, Item 11, enter the financial amount.
B6. From the PR, enter the date the Funds Control Officer signed the PR to make the
IFMS obligation.
B7. From the work assignment form, Item 1, enter the TES contract number as the
Financial Vehicle.
B8. Enter an 'E', 'R', 'V, or 'F' based on Funding Source.
B9. From the PR or work assignment form, Item 4, enter the FMS account number in
the Enforcement Financial Note field.
BIO. From the PR, enter the FMS document control number in the Enforcement Finan-
cial Note field.
C: Non-Site Specific Incidents
Cl. Access main menu for data entry and choose non-site/incident.
C2. Select non-site/incident screen from the non-site menu.
C3. Enter 'A' to add a new record.
C4. Enter Region number.
C5. Enter activity type as 'OH' and press enter.
C6. Enter activity lead as 'FE'.
C7. Enter current FY.
C8. Enter any activity comment (e.g., Funds to cover all TES work assignments).
C9. Confirm the activity.
CIO. Enter 'A' to add financial information and enter Region, activity type including
the sequence number and press enter.
Cl 1. Enter financial type 'C' for a positive commitment, or 'M' for a decommitment
(negative amount on PR).
C12. Enter the FMS account number (ACN) from the PR.
C13. Enter the FMS document control number (DCN) from the PR.
C14. Enter 'TES05', 'TES06', etc., for the TES contract number, Contract Vehicle.
C15. Enter '2535' for the Object/Subobject Class.
C16. Enter an 'E', 'R', 'V, or 'L' based on Funding Source.
C17. Enter the estimated number of sites expected to have TES work assignments
against the generic obligation in the NBR SITES field.
CIS. Enter the date the Funds Control Clerk signed the PR in the FIN. DATE field.
C19. Enter the amount from the PR.
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OSWER Directive 9200.3-01F
ENTERING TES WORK ASSIGNMENT AMOUNTS (TASKING)
Each TES work assignment (both buy-ins and non buy-ins) will be entered into CER-
CLIS/WasteLAN using the codes for TES Work Assignment Amount, 'H', and detasking,'W'.
Once the COs have approved a work assignment, the Region should enter the work assignment
into CERCLIS. RPOs and IMCs should work together to make sure that all TES financial data is
entered in a timely manner.
WasteLAN Coding Instructions
A: Remedial Events
Al. Select Remedial from the main menu.
A2. Choose the event type (RI/FS, RD, RA, etc.) from the remedial menu.
A3. Specify the site by entering the WasteLAN reference number and verify that the
information is correct.
A4. Choose the correct OU by selecting next/previous OU until the screen information
matches the TES WA form. Then choose'View/Edit Events'. If there is no event
then choose 'Add' to add a new event.
A5. Choose the correct event by viewing the next/previous events until the informa-
tion matches the TES WA form. Then choose 'Financial System'.
A6. Choose financial type of TES work assignment amount (tasking) or detasking.
A7. Choose 'A' to add a new financial record.
A8. Enter date the CO signed the WA.
A9. Enter the amount from the WA.
A10. Enter an 'E', 'R', 'V', or 'L' based on Funding Source.
All. Enter the last two digits of the work assignment amendment number.
A12. Enter the six digit work assignment number.
A13. Enter the contract vehicle number (e.g. TES12).
A14. Enter contractor name (optional).
A15. Enter financial comments if necessary.
A16. Choose 'A' to add record.
B: Enforcement A ctivities
B1. Select Enforcement from the main menu.
B2. Choose the activity group (RP Search, Negotiations, Litigation, etc.) from the
Enforcement menu.
B3. Choose the activity type.
B4. Choose 'Add' to add an activity if one does not already exist.
B5. Specify the site by entering the WasteLAN reference number and verify that the
information is correct.
B6. Choose 'Budget Financial' from the activity menu.
B7. Choose financial type for TES work assignment amount (tasking) or detasking.
B8. Choose 'Add' to add a new financial record.
B9. Enter the amount from the WA.
BIO. Enter date the COsigned theWA.
Bl 1. Enter an 'E', 'R', 'V, or 'F based on Funding Source.
B12. Enter the six digit work assignment number.
B13. Enter the last two digits of the work assignment amendment number.
B14. Enter the contract vehicle number (e.g. TES 12).
B15. Choose 'A' to add record.
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OSWER Directive 9200.3-01F
C: Non-Site Specific Incidents
Cl. From Main Menu select CERHELP System.
C2. Select Non-Site/Incident from CERHELP Program screen.
C3. Select Modify/View Activitites from the non-site/incident menu.
C4. Enter the Non-Site/Incident Activity Code field.
C5. WasteLAN system generates the current FY, but user can overwrite the data in
this field if desired. If the correct activity already exists in WasteLAN, then
proceed with step 6, otherwise do steps 5a - 5d.
5a. Select Add New Activity.
5b. Enter the Lead.
5c. Enter any activity comment desired.
5d. Select A to add the record.
C6. Select the specific activity record needed.
C7. Select Financial System.
C8. Choose financial type for TES work assignment amount (tasking) or detasking.
C9. Select Add New Record.
CIO. Enter the date the CO signed the WA.
Cl 1. Enter any activity comments .
C12. Enter contract vehicle and number into the Vehicle field.
C13. Enter the six digit work assignment number in the Work Assignment field.
C14. Enter the last two digits from the work assignment amendment number into the
Amendment Number field.
C15. Enter the contractor's name in the Contractor field (optional).
C16. Enter an 'E', 'R', 'V, or 'L' based on Funding Source.
C17. Enter 'A' (default) in order to add this financial record to the data base.
Mainframe CERCLIS Coding Instructions
I. Determine whether the assignment is for a remedial event,enforcement activity, or
non-site specific function. The event or activity type will be coded on the
TESWATS form in: Item 10A, 10B, or IOC, respectively.
II. Access the appropriate side of the database, remedial site information, enforce-
ment site information, or non-site specific information.
IE. At this point, instructions vary between remedial events, enforcement activities,
and non-site specific assignments. Use pan A below for remedial event coding,
part B below for enforcement activity coding, and part C below for non-site
specific coding.
A: Remedial Events
Al. Access main menu for data entry and choose Remedial/Removal.
A2. Select Financial Info. Screen to add or update an event financial record.
A3. Select 'A' to add a new event financial record.
A4. From the work assignment form, Item 7, enter the EPA ID Number
[LAD000239814]. (The RPO may verify Site Name and Number with a CER-
CLIS Site Alias Location Listing, report L.4.)
A5. From the work assignment form, Item 9, enter the OU number.
A6. From the work assignment form, Item 10A, enter the event type and sequence
number and press enter.
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OSWER Directive 9200.3-01F
A7. The work assignment amount will be positive or negative. For a positive number,
enter 'H' for work assignment amount; for a negative number, enter ' W to
decrease the work assignment amount.
A8. Enter an 'E', 'R',' V, or 'L' based on Funding Source.
A9. From the work assignment form, Item 11, enter the financial amount.
A10. From the work assignment form, Item 14, enter the CO signature date in the FIN.
DATE field.
All. From the work assignment form, Item 1, enter the TES contract number as the
Financial Vehicle.
A12. From the work assignment form, Item 5, enter the contractor's name.
A13. From the work assignment form, Item 2, enter the work assignment number in the
WKASGN field.
A14. From the work assignment form, Item 3, enter the last two digits of the amend-
ment number in the AMEND # field.
B: Enforcement A ctivities
Bl. Access main menu for data entry and choose Enforcement.
B2. Select the Enforcement FMS Financial Info. Screen.
B3. Select 'A' to add a new financial record and enter the EPA ID, and the Activity
Type with the sequence number.
B4. The work assignment amount will be positive or negative. For a positive number,
enter 'H' for work assignment amount; for a negative number, enter ' W to
decrease the work assignment amount.
B5. From the work assignment form, Item 11, enter the financial amount.
B6. From the work assignment form, Item 14, enter the CO signature date in the FIN.
DATE field.
B7. From the work assignment form, Item 1, enter the TES contract number as the
Financial Vehicle.
B8. Enter an 'E', 'R', 'V, or 'L' based on Funding Source.
B9. From the work assignment form, Item 2, enter the work assignment number in the
WA NUMBER field.
BIO. From the work assignment form, Item 3, enter the last two digits of the amend-
ment number in the W/A AMEND NBR. field.
C: Non-Site Specific Incidents
Cl. Access main menu for data entry and choose non-site/incident.
C2. Select non-site/incident screen from the non-site menu.
C3. Enter 'A' to add a new record.
C4. Enter Region number.
C5. Enter activity type and press enter.
C6. Enter activity lead.
C7. Enter current FY.
C8. Enter any activity comment.
C9. Confirm the activity.
CIO. Enter 'A' to add financial information and enter Region, activity type including
the sequence number and press enter.
Cl 1. Enter financial type 'H' a positive work assignment amount, or 'W for a decrease
(negative work assignment amount).
C12. Enter 'TES05', 'TES06', etc., for the TES contract number.
C13. Enter an 'E', 'R', 'V, or 'L' based on Funding Source.
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OSWER Directive 9200.3-01F
C14. Enter the estimated number of sites expected to have TES work assignments
against the generic obligation in the NBR SITES field.
C15. From the work assignment form, Item 14, enter the CO signature date in the FIN.
DATE field.
C16. From the work assignment form, Item 11, enter the financial amount.
C17. Enter the six digit work assignment number from the TES work assignment form
in the IAG/WK ASGN field.
CIS. Enter the last two digits of the amendment number from the TES work assign-
ment form in the IAG/WK ASGN AMEND field.
E-14
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OSWER Directive 9200.3-01F
APPENDIX F
NPL BOOK
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LEMON
INDIANA
EPA ID# IND980794341
REGION 5
CONGRESSIONAL DIST. 09
Monroe County
Bloomlngton
Site Description
The Lemon Lane Landfill site is located on the western edge of Bloomington. The site
encompasses 10 acres. 3 of which are^owned by a private citizen. From 1950 to 1964,
the landfill, which has no liner or runoff controls, accepted both municipal and industrial
wastes. Allegedly, wastes were incinerated on site. No records were kept of the types
or quantities of wastes received. Of primary concern are large quantities of exposed
and leaking capacitors containing polychlorinated biphenyls (PCBs). Starting in 1980,
the State of Indiana and the EPA sampled the area several times. No PCBs were
detected in nearby residential wells at the time, nor were any surface discharges
observed. However, the geology of the area suggests that groundwater contamination
is possible. Westinghouse Electric Corporation, the party potentially responsible for
contamination at the site, is handling cleanup of Lemon Lane Landfill, as well as three
other National Priority List (NPL) sites and two authorized landfills in the Bloomington
area (Neal's Landfill, Neal's Dump, Bennett Stone Quarry, Winston-Thomas Treatment
Plant, and the Anderson Road Landfill). Westinghouse is planning to construct an
incinerator that will comply with all applicable local. State, and Federal laws.
Site Responsibility:
This site is being addressed through
Federal and potentially responsible
parties' actions.
NPL LISTING HISTORY
Proposed Date: 12/30/82
Final Date: 09/08/83
Threats and Contaminants
The groundwater and soils are contaminated with PCBs. Direct contact
with and accidental ingestion of contaminated soil or groundwater are
potential health threats.
March 1990
NPL HAZARDOUS WASTE SITES
continued
32
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LEMON LANE LANDFILL
Cleanup Approach
The site is being addressed in two stages: immediate actions and a long-term remedial
phase directed at cleanup of the entire site.
Response Action Status
Immediate Actions: In 1983, the EPA constructed a fence around the site
to prevent access to the area. The EPA also removed exposed PCB
capacitors; graded and covered the southern slopes of the site; regraded
arid contoured the land to prevent ponding or erosion; and capped the site. In 1988, a
dye trace study of the groundwater system around the landfill was conducted to
determine the hydrologic connection of springs to the site and to better define the
groundwater system. On the basis of this study, the EPA concluded that effects on the
local groundwater wells are minimal.
Entire Site: An alternate water supply was provided to residents whose
wells showed signs of contamination. One nearby residence was
connected to the city water supply in 1988, after the dye trace study
determined that its well water supply was contaminated. A synthetic cap
was placed on the landfill in 1988. Westinghouse, based on an investigation of the site,
will conduct the remaining remedies for the site: (1) excavation of the wastes to a pre-
Westinghouse depth plus 3 feet of buffer zone; (2) incineration of excavated materials
in an approved facility; and (3) continual groundwater monitoring.
Environmental Progress
By constructing a fence to restrict site access, removing the PCB capacitors, and
grading and covering the site to limit movement of contaminants from the property, the
potential for exposure to hazardous materials at the Lemon Lane Landfill site has been
greatly reduced. Westinghouse is currently conducting the remaining cleanup activities
at the site.
33
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OSWER Directive 9200.3-01F
APPENDIX G
ENVIRONMENTAL INDICATORS
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Appendix 6
Environmental Indicators:
Description of the Indicators
A. Acute Threats Addressed
This indicator measures how often threats to human health have
been eliminated at both NPL and non-NPL sites by preventing
exposure to contaminated materials. Immediate exposure
reductions are attributed to the provision of site security,
population relocation, alternate water supplies, or the
treatment, removal or containment of hazardous wastes. Removal
Actions at non-NPL sites are only measured by this indicator.
Progress recorded by this indicator should reveal success in
closing off exposure pathways. While a given site's goals for a
particular OU may not have been met, this indicator should record
success in eliminating pathways of exposure.
B. Achievement of Human Health and Ecological Goals For a
Medium
This indicator measures progress toward the achievement of health
and ecological goals at NPL sites in terms of their constituent
media, land, surface water, and groundwater. Land is considered
to consist of soil, solid waste, and liquid waste (in drums or in
lagoons). Surface water is considered to consist of rivers,
streams, lakes, ponds, and contaminated sediments.
The cleanup goals are those that are generally documented in a
ROD as .the final cleanup goals for the site, or for a particular
medium or part of a medium at the site. Because progress is
often made in stages, as parts of the site are cleaned up, the
indicator distinguishes between three levels of progress:
o Full achievement of site goals for a medium; All goals
for cleanup of an affected medium have been achieved.
o Partial achievement of goals for a medium - Partial
progress is reported when one of two things has occurred:
(a) a remedial or removal event is complete and goals for
that event were achieved through a "final" action such that
nothing further will be done to the waste that was managed;
or (b) a remedial action is underway, and a "final" waste
management action has been completed to achieve one goal (of
multiple goals) contained in the ROD for cleanup of an
affected medium.
o Cleanup underway - A removal or remedial event has been
initiated, and environmental progress toward the achievement
of health or ecological goals has begun.
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DESCRIPTION OP INDICATORS (cont.)
The indicator makes a further distinction about land
contamination by measuring whether the threat of direct contact
with hazardous waste has been eliminated.
Ideally, reporting of this indicator would identify the size of
the human population, both current and future, that has been
protected as a result of a particular action. However, the exact
present population protected is not generally available for most
sites. As a general rule, this level of specificity is only
available for actions involving the provision of an alternate
water supply or the relocation of residents adjacent to a site.
C. Amount of Waste Handled and Technology Employed
This indicator applies to both NPL and non-NPL sites and measures
the weight or volume of contaminated material treated (on-site or
off-site), removed (to off-site landfills or approved storage),
or contained (on-site). These amounts are associated with the
cleanup actions that have resulted in meeting site goals
(Indicator A) or reducing human health threats (Indicator B).
Information on the waste management technology used and the type
of contaminants present in wastes is also reported under this
indicator.
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Site ID :
State :
NFL Indicator :
Site Name : Region :
Page No: 2
SECTION 3 : Volume , Technologies 6 Contaminants
Medium OU-Evt Standard Standard Actual Actual Tech Cap Contaminants
Volume Unit Volume Unit Code Only
fCUYD / GAL1 f 1
SECTION 4 : Cleanup
Medium
Affected
i i
M LA
F 1 1
fc 1 1
D GW
T I 1
1 1
u sw
M ' '
fCUYD / GAL] [ ]
fCUYD / GAL] [ 1
[Circle one]
Goal Achievement
Medium Cleanup Part of Medium Medium
Underway Clean Clean
i I I
i i
1 1
1 1
1 1
i i i
n
For sites with Land Medium Cleanup Underway or Part of the Land Medium Clean,
have all direct contact threats been eliminated? Yes No N/A
Have all site cleanup goals for all media been achieved? Yes No
___ ________ c.nr\ ___ii /on/an i">.ir>.->
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Site ID :
State :
NPL Indicator
Site Name :
RPM/OSC Name:
RPN/OSC Phone
Region :
FY89 El DATA UPDATE : Y / N
FY90 NEW El DATA : Y / N
SECTION 1 : Operable Unit - Event Data
OU-Evt Act Start Act Comp Pin Start Pin Comp Medium Affected - Interim/Final Admin, status
(
) [LA-I / F GW-I / F SW-I / F]
) [LA-I / F GW-I / F SW-I / F]
) [LA-I / F GW-I / F SW-I / F]
[Circle media & event status ]
[1/2/3/4]
[1/2/3/4]
[1/2/3/4]
[Circle one]
Admin.
Status
Key:
1. No contract award
2. Contract awarded, no construction progress
3. Construction initiated, no environmental progress
4. Environmental progress data reported
SECTION 2 : Population Protected
Alt Water Supply OU-Evt Population Temp/Perm/Reinst. Date
Pop Relocated
OU-Evt Population Temp/Perm/Returned Date
Site Security
OU-Evt Fence/Guard/Other Date
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OSWER Directive 9200.3-01F
APPENDIX H
RA PRIORITY SETTING
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Fact Sheet Summary for Prioritizing
Remedial Action Projects
Region State Site Op Unit
Description of Project Remedy.
Projected Completion Date for Remedial Design.
Projected Date for Completing Negotiations with Potentially Responsible
Parties on Remedial Design/Remedial Action.
# " --- - -...
Projected Start Date for Remedial Action.
Priority Categories
Priority l; Immediate and/or Imminent Threat
1_ Immediate and/or Imminent Threat to Human Health Yes No
Priority 2: Actual or Potential Exposure Under Current Conditions
1A Pathway Complete Under Current Conditions to Human Intake. Yes No
2B Pathway Complete Under Current Conditions to Significant
Environment. Yes No
2C Potential for Exposure Pathway to be Complete to Human Intake
Under Current Conditions. Yes No
2D Potential for Exposure Pathway to be Complete to Significant
Environment Under Current Conditions. Yes No
Priority 3: Potential Exocaure Under Future conditions
.3A Pathway May Become Contaminated and be Complete to Human
Intake Under Future Conditions. Yes No
IB Pathway May Become Contaminated and be Complete to
Significant Environment Under Future Conditions. Yes No
COMMENTS
APPROVAL, DIVISION DIRECTOR DATE
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FACT SHEET FOR REMEDIAL ACTION PROJECTS
1. Region. 2. State.
3. Project Name.
4. CERCLIS Information:
Operable Unit No. First/Subsequent Start Code
5. Record of Decision Date.
6. Briefly Describe Problem Addressed by Project.
7. Briefly Describe Proposed Remedial Action (RA).
8. Remedial Design Completion'(95%) Date.
9. Superfund State Contract Date.
10. Project Access for Remedial Action.
Enforcement Activity
11. Was Special Notice invoked? Yes No
12. Did negotiations occur with liable and financially viable
Potentially Responsible Parties (PRPs) for their conduct of the
remedial design and remedial action (RD/RA)? Yes No
13. Are negotiations with PRPs continuing during the Superfund-
financed remedial design? Yes No
a. If Yes, what is the potential for settlement?
b. If No, are additional negotiations anticipated prior to
Superfund-financing the remedial action?
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Enforcement Activity continued.
14. Does the project meet requirements for issuance of an
Unilateral Administrative Order (UAO) prior to Superfund-
financing the remedial action? Yes No
If No, explain why.
15. Which media (pathways) are addressed by this RA? (Check
those that apply) Groundwater Surface water Air
Surface Contamination (include Soils) "
Priority l
16. Describe why the project meets the condition for Priority 1
which is an immediate and/or imminent threat to human health as
determined by EPA or by a Public Health Advisory from the Agency
for Toxic Substances and Disease Registry (ASTDR).
17. Briefly describe which of the following situations (17A-F)
apply to the project.
Priority 2
17.(A) Pathway is contaminated above a human health standard or
accepted risk range and under current conditions pathway is
complete to human intake.
17.(B) Pathway is contaminated above an environmental standard
and under current conditions pathway is complete to a significant
environment.
17.(C) Pathway is contaminated above a human health standard or
accepted risk range and not yet complete to human intake but
under current conditions pathway could become complete.
17.(D) Pathway is contaminated above an environmental standard
and not yet complete to a significant environment but under
current conditions pathway could become complete.
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Priority 3
17.(E) Pathway may become contaminated above a human health
standard or accepted risk range and under future conditions the
pathway will be complete to human intake.
17.(F) Pathway may become contaminated above an environmental
standard and under future conditions the pathway will be complete
to a significant environment.
ATSDR Health Assessment
18. Describe recommendations from ATSDR full (not preliminary)
Health Assessment for projects in Priorities 2 and 3.
Risk of contaminant
19. Summarize baseline risk assessment for primary contaminant(s)
driving the project cleanup.
19.(A) Contaminant Name(s).
19.(B) Carcinogen Risk Range: Chemical
19.(C) Carcinogen Risk Range: Radionuclide
19.(D) Non-carcinogen hazard index.
19.(E) ARARs Exceeded.
19.(F) Concentration of contaminant on and off project site and
the standard to which concentration is compared.
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4
Risk of Contaminant continued
19.(G) Volume: quantity of contamination to be addressed.
20. Other relevant risk information.
21. List other contaminants rf relevant.
Stability
22. Media contaminated.
23. Groundwater classification if applicable
24. Mobility of Contaminant(s): include rate of movement and
location of the contaminant's leading boundary.
25. Describe any condition that is currently causing or may cause
the project site to be unstable (i.e. fractured bedrock or
crumbling lagoon wall).
26. Describe physical or institutional controls which prevent
contaminant from contact with receptor.
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Population Exposed
27. Distance from contamination to nearest exposed population.
28. How many people are currently exposed or will be exposed in
the future under reasonable assumptions.
29. What is the sensitivity of the population (i.e. children, the
elderly)?
Threat to a Significant Environment.
30. Name of Federally Designated Endangered Species.
31. Describe the sensitive environment or other significant
environment threatened, and any designation given this
environment by the Federal government or others. (For example, is
it an estuarine sanctuary or a national park.
32. Who determined that an endangered species, sensitive
environment or other significant environment is or will be at
risk because of the project. What were their recommendations?
Management
33. Relationship of project to other operable units,
34. Cost of Delay.
35. Describe innovative technology proposed for project cleanup,
36. Other program management considerations.
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OSWER Directive 9200.3-01F
APPENDIX I
FEDERAL FACILITIES CODING GUIDANCE
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CERCLIS/WasteLAN
FEDERAL FACILITY CODING GUIDANCE
I. INTRODUCTION
This document presents a standard approach to ceding Federal Facilities events and
activities in CERCLIS/WasteLAN. Federal Facilities are to be coded in a similar manner to
private sites. However, because of the unique nature of Federal Facilities, some coding
requirements may be different. How a Federal Facility is coded at the site level may be
unique; however, coding at the operable unit level and at the event/activity level should
follow standard CERCLIS coding guidance. Therefore, this guidance will focus primarily
on definitions and site coding characteristics that are unique to Federal Facilities.
II. DEFINITIONS
1) Site: A Federal Facility is coded as a single CERCLIS site, referring to all areas of
remediation/removal activity at the facility. Each facility listed on the NPL should be
tracked as one CERCLIS site. In a small number of historical cases, a single Federal
Facility will be listed on the NPL more than once, or a discrete portion of a Facility may
have been listed on the NPL. Each listing is coded as a CERCLIS site. In the future, each
Federal Facility will be listed only once and this listing will, to the extent possible, address
the entire facility.
2) Operable Unit: An operable unit is one of the following:
a. A separate geographic area of treatment.
For example, a site may have two operable units with two sets of RI/FS, ROD, RD
and RA events, one addressing the northern end of the site, and one addressing a
southern end, which are separated by a lake.
b. A separate treatment technology in the same geographic area.
For example, at the RI/FS stage at a site, it may be determined that both a waterline
and soil treatment technologies is required. That site would then have two operable
units. One operable unit, the waterline, would have the full RI/FS - ROD - RD -
RA sequence, and the second, the soil treatment, would have either the RD - RA
event sequenceor the ROD - RD - RA sequence.
3) Ehaas: According to Ac draft document "OPERABLE UNIT CODING GUIDANCE TO
BE USBP IN IMPLEMENTING LINKS," dated 9/5/90, "At the RD and RA stages, an
operable unit may be phased or time-sequenced to accelerate the cleanup effort. Phasing is
the division of a project into meaningful work elements that can progress on different
schedules resulting in the acceleration of the remedial design and remedial action. Large,
complex projects (or operable units) may be broken down into smaller, more manageable
response elements. Elements may be worked in unison, but each individual element has its
own schedule and moves at its own rate through the remediation process.1 (OSWER
Directive #9200.2-02 page 6) The availability of sequence numbers allows the Regions to
code and track this phasing."
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III. CODING ISSUES AND RESOLUTIONS
A. Pre-Remedial Coding
In general at a Federal Facility, pre-rcmedial events follow this pattern:
1. Discovery Date
2. Preliminary Assessment
3. Screening Site Inspection
4. Listing Site Inspection
5. Hazardous Ranking
6. Proposed to NPL
7. Removed from Proposed NPL
8. Final Listing on NPL
Sometimes, multiple Preliminary Assessments can occur at a Federal Facility. In
processing reports, however, CERCLIS/WasteLAN reads only the first PA event record.
For this reason, only one PA event should be coded per site in CERCLIS/WasteLAN.
B. Remedial Coding
In general at a Federal Facility, remedial events follow this pattern:
1. RI/FS
2. ROD
3. RD
4. RA
5. Operations and Maintenance
6. Long-Term Response
7. Deletion from NPL
For the first operable unit, the RI/FS start date is defined as the IAG signature date, or the
date of receipt of an RI/FS workplan if received after the IAG signature. For subsequent
RI/FS s, the stan date is defined as the receipt of the RI/FS workplan within the context of
an executed IAG. In no case should RI/FS work begin at the operable unit prior to IAG
signature unless the work has been initiated pursuant to an enforceable agreement such as a
CERCLA S106 AOC or a RCRA 3008 (H) order. A ROD record in CERCLIS/WasteLAN
should not represent multiple FS's that happen to conclude at the same time, even if only
one decision document is signed that encompasses several decisions. Instead, a ROD
should be coded for each decision.
C. Removal Coding
Since litigative or cost recovery activities are rarely pursued at Federal Facilities, removal
event sequences typically consist only of the removal event itself. If a removal is not
operable-unit-specific, it should be coded at operable unit 00 (zero-zero). If, however, a
removal is conducted in support of specific remediation, it should be coded at the operable
unit of that remediation.
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D. Enforcement Coding
Usually, enforcement activity at a Federal Facility consists of IAG Negotiations and the
resulting IAG. lAGs that cover more than one facility or CERCLIS/WasteLAN site should
be coded at all applicable sites. The IAG signature date, which is the actual completion
date, usually defines the RI/FS start date, so the two should usually match in
CERCLIS/WasteLAN.
E. Financial Coding
In the past. Federal Facility activities have been funded and managed from the Superfund
Enforcement budget With the move of Federal Facilities from OWPE to the Office of
Enforcement, Regions will receive a separate Advice of Allowance from OE.
Specific procedures for the planning and execution of Federal Facilities monies will not
change significantly. A new budget source code for Federal Facilities, "L1, has been
implemented in CERCLIS/ WasteLAN. Regions should enter U in the C3239, C2629,
and C1416 fields in CERCLIS/WasteLAN where previously "E1 was entered.
To assist Regions in budget planning, three reports have been developed and placed on
CEREVAL. These reports arc ENFR-31.ENFR-32, and ENFR-33. Functionally, these
reports are analogous to OWPE's ENFR-46,47 and 48. These reports are used to measure
regional planned dollars against AOA amounts.
Information that was previously coded as direct TES work assignment (tasking) amounts
should now be coded as TES buy-ins. The Superfund Program element, which is coded in
the ACN/DCN field (C3204, C2604, and C1405) is TYPY3A. The C2604, C3204 and
C1405 fields should be coded using this. In all cases, "L" will be the budget source.
(Instructions for coding TES buy-ins and non-TES buy-ins are in the SCAP manual,
Appendix £.) Regions should plan to write a PR committing funds to the contract for each
specific event or activity. Please address questions to Nick Morgan, OFFE, at FTS
382-4846.
6U.S. GOVERNMENT PRINTING OFFICE: IMI - SU-M7AM574
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APPENDIX A FY 93 METHODOLOGIES
APPENDIX B APPLICABILITY OF THE FREEDOM OF
INFORMATION ACT
APPENDIX C CEPP PROGRAM PLANNING REQUIREMENTS
APPENDIX D DEFINITIONS
APPENDIX E CODING FOR CASE BUDGET
APPENDIX F NPL BOOK
APPENDIX G ENVIRONMENTAL INDICATORS
APPENDIX H RA PRIORITY SETTING
APPENDIX I FEDERAL FACILITIES CODING GUIDANCE
EPA/540/P-91/004b
Directive 9200.3-01 F
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