-------
OSWER Directive 9200.3-0IB
PRP SEAXCHESINEGOT1ATIONS
PRP Search Start at NPL Sites
METHODOLOGY: National and regional projections are based on projections of
site additions to the NPL.
DIFFERENCE FY89-FY9Q: New methodology for FY90.
Completed PRP Search at NPL Sites
METHODOLOGY: National and regional projections are based on the number of
sites in each region expected to be added to the NPL between July 1989 and June
1990.
DIFFERENCE FY89-FY90: A timeframe for the updates was added.
Completed PRP Search at Non-NPL Sites
METHODOLOGY: The national and regional projections for PRP searches at non-
NPL removal sites is determined by summing the regional targets for removal scans
at non-NPL sites.
DIFFERENCE FY89-9Q:
RI/FS Negotiation Starts
METHODOLOGY: The national and regional projections are based on 90% of a
region's targets for RI/FS starts from second quarter FY90 through first quarter
FY91. This projection is based on the assumption that RI/FS negotiations begin the
quarter prior to the planned RI/FS start and PRPs will exist at 90% of the sites
(historical avenge).
ENCEFY89.FY90: New methodology for FY90.
RI/FS Negoriarinn Completion*
METHODOLOGY: The national and regional projections are based on 90% of a
region's targets for RI/FS starts for FY90. It is assumed that viable PRPs will exist
at 90% of the sites (historical average).
DIFFERENCE FY89-FY90: New methodology for FY90.
A-13
-------
OSWER Directive 9200.3-01B
Start of RD/RA Negotiations
The national and regional FY90 targets for RD/RA negotiation
starts is based on adding the RODs scheduled for second quarter FY90 through first
quarter FY91. This methodology is based on the assumption that RD/RA
negotiations begin one quarter prior to the ROD.
DIFFERENCE FY89-FY90: New methodology for FY90.
Conclusion of RD/RA Negotiations
METHODOLOGY: The national and regional FY90 targets for RD/RA negotiations
are calculated by adding the number of RODs scheduled to complete between the
third quarter of FY89 and the second quarter of FY90. This methodology is based
on the assumption that RD/RA negotiations will begin one quarter prior to the
signature of the ROD and complete two quarters post ROD.
DIFFERENCE FY89-FY9Q:
SETTLEMENTS AND REFERRALS
Section 106/107 Case Resolurion//Cost Recovery Judicial Settlement
METHODOLOGY: The national and regional targets are based on referred
§ 106/S107 cases that have not been fully settled that will be in their fourth year of
litigation (i.e., 12 or more quarters). This includes those cases where a full trial has
not begun when the targets are set or where the original claim has not been settled
or withdrawn. A separate target is set for 9106 and §107.
DIFFERENCE FY89-FY90: The timefirame for how long litigation has been
ongoing has been added.
Section 106 RD/RA Referr«l«/r>rrters
METHOPni /y»V' The regional arid national targets are based on historical
averages. Historically 25% of the Fund-financed RI/FS and 95% of PRP RODs
have led ID settlements for RD/RA. These targets are determined by taking the
Fund and FRP lead RODs that are expected to be signed between the second quarter
of FY89 through the first quarter of FY90 and applying these percentages.
D1PPERENCE FYR9-FY90: New methodology for FY90.
A-14
-------
OSWER Directive 9200.3-01B
Adminiittrarion Cost R«»verv Settlements
METHODOLOGY: The following steps outline the methodology for determining
national and regional targets:
• An initial universe of possible administrative settlement candidates is
identified Those candidates were based on the following selection criteria
consistent with current cost recovery guidance and focus on all completed
removals or ERAs which cost less than $200,000:
Regional percentages of the universe are determined;
Each region's percent of the universe is applied to the national
budget number.
DIFFERENCE FY89-FY90: Candidate sites are identified in FY90.
Cost Recovery Cases Referred to DOJ or HO >S200K (Includes Section 107 Removal,
RI/FS, and RD)
METHODOLOGY: The following steps outline the methodology for determining
national and regional targets:
• An initial universe of § 107 Removal, RI/FS, and RD candidates is
identified. It is based on:
All sites with a completed removal costing greater than $200K
where there is no further remedial work planned;
All sites with a completed removal facing statute of limitations;
All sites with a completed RI/FS where the RA is scheduled to begin
more than 10 quarters after the ROD, and
All sites with a completed RD where the RA is not scheduled to
begin within 10 quarters (RA work delayed due to budget
constraints).
A-15
-------
OSWER Directive 9200.3-01B
• From the initial universe, subtract cases identified for no further action due
ID:
1) Non-viable PRPs;
2) No PRPs identified;
3) Questionable evidence;
4) Questionable legal case; and
5) Other reason.
• Exclude sites with §106/§ 107 referrals. The remaining total provides
potential universe.
• Apply each region's percentage to the national budget target for § 107
removals to get initial target
DIFFERENCE FY89-FY9Q:The split in the types of activities being referred for
cost recovery has caused new methodologies to be developed for FY90
Cost Recovery Cases Referred to DQJ or HO >2QQK (RAs et all)
*
METHODOLOGY: The following steps outline the methodology for determining
national and regional targets:
• An initial universe is determined. It is based on:
All sites where remedial action has commenced and there is no prior
§ 107 referral or § 1067$ 107 referral.
• From this universe, subtract cases where regions have identified that no
further action is advised due to:
1) Non-viable PRPs;
2) No PRPs identified;
3) Questionable evidence;
4) Questionable legal case; and
5) Other reason.
This provides die potential universe of candidates.
• Determine regional percentages of potential universe.
• Apply regional percentages to the national budget number for § 107 referrals
for RAs.
DIFFERENCE FY89-Y9Q: The split in the types of activities being referred for
cost recovery has caused new methodologies to be developed for FY90.
A-16
-------
OSWER DIRECTIVE 9200.3-01B
Cm"^H ftftfnrr*to DOJ or HQ >2QQK (§106V§107 Removal, RI/FS, and RD/RA)
METHODOLOGY; The following steps outline the methodology for determining national and
regional targets:
An initial universe of § 1067§ 107 removal, RI/FS, and RD/RA candidates is identified.
It is based on sites where:
There will be a § 106/§ 107 action for removal where the § 107 count is pursuing
past costs >200K;
There will be a § 106/§ 107 for RI/FS where the § 107 count is pursuing past
costs >200K; and
There will be a § 106/§ 107 for RD/RA where the § 107 count is pursuing past
costs >200K (RD/RA referrals).
• The total number of these cases is the initial projection for this measure.
DIFFERENCE FY89-FY90: New methodology for FY90.
Cost Recovery Cases referred to DQJ or HO >200K (§ 1067§ 107 for Remedial Action)
METHODOLOGY: The initial projection is based on sites where there is to be a PRP RA but
there was no previous PRP work and past costs total >200KL
DIFFERENCE FY89-FY90: The split in the types of activities being referred for cost recovery
has caused new methodologies to be developed for FY90.
Administrative Order for Removal Actions
METHODOLOGY: The national projection for administrative orders (unilateral or consent) for
removals is determined by summing the Fund-financed regional targets for first NPL and non-
NPL removal starts and dividing that total by three. (Historically PRP removals have been 1/3
of Fund removals).
Regional projections are based on targets for first NPL and non-NPL removal starts.
DIFFERENCE FY89-FY90:
A-17
-------
OSWER DIRECTIVE 92Q0.3-OIB
FEDERAL FACILITY frfFTHQDQLQflTES
PRE.REMEDIA L
PA/SI Review
METHODOLOGY: The Federal Facility PA/SI review targets reflect the FY90 budget for
Federal Facility PAs and Sis.
A Federal Facility PA/SI review targets for a particular region is established through the
following procedures:
Determine the region's percentage of the total Federal Facility docket.
• Apply this percentage to the national targets.
DIFFERENCE FY89-FY90: New methodology for FY90.
REMEDIAL INVESTIGATION/FEASIBILITY STUDIES fRI/FS)
Federal Facility RI/FS Completion (ROD)
METHODOLOGY: The national and regional candidate list for Federal Facility RODs is based
on projected Federal Facility RODs in the CERCLIS records as reported by the regions.
DIFFERENCE FY89-FY9Q: New methodology for FY90.
REMEDIAL ACTION (RA)
RA Starts Post-SARA at NPL Sites
METHODOLOGY: The national and regional candidate list for Federal Facility RA starts post-
S ARA at NPL sites is based on projected sites in CERCLIS.
DIFFERENCE FY89-FY90: New methodology for FY90.
ENFORCEMENT
Signed Interagencv Agreements at NPL Sites
METHODOLOGY: The national and regional methodology for Interagency Agreements at
NPL sites is based on the number of Federal Facilities in each region on the N PL
DIFFERENCE FY89-FY90: New methodology for FY90.
A-18
-------
OSWER DIRECTIVE 9200.3-01 B
OIL SPILL PROGRAM METHODOLOGIES
Oil Spills Cleaned Uo Using Clean Water Act CCWA) Funds
METHODOLOGY: The national measure is presented in the President's budget.
Regional measures are established from reports to HQ based on the previous year's actuals
from which a percentage is taken for each region. These percentages are then adjusted to the
national target, resulting in regional measures.
DIFFERENCE IN FY89-90:
On-Scene Monitoring of Responses to Oil Spills
METHODOLOGY: The national measure for this activity is based on the President's budget.
The regional breakdown is based on distribution of prior year actuals. The following table
provides an example of the methodology.
Region
I
n
m
IV
V
VI
vn
vm
IX
X
Total
Regional
Distributions
flf AflMlff
27
75
78
161
57
237
28
14
62
16
731
%of
National
Total
3.58
9.93
10.33
21.32
7.55
31.39
3.71
1.85
8.21
2.12
100.00
Projection
18
50
52
106
38
156
19
9
41
11
500
DIFFERENCE FY89-FY90:
eview*
METHODOLOGY: The national SPCC Inspection/Review measures are presented in the
President's budget
Regional SPCC Inspection/Review measures are set by past performance reported by TAT
through FY88, of which a percentage is then adjusted to the national target stipulated in budget.
: FY89-FY9Q:
A-19
-------
OSWER Directive 9200.3-018
APPENDIX R
APPLICABILITY OF THE FREEDOM OF INFORMATION ACT TO SCAP
-------
OSWER Directive 9200.3-01 B
APPLICABILITY OF THE FREEDOM OF INFORMATION ACT TO SCAP
PUBLIC SCAP REPORTS
Public SCAP reports consist of a set of CERCLIS-generated reports that have had all sensitive
material (records or information that are protected under FOIA and cannot be released to the public)
removed. Public SCAP reports are SCAP 11 (Public SCAP NPL Site Summary) and SCAP 12
(Public SCAP Non-NPL Site Summary) on the CERCLIS reports menu. These CERCLIS reports
should be referred to while reading through the following discussion.
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, however, that have been designated as restricted 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 all related information where the planning
information indicate 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 and all related information where only planning data exist.
• RD/RA-AO/CD and all related information where only planning data exist.
• Planned obligation amounts related to case budget activity associated with the following
activities:
Removal negotiations;
PRP-search negotiations;
RI/FS negotiations;
RD/RA negotiations; and
Cost recovery negotiations.
• RD and RA planned events where the lead is the RP with no actual starts.
• RI/FS and RD/RA negotiations planned start and completion dates.
• Compliance code and status indicator.
• Planned removal/remedial obligations.
• All planned activities for sites that have not been designated as final or proposed N PL
sites in the Federal Register.
• Information on the viability of the case on PRPs.
This information is protected from mandatory disclosure by the following FOIA exemptions
and provisions:
B-2
-------
OSWER Directive 9200.3-0IB
Information falling under numbers 1-8. EXEMPTION 7: Records or information
compiled for law enforcement purposes. Specifically, EXEMPTION 7 (a) - Could
reasonably be expected to interfere with enforcement proceedings.
Information falling under number 9. EXEMPTIONS: Privileged Interagency or Inira-
Agency Memoranda. Specifically, EXEMPTION 5, Privilege 4 - Government
Commercial Information Privilege.
• Information falling under number 10. EXEMPTION 5: Privileged Interagency or
Intra-Agency Memoranda. Specifically, EXEMPTION 5, Privilege 1- Deliberative
Process Privilege.
Because of modifications to Exemption 7 resulting from the 1986 Amendments to FOIA --
changes to the general coverage and the withholding standard language - the Agency has more
flexibility in withholding enforcement activity information.
The sensitive information listed in numbers I-10 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 adhered to). 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 HQ
immediately. The regional official receiving die 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 die requestor.
Ad hoc reporting requests should be treated like a FOIA request This includes the following:
• If the information is protected under one of the FOIA exemptions, the information will
not be disclosed (except in cases of discretionary release).
• Absent FOIA exemption protection, the information will be disclosed if it can be
«**"pn*f °* obtained in a reasonable amount of time by an Agency employee familiar
wfch the subject area.
• Fees for ad hoc reporting requests will be charged in accordance with the fee structure
used for FOIA requests
Depending on the complexity of the request. Agency personnel will not have to undertake the
specific logging and routing procedures required for FOIA requests. However, the request should be
kept on file in a designated ad hoc reporting request file.
If a request is very complex or compilation of the requested information would be very time-
consuming, the request should be denied. If the requestor appeals this determination, the requestor
should be informed that the request must be formulated into an official FOIA request (a written request
for specific records citing FOIA) and must be sent to the FOIA office.
B-3
-------
OSWER Directive 9200.3-0IB
APPENDIX C
CERCLIS CROSSWALK FOR ENFORCEMENT
ACTIVITIES AND REMEDIES
-------
APPENDIX C
CERCLIS CROSSWALK FOR
ENFORCEMENT ACTIVITIES AND REMEDIES
ENFORCEMENT
ACTIVITIES rClTIl)
1. Litiyition Activities
Cliim in Bankruptcy
Preliminary Injunction
Section 106 Litigation
Section 106/107
Litigation
Section 107 Litigation
Temporary Restrataaf
Order
CERCLIS
Activity
Cod*
CB
PI
sx
CL
SV
IE
REMEDIES (Sought or Achieved
bv Enforcement Activities) (C2731)
-N/A
-N/A
- Document Exchange
• Expedited Response Action
- Feaiibility Study
- Initial Remedial Measure
(historical only)
• Interest
- Lien on Property
• Long Term Response
- Operations & Maintenance
•Other
• Permanent Relocation
• Premium
• Remedial Design
- Remedial Action
- Remedial Investigation
- Removal Action
• RI/FS
• Site Access
- Temporary Relocation
• Same as Section 106
Litigation, plus:
• Cost Recovery Oversight
- Cost Recovery of RA
- Cost Recovery of RD
- Cost Recovery of Removal
- Cost Recovery of RI/FS
• Coat Recovery Oversight
• COM Recovery of RA
- Cost Recovery of RD
• Cost Recovery of Removal
• Cost Recovery of RI/FS
•N/A
CERCLIS
Remedy
Code
CE
ER
FS
IM
IN
LP
LR
OM
OH
RE
PR
RD
RA
RI
RV
GO
SE
TR
vs
VA
VD
VM
MO
VS
VA
VD
VM
VO
EVENTS (C2101)
CERCLIS RP-L«ad
Event Generated
By This Remedy?
No
No
No
Yes
Yes
Yes
No
No
Yes
Yes
Yes
Yes
No
Yes
Yes
Yes
Yes
Yes
No
Yes
No
No
No
No
No
No
No
No
No
No
No
CERCLIS
Event
Code
-
-
ER
FS
IM
-
•
LR
OM
CH
RE
-
RD
RA
RI
RV
CO
-
TR
*
.
-
C-2
-------
APPENDIX C
CERCLIS CROSSWALK FOR
ENFORCEMENT ACTIVITIES AND REMEDIES
ENFORCEMENT
ACTIVITIES (ClTtl)
2. Negotiation Activity
Cost Recovery
Negotiation
RO/RA Negotiations
Removal Negotiations
RI/FS Negotiation
1 N,{»f'cfl l£ttCr Activities
Notice Letters Issued
4. Order Activities
Administrative Order
on Consent
CERCLIS
Activity
Code
Nfi
AN
RN
FN
NJ
AC
REMEDIES (Sought or Achieved
by Enforcement Activities) (C2731)
- Cost Recovery Oversight
- Cost Recovery of RA
- Cost Recovery of RD
• Cost Recovery of Removal
• Cost Recovery of RI/FS
• Remedial Design
- Remedial Action
• Expedited Response Action
• Removal Action
- Site Access
- Temporary Relocation
- Feasability Study
- Remedial Investgaiions
• RI/FS
-N/A
• Cost Recovery Oversight
- Cost Recovery of RA
- Cost Recovery of RD
• Cost Recovery of Removal
• Cost Recovery of RI/FS
Document Exchange
Pjtpi Jittd Rtiprmtt Aftimi
Feasibility Study
Initial Remedial Measure
(historical only)
Interest
Long Term Response
- Operations ft Maintenance
Other
Permanent Relocation
• Premium
Remedial Design
Remedial Action
Remedial Investigation
Removal Action
RI/FS
Sit* Access
Temporary Relocation
CERCLIS
Remedy
Cod*
vs
VA
VD
VM
VO
RD
RA
ER
RV
SE
TR
FS
RI
CO
-
VS
VA
VD
VM
VO
DE
ER
FS
IM
IN
LR
CM
OH
RE
PR
RD
RA
RI
RV
CO
SE
TR
EVENTS (C2101) \
CERCLIS RP-Lcad
Event Generated
By This Remedy?
No
No
No
No
No
No
No
No
No
No
Yes
No
No
No
NO
No
No
No
No
No
No
Yes
Yes
Yes
No
Yes
Yes
Yes
Yes
No
Yes
Yes
Yes
Yes
Yes
No
Yes
CERCLIS 1
Event
Code
.
-
-
-
-
TR
f
.
'
\
.
-
-
ER
FS
IM
LR
OM
OH
RE
RD
RA
RI
D \/
K V
CX)
TR
C-3
-------
APPENDIX C
CERCLIS CROSSWALK FOR
ENFORCEMENT ACTIVITIES AND REMEDIES
ENFORCEMENT
ACTIVITIES (C17tl)
4. Order Activities (Com.)
Unilateral
Administrative
Order
5 RP Scwh/Qthci
Activities
Non-NPL Removal RP
Search
NPL RP Search
Issue Cost Recovery
Decision Document
Issue Demand Letter
Issue Information
Request Letter
Issue Notice of
Section 122 Waiver
Issue Special Notice
Prepare Cost
Documentation Package
" SfitihsoifiBi AcUYiiifii
Administrative/
Voluntary COM Ree.
CERCLIS
Activity
Code
UA
RP
NS
DD
DL
0.
NW
SN
PC
AV
REMEDIES (Soifht or Achieved
by Enforcement Activities) (C2731)
- Same as AO on Consent
- N/A
- N/A
. N/A
- Cost Recovery Oversight
• Cost Recovery of RA
• Cost Recovery of RD
• Cost Recovery of Removal
• Con Recovery of RI/FS
. N/A
- N/A
- N/A
- N/A
- Coat Recovery Oversight
• COM Recovery of RA
• COM Recovery of RD
- COM Recovery of Removal
- COM Recovery of RI/FS
CERCLIS
Remedy
Cod*
.
-
.
vs
VA
VD
VM
VO
»
.
-
.
VS
VA
VD
VM
VO
EVENTS (C2101)
CERCLIS RP-L«ad
Brest Generated
By This Remedy?
Same as AO on
Consent
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
CERCLIS
Event
Code
•
.
.
.
-
.
-
C-4
-------
APPENDIX C
CERCLIS CROSSWALK FOR
ENFORCEMENT ACTIVITIES AND REMEDIES
ENFORCEMENT
ACTIVITIES (ClTtl)
7. Settlement Activitiei
(Cont.)
Consent Decree
•
Consent Agreement
Federal Compliance
Agreement
Federal Interagency
Agreement
Federal Memoranda* of
Agreement
Federal Memorandum of
Undentanding
Judgement
CERCLIS
Activity
Cod*
CD
CA
PC
FI
FA
, A)
JG
REMEDIES (Sought or Achieved
by Enforcement Activities) (C2731)
- Cost Recovery Ovenight
- Cost Recovery of RA
• Cost Recovery of RD
- Cost Recovery of Removal
• Cost Recovery of RI/FS
- Document Exchange
• Expedited Response Action
- Feasibility Study
- Initial Remedial Measure
(historical only)
- Interest
- Lien on Property
• Long Term Response
- Operations ft Maintenance
• Other
• Permanent Relocation
- Premium .
- Remedial Design
• Remedial Action
- Remedial Investigation
• Removal Action
- RI/FS
• Site Access
• Temporary Relocation
Same as Consent Decree,
except no Lien on Property
Same as Consent Decree,
except no Lien on Property
Sane as Consent Decree,
except no Lien on Property
Same as Consent Decree,
except no Lien on Property
Sane as Consent Decree,
except no Lien on Property
Same as Consent Decree,
except no Lien on Property
CERCLIS
Remedy
Code
VS
VA
VD
VM
MO
CE
ER
FS
IM
IN
LP
LR
OM
OH
RE
PR
RD
RA
RI
RV
CO
SE
TR
EVENTS (C2101) ^
CERCLIS RP-Lcad
Event Generated
By This Remedy?
No
No
No
No
No
No
Yes
Yes
Yes
No
No
Yes
Yes
Yes
Yes
No
Yes
Yes
Yes
Yes
Yes
No
Yes
Same as Consent
Decree
Same as Consent
Decree
Same as Consent
Decree
Same as Consent
Decree
Same as Consent
Decree
Same as Consent
Decree
CERCLIS T
Event
Code
.
.
.
.
.
-
ER
FS
IM
.
-
LR
OM
CH
RE
-
RD 1
RA
RI
RV A
co 1
J
TO
C-5
-------
OSWER Directive 9200.3-0IB
APPENDIX D
SCAP/SPMS TECHNICAL DEFINITIONS
-------
OSWER Directive 9200.3-0IB
Section I
SCAP/SPMS 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 die definitions
contained herein for SCAP and SPMS targets and measures were
consistent. If there are inconsistencies, the SPMS definition is the
official definition. If SPMS definitions are revised during the year, an addendum to the
SCAP Manual will be published.
D-2
-------
OSWER Directive 9200.3-01B
APPENDIX D
SCAP/SPMS TECHNICAL DEFINITIONS
TABLE OF CONTENTS
PRE-REMEDIAL PROGRAM DEFINITIONS 5
INTRODUCTION 5
*PA Completions 5
*SSI Completions 6
*LSI Starts 6
PRE-REMEDIAL PROGRAM DEFINITIONS CHART 7
REMEDIAL PROGRAM DEFINITIONS 8
INTRODUCTION 8
PROJECT SUPPORT 44
Community Relations 44
Design Assistance 44
Forward Planning 45
Long Term Response (LTR) 45
Management Assistance 46
Operation and Maintenance (O&M) 46
Technical Assistance 47
Technical Assistance Grants 47
REMEDIAL INVESTIGATION/FEASroilJTY STUDIES (RI/FS) 8
*RI/FS Stan - First and Subsequent 8
*RI/FS to Public 9
*RI/FS Completion - First, Subsequent, and Final 10
RI/FS PROGRAM DEFINITIONS CHART 11
REMEDIAL DESIGN (RD) 12
*RD Starts - First, Subsequent, and Final 12
*RD Completions 13
REMEDIAL DESIGN PROGRAM DEFINITIONS CHART 14
REMEDIAL ACTION (RA) 15
*RA Stan - First, Subsequent, and Final 15
*RA Starts Post-SARA at NPL Sites 16
*RA Completion - First, Subsequent and Final 16
*NPL Deletion Initiation 17
REMEDIAL ACTION PROGRAM DEFINITIONS CHART 18
REMOVAL PROGRAM DEFINITIONS 19
INTRODUCTION 19
HAZARDOUS SUBSTANCES RELEASE 49
Hazardous Substances Release Notification 49
Hazardous Substances Release Investigations 49
On-Scene Monitoring of Responses to Hazardous Substance
Releases 49
NPL SITES 19
Expedited Response Action (ERA) 48
'Removal Starts at NPL Sites - First and Subsequent 20
'Removal Completions at NPL Sites 21
* Targets and Measures D-3
-------
OSWER Directive 9200.3-0IB
'Removal Completions at NPL Sites that lead to Deletion 21
NPL REMOVAL PROGRAM DEFINITIONS CHART 22
NON-NPLSFTES 23
*Non-NPL Removal Starts 23
•Non-NPL Removal Completions 23
NON-NPL REMOVAL PROGRAM DEFINITIONS CHART 24
ENFORCEMENT DEFINITIONS 25
INTRODUCTION 25
PRP SEARCHES AND NEGOTIATIONS 25
*Start of PRP Search 25
•Completed PRP Search 26
*Start of RI/FS Negotiations 26
* Conclusion of RI/FS Negotiations 27
*Start of RD/RA Negotiations 27
'Conclusion of RD/RA Negotiations 28
ENFORCEMENT SEARCHES AND NEGOTIATIONS PROGRAM
SEARCHES AND NEGOTIATIONS DEFINITIONS CHART 29
SETTLEMENTS AND REFERRALS 30
•Section 106 Case Resolution 30
•Section 107 Cost Recovery Judicial Settlement 30
•Section 106 RD/RA Referrals/Orders 31
* Administrative Cost Recovery Settlements 31
•Cost Recovery Cases Referred to DOJ or HQ(>$200K) 32
•Administrative Order for Removal Actions 33
ENFORCEMENT SETTLEMENTS AND REFERRALS PROGRAM
SETTLEMENTS AND REFERRALS DEFINITIONS CHART 34
FEDERAL FAOLTTY DEFINITIONS 36
INTRODUCTION 36
*PA Completions 36
*SI Completions 36
37
RI/FS Starts 51
•Federal Facility RI/FS Completion 37
RD Starts 51
RD Completion 51
RA Starts 52
RA Completion 52
*RA Starts Post-SARA at NPL Sites 37
ENFORCEMENT 38
•Signed Interagency Agreements at NPL Sites 38
FEDERAL FACHITY PROGRAM DEFINITIONS CHART 39
OIL SPILL ACTIVITY DEFINITIONS 40
INTRODUCTION 40
•Oil Spills Cleaned up Using Clean Water Act (CWA) Funds 40
•On-Scene Monitoring of Responses to Oil Spills.. 40
•Spill Prevention Control and Countermeasure (SPCQ
•Inspections/Reviews *\
OIL SPIIi ACTIVITY PROGRAM DEFINITIONS CHART 42
* Targets and Measures D-4
-------
OSWER Directive 9200.3-0IB
SCAP/SPMS DEFINITIONS FOR TARGETS AND MEASURES
pftf.RRMF.nTAf, pppfiRAM DEFINITIONS
INTRODUCTION
The pre-remedial targets/measures track the initial events at Superfund sites. Three
pre-rcmedial events are projected and tracked through the SCAP process:
• Preliminary Assessment (PA) Completions;
• Screening Site Inspection (SSI) Completions; and
• Listing Site Inspection (LSI) Starts.
PA and SSI completions are SPMS and SCAP targets. LSI starts are SCAP targets
only; no corresponding SPMS target or measure is set PA and SSI completion targets are
set on a quarterly basis. LSI starts are established on an annual basis. Targets for all pre-
remedial activities are recorded in the CERHELP non-site/incident data system. Funds for
pre-remedial activities are included in the other remedial AOA.
ACTTVITY: PA Completions
DEFINITION: A preliminary assessment is the first stage of site assessment which
determines whether a site should be recommended for further CERCLA action.
Federal. State, and local government files, geological and hydrological data, and
data concerning site practices are reviewed to complete the PA report
DEFINITION OF ACCOMPLISHMENT: A PA is complete when the report is
reviewed and approved by the region and die PA completion date and decision on
further activities is enured into CERCUS. 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 FY88-FY89: In order for the region to receive credit
for the completion, the date and the decision on further activities must be entered in
CERCUS.
SPECIAL PLANNING REQUIREMENTS: Commianents are made based on the
sum of the EPA/FIT and State conducted PAs. However, for budget and resource
: projections must be made for EPA/FIT vs. State PA
t commitments are also made for sites which are being
i under CERCLA as pan of the Environmental Priorities Initiative.
t are placed in the Targets and Accomplishments portion of the
CERHELP non-site data system. Accomplishments are reported in the site-specific
CERCUS data system.
D-5
-------
OSWER Directive 9200.3-0 IB
PRE.REMEDUL PROGRAM DEFINITIONS
ACTIVITY: SSI Completions
: The screening site inspection 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 SSI
should provide adequate data to determine the site's Hazard Ranking System (HRS)
score.
DEFINITION OF ACCOMPLISHMENT: An SSI is complete when the SSI is
reviewed and approved by the region and the SSI completion date and decision on
further activities is entered into CERCLIS. Although a site can have multiple SSIs,
only the first completed SSI with an 'S* or 'F lead counts toward the target.
CHANGES IN DEFINITION FY88-FY89: In order for the region to receive credit
for the completion, the date and the decision on further activities must be entered in
CERCLIS.
SPECIAL PLANNING REQUIREMENTS: Commitments are made based on the
sum of the EPA/FIT and State conducted SSIs. However, for budget and resource
allocations, separate projections must be made for EPA/FIT vs. State SSI
completions. Separate commitments are made for sites that are being investigated
under CERCLA under the Environmental Priorities Initiative. Commitments are
placed in the Targets and Accomplishments portion of the CERHELP non-site data
system. Accomplishments are reported in the site-specific CERCLIS data system.
ACTIVITY: LSI Starts
DEFINITION: Listing site inspections involve the collection and analysis of
additional site data including information pertinent to hazardous waste resources,
migration pathways, and receptors. The data collected is generally beyond that
required for HRS scoring and will expedite the remedial investigation/feasibility
study (RI/FS) project planning phase at NPL sites. The LSI starts are dependent
upon the date the new HRS is final
DEFINITION OF ACCOMPLISHMENT: An LSI start is credited when EPA
approves the workplan for the LSL
CHANGES IN DEFINITION FY88-FY89: LSIs are SCAP measures for FY89.
PLANNING REQUIREMENTS: Planned obligations must be
those candidate sites where state conducted LSIs are expected.
Commitments are placed in the Targets and Accomplishments portion of the
CERHELP non-site data system. Accomplishments are reported in the site-specific
CERCLIS data system.
D-6
-------
OSWER Directive 9200.3-0IB
PRE-REMEDIAL PROGRAM DEFINITIONS
PLANNING REQUIREMENTS
SPMS COMMITMENT?
SCAP COMMITMENT?
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET?
QUARTERLY TARGETS/MEASURES
SET?
PRIOR
TOFY
PRIOR
TOFY
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
PRIOR
TOFY
IF YES. WHEN?
WHOLE
SITE
WHOLE
SITE
WHOLE
SITE
PLANNED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
SITE-
SPECIFIC
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
SITE-
SPECIFIC
SITE-
SPECIFIC
OTHER
REMEDIAL
OTHER
REMEDIAL
OTHER
REMEDIAL
AOA CATEGORY?
NON-SITE
PLANS
NON-SITE
PLANS
SITE SPEC
PLANS
BASIS FOR AOA?
D-7
-------
OSWER Directive 9200.3-0 IB
REMEDIAL PROGRAM DEFINITIONS
The remedial program consists of on-site remedial activities beginning with the first
RI/FS and proceeding through RD/RA to eventual deletion of the site from the NPL. All
remedial activities are planned site specifically with quarterly and annual targets set prior to
the beginning of the fiscal year. Remedial activities at sites are program or PRP.
REMEDIAL INVESTIGATION/FEASIBILITY STUDIES (RI/FS)
Following are the six SCAP and SPMS activities tracked for RI/FS:
First RI/FS Starts
Subsequent RI/FS Starts;
RI/FS to Public;
First RI/FS Completion (ROD);
Subsequent RI/FS Completion (ROD); and
Final RI/FS Completion (ROD).
First and subsequent RI/FS starts and first and final RI/FS completions (RODs) are
SPMS and SCAP targets. RI/FS to public and subsequent RODs 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 Fund-financed RI/FS starts during the FY. The commitment for RI/FS
completion is also based on combined leads. All RI/FS activities are planned on a site-
specific basis and entered into CERCLIS. Funds for RI/FS projects are in the other
remedial AOA.
Although regions may change activity leads without affecting SCAP or SPMS
targets, care should be taken when substituting a program lead RI/FS for a PRP lead
project
For the definitions below, first and subsequent RI/FS starts have been combined,
as have first, subsequent, and final RI/FS completion.
ACTIVITY: RI/FS Start ~ Flf8* an(^ Subsequent
The intent of an RI/FS is to present carefully scoped solutions to a
i problem. An RI/FS start involves the development of plans for
, operations, quality assurance, health and safety, and community
______ In order for the RI/FS to be counted as a first start it must not have a
prior CERCLA settlement for an RI/FS or prior Fund obligation for RL FS, or
RI/FS. Forward planning, community relations and/or other support activities do
not constitute an RI/FS start
D-8
-------
OSWER Directive 9200.3-0 IB
REMEDIAL PROGRAM DEFINITIONS
DEFINITION OF ACCOMPLISHMENT:
(Including F, S, SE, and EP lead events.) A Fund RI/FS start is
counted when funds are obligated. Funds are obligated when: 1) A contract has
been signed by the contracting officer, an Interagency Agreement has been signed
by the other Federal Agency, or a cooperative agreement has been signed by the
Regional Administrator or his designee to conduct an RI/FS, and 2) Obligations
have been recorded in CERCUS.
PRP-financed (Including RP and PS lead events) A PRP-lead RI/FS counts when
1) An administrative order is signed by the last appropriate official or party or 2)
The date the consent decree for RI/FS is referred by the region to DOJ or HQ. If
the RI/FS is a PS lead, credit will be given on the day the State order is signed by
the last appropriate official or party. The appropriate dates must be entered into
EP-lead An EP-lead RI/FS counts when the region begins preparation of the
workplans following the initial scoping meeting.
CHANGES IN DEFINITION FY88-FY89: Sites with SE, EP, or PS lead events
have been added
SPECIAL PLANNING REQUIREMENTS: Commitments are made based on
combined Fund and PRP financed RI/FS starts. Fund-financed and PRP lead
RI/FS start goals will be established separately prior to the FY. A limit will be
placed on the number of Fund-financed RI/FS that can be started during the FY .
Targets are established site specifically. For first RI/FS starts, "to be determined"
sites are allowed.
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 is complete the date the public
comment period on die RI/FS report begins and the proposed plan is available to the
public. This date must be recorded in CERCLIS under subevent code "CF".
CHANGES IN DEFINITIONS FY88-FY89: This is a new activity for FY89.
PLANNING REQUIREMENTS: Commitments are made based on
first, subsequent and final RI/FS released to the public regardless of lead
D-9
-------
OSWER Directive 9200.3-0IB
REMEDIAL PROGRAM DEFINITIONS
ACnVTTY: RI/FS Completion — First. Subsequent, and Final
DhHNiTION: A RI/FS completion is defined as the signature of the Record of
Decision (ROD). A ROD is the document prepared after completion of the public
comment period on the RI/FS which identifies the Agency's selected remedy for a
site.
DEFINITION OF ACCOMPLISHMENT: The date the ROD is signed by the
Regional Administrator or the Assistant Administrator for OSWER is the
completion date. This date must be entered in CERCLIS.
CHANGES IN DEFINITION FY88-FY89: Final RI/FS completion is a new
activity for FY89.
SPECIAL PLANNING REQUIREMENTS: Commitments are made based on
RODs that result from F, S, SE, FE, RP, or PS lead RI/FS.
D-10
-------
OSWER Directive 9200.3-0IB
REMEDIAL PROGRAM DEFINITIONS
Remedial Investigation/Feasibility Studies
PI iroror BtninBmrvK nMr M/B SUBl RI/R RI/FS TO ™" «"" S^BS. UITSFM. tun
PLANNING REQUIREMENTS START START pUBLIC COMpj C{JMpt CQMpt
SPMS COMMITMENT?
SCAP COMMITMENT?
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET?
QUARTERLY TARGETS/MEASURES
SET?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES, WHEN?
PLANNED 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 CERCUS?
AOA CATEGORY?
BASIS FOR AOAJ
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY*
OPERABLE
UNTT
COMBINED*1
SITE-
SPECIFIC
OTHER
REMEDIAL
SITE SPEC.
PLANS**
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
COMBINED**
SITE-
SPECIFIC
OTHER
REMEDIAL
SITE SPEC
PLANS
NO
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNTT
COMBINED
SITE-
SPECIFIC
N/A
N/A
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
COMBINED
SITE-
SPECIFIC
N/A
N/A
NO
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
COMBINED
SITE-
SPECIFIC
N/A
N/A
Ullllln^ln^ln^M
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
COMBINED
SITE-
SPECIFIC
N/A
N/A
••TO BE DETERMINED'SITES ARE ALLOWED.
** GOALS ARE ESTABLISHED ON A PROGRAM SPECIFIC BASIS.
foesita the final ROD itocoMiuafe firs or subsequent '.CD
stolid be orgaed and reponed as both fin and final RODs or boo
utequea and final RODL
D-ll
-------
OSWER Directive 9200.3-0IB
REMEDIAL DRSJGN (RD)
RD activities have planning requirements that are similar to RI/FS requirements.
Four separate SCAP and SPMS activities are tracked:
• First RD Start;
• Subsequent RD Stan;
Final RD Start; and
• RD Completion.
First and final RD starts are SCAP and SPMS targets. Subsequent RD starts is a
SCAP target. These three definitions have been combined below. RD completion is a
SCAP measure. All commitments are made on a combined Fund and PRP financed basis.
Separate Fund and PRP goals for RD starts are established 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. Projections for RD completions are set prior to the FY and are used for resource
allocation only. RD completion projections are made on a combined first, subsequent, final
and all lead basis. RDs are planned on a site-specific basis and entered into CERCLIS.
Initial schedules for RD are established when the RI/FS for the site is initiated.
These initial schedules should be updated in CERCLIS as better planning data becomes
available. The funds for program lead RDs are pulled directly from CERCLIS and are
allocated site-specifically in the RD Advice of Allowance.
ACTIVITY: RD Starts — First. Subsequent and Final
DEFINITION: An RD is the process of developing plans and specifications for the
selected remedy. Design assistance or technical assistance do not constitute an RD
start Under certain circumstances, RD-type activities may be conducted using
RI/FS funds or prior to the signature of a ROD (i.e., treatability or pilot studies); an
RD may be prepared by other parties (i.e., water lines where the dry already
prepared plans and specifications); or the plans developed for one site may be used
at a similar site. Subsequent and final RD starts occur at NPL sites where previous
RD activity has already taken place.
DEFTNTTTQN OF ACCOMPLISHMENT:
Fund-financed (Includes F, S.SE and EP lead events.) The date of the RD
obligation is considered the definition of accomplishment An obligation is made
when the contracting officer signs the procurement request a cooperative agreement
is aigned by the Regional Administrator or his designee or an LAG is signed by the
other Federal Agency. In those instances where RI/FS funds are used to perform
RD activities, or RD activities are conducted prior to ROD signature, 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, die RD start is defined the same as the
RA start
D-12
-------
OSWER Directive 9200.3-0IB
REMEDIAL PROGRAM DEFINITIONS
_____ (Includes MR, RP, and PS lead events) The date the RD contract is
awarded by the PRPs for RD or RD/RA work or, for PS lead events, the date the
state Older for RD is signed or the date the state gives the PRPs notice to proceed
withRD. The appropriate award date must be entered in CERCLIS. If PRPs are
doing the work "in-house", the start date would be notice to proceed. Mixed
funding projects (MR lead) are to be treated as PRP lead.
CHANGES IN DEFINITION FY88-FY89; The definition for PRP-financed RD
has changed from the date the consent decree was lodged Sites with MR or PS
lead events have been added. Final RD starts is a new activity for FY89. The
concepts of RD activities during RI/FS and shared or using existing RDs were
added to the definition.
SPECIAL PLANNING REQUIREMENTS: Commitments are made based on
combined Fund and PRP financed RD starts. Separate Fund and PRP financed RD
stan goals will be established prior to the FY. A limit will be placed on the number
of Fund-financed RDs that can be started during the FY.
ACnVlTY: RD Completions
DEFINITION: An RD is complete when the plans and specifications and a RA bid
package for die selected remedy are developed.
DEFINTriQN OF ACCOMPLISHMENT:
Fund-financed For program lead RD projects, an RD completion is the date that
EPA concurs on or approves and accepts the plans, specifications and RA bid
package.
PRP-financed An RD is complete on the date that EPA concurs on or approves and
accepts the plans, specifications and RA bid package. For PS lead RDs, the RD is
complete when die state concurs on or approves and accepts the plans,
specifications and RA bid package.
For Fund and PRP financed RDs, the state should concur on die design prior to
EPA concurrence or approval.
CHANGES IN DEFINITION FY88-FY89:
SPBQAL PLANNING REQUIREMENTS: Commitments are made based on
combined Fund and PRP financed first, subsequent and final RD completions.
D-13
-------
OSWER Directive 9200.3-0IB
REMEDIAL PROGRAM DEFINITIONS
Remedial Design
FIRST RD SUB. RD FINAL RD
START START START
PLANNING REQUIREMENTS
SPMS COMMITMENT?
SCAP COMMITMENT?
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET?
QUARTERLY TARGETS/MEASURES
SET?
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?
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
PLANNED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
COMBINED COMBINED*
COMBINED*
SITE-
SPECIFIC
SITE-
SPECIFIC
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCUS?
SITE-
SPECIFIC
SITE-
SPECIFIC
REMEDIAL
DESIGN
REMEDIAL
DESIGN
REMEDIAL
DESIGN
AO A CATEGORY?
SFTESPEC
PLANS
SITE SPEC.
PLANS
SITE SPEC.
PLANS
BASIS FOR ADA?
* GOALS ARE ESTABLISHED ON A PROGRAM SPECIFIC BASIS. SITES WHERE THE FIRST RD
START IS ALSO A FINAL RD START OR A SUBSEQUENT RD START IS ALSO A FINAL RD
START SHOULD BE REPORTED AS BOTH.
D-14
-------
OSWER Directive 9200.3-01 B
REMEDIAL ACTION
must respond to the SCAP/SPMS targets by identifying RA projects on a
site-specific basis and associating planned obligations with these sites. Following are the
seven SCAP and SPMS activities tracked for RA:
First RA Start:
Subsequent RA Start;
Final RA start;
NPL Sites with RA Start Post-SARA;
RA Completions;
Final RA Completion; and
NPL Deletion Initiation.
RAs are planned site-specifically and reported in CERCLIS. Funds are allocated
site specifically in the RA AOA. Program specific commitments are made for RA starts.
Post-SARA RA starts, RA completions and deletions are targeted on a combined program
basis. RA completion, except final RA completion, is a SCAP measure and is used for
resource allocation purposes only.
In the definitions below, first, subsequent and final RA starts have been combined,
as have RA and final RA completion.
ACTIVITY: I^A fttajf — First. Subsequent, and Final
DEFINITION: A remedial action start is the initiation of construction activities of
the selected remedy. A final RA start is the initiation of construction activities for
the selected remedy at the final operable unit
DFJTNITIQN OF ACCOMPLISHMENT:
Fund-financed (F or S lead events) Credit for an RA start is given on the date a
contract, IAG or cooperative agreement is awarded and funds are obligated
PRP-finnnftd Credit for the RA start is given when EPA approves the RD design
package. This includes sites where RD/RA activities were conducted under a
unilateral Administrative Order, Consent Decree, 106 Judicial referral or State order
(for PS lead sites). If the RD was perfoimed by the State or Fund and the PRP
settles or complies with a unilateral Order for Remedial Action, the date that the
Consent Decree is referred to HQ or DOJ or the unilateral AO issued for RA only
an RA start The appropriate date must be included in CERCLIS.
IN DEFINITION FY88-FY89: The situations where the RD was
by the fund or a unilateral AO issued were added to the definition.
SPECIAL PLANNING REQUIREMENTS: Separate commitments are made for
program vs. PRP-lead RAs. A limit will be placed on the number of Fund-financed
RAs that can be started during the F. In the case of a PRP takeover at a targeted
site, a corresponding PRP target increase and Fund target decrease will occur
automatically
D-15
-------
OSWER Directive 9200.3-01 B
REMEDIAL PROGRAM DEFINITIONS
ACnvrTY: RA Starts Post-SARA at NPL Sites
DKHNfl'lQN: A post-SARA RA Stan is defined as the initiation of on-site
construction activities after October 16,1986.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed Sites where the EPA, State, USAGE or BUREC has awarded a
contract -- as recorded in CERCLJS - to initiate Fund-financed construction
activities.
PRP-financed Sites, as recorded in CERCLJS, where the PRPs have awarded a
contract for RA work. In the event that the PRPs are responding under a State
order or issued a contract for both RD and RA or are performing the work "in-
house", the stan date is the RA notice to proceed which is equivalent to an EPA
contract award.
CHANGES IN DEFINITION FY88-FY89: New activity for FY89
SPECIAL PLANNING REQUIREMENTS: Commitments are made based on
combined Fund and PRP financed actions.
ACTIVITY: RA Completion — First. Subsequent and Final
DEFINITION: A first and subsequent RA is complete when construction activities
are complete, a final inspection has been conducted and an Operable Unit RA
Repon has been prepared for the operable unit A final RA indicates that all
construction for all operable units has been completed, and a final construction
inspection for the site has been conducted. For the final RA, a Superfund Site
Close-Out Report must be prepared which summarizes the site condition and
construction activities and demonstrates the NCP criteria for deletion has been met
or that the only activity remaining is performance monitoring Gong term response).
DEFINITION OF ACCOMPLISHMENT: The date the Regional Administrator
signs an Operable Unit RA Repon is the accomplishment of the RA completion; a
Site Close-Out Repon for the final operable unit is required for the final RA
completion. The date the interim or final Superfund Close-Out Repon is singed is
considered the date of the fianl completion. The appropriate dates must be recorded
inCERCUS.
CHA
Unfc
MGES IN DEFINITION FY88-FY89: In FY89 the concepts of an Operable
RA Repon and a Site Close-Out Repon have been added to the definition of
accomplishment The criteria for completion in FY89 is either the NCP deletion
criteria or the only activity remaining is performance monitoring Gong term
response).
SPECIAL PLANNING REQUIREMENTS: Projections are made on a combined
program basis. First and subsequent RA completions are combined and included m
this measure for resource allocation purposes.
D-16
-------
OSWER Directive 9200.3-0 IB
REMEDIAL PROGRAM DEFINITIONS
ACTIVITY: NPL Deletion Initiation
; 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 remedial 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.
CHANGES IN DEFINITION FY88-FY89: The target is accomplished when the
notice is placed in the Federal Register.
SPECIAL PLANNING REQUIREMENTS: Projections are made on a program
specific basis for resource allocation purposes.
D-17
-------
OSWER Directive 9200.3-0IB
REMEDIAL PROGRAM DEFINITIONS
Remedial Actioi
FIRST RA SUB. RA FINAL RA POST SARA RA FINAL RA NPL DEL.
PLANNING REQUIREMENTS START* START* START* START COMPL.* COMPL.* PROC. INIT
SPMS COMMITMENT?
SCAP COMMITMENT?
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET?
QUARTERLY TARGETS/MEASURES
SET?
IF YES, WHEN?
PLANNED STTE SPECIFICALLY?
IF YES. WHEN?
PLANNED ON OPERABLEUNTT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR IN
NOrWTTE PORTBN OFCERCLB?
AOACAvntn
BASBPDtAOA?
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
PROGRAM
SPECIFIC
SITE-
SPECIFIC
RA
SITE SPEC.
PLANS
NO
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
PROGRAM
SPECIFIC
SITE-
SPECIFIC
RA
SITE SPEC
PLANS
•••••^^^H
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNTT
PROGRAM
SPECIFIC
SITE-
SPECIFIC
RA
SITE SPEC
PLANS
^••••^^^^
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
COMBINED
SITE-
SPECIFIC
N/A
N/A
^^^^mmm
NO
YES
MEASURE
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
COMBINED
SITE-
SPECIFIC
N/A
N/A
^^^••M
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
COMBINED
SITE-
SPECIFIC
N/A
N/A
^^^^H
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR 1
TOFY L
WHOLE SITE 1
COMBINED"
SITE-
SPECIFIC
N/A 1
I
N/A 1
• SITES WHERE THE RUST FIRST RA IS ALSO THE FINAL RA OR WHERE THE SUBSEQUENT RA
IS ALSO THE rottLRA SHOULD BETARCTTED AND REPORTED AS BOTH.
•* PROJECTIONS ARE MADE ON A PROGRAM
SPECIFIC BASIS PRIOR TO TOE FY
D-18
-------
OSWER Directive 9200.3-0IB
REMOVAL PROGRAM 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/SPMS 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 requested in CERCLIS and a removal contingency is
requested in CERHELP 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. The removal program definitions have been divided into
NPL and non-NPL sites. 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.
NPL SITES
There are four NPL site removal activities tracked in SCAP and SPMS:
• First NPL Removal S tarts;
• Subsequent NPL Removal Starts;
• Removal Completions at NPL Sites; and
• Removal Completions at NPL Sites that Lead to Deletion.
First and subsequent NPL removal starts are SPMS targets. Removal completions
at NPL sites is a SPMS reporting measure and a SCAP target and removal completions that
lead to deletion are SPMS reporting measures.
First and subsequent NPL removal start definitions have been combined.
D-19
-------
OSWER Directive 9200.3-01B
REMOVAL PROGRAM DEFINITIONS
ACTIVITY: Removal Stars at NPL Sites — First and Subseuent
: 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 The site must be on the proposed or final NPL prior to or
at any time during the conduct of the removal action in order for the region to
receive credit for a NPL start In addition, for the first removal starts, no prior
removal activity under the direction of EPA or through an Administrative Order,
Consent Decree or judgement was conducted.
Fund-financed A Fund removal counts when 1) The action memo has been
approved by the OSC, RA or AA; 2) A contract has been signed for an EPA or
USCG on-site removal; 3) An obligation for the removal has been recorded in FMS
and CERCUS or when the OSC activates $50K; and 4) On-site removal work has
begun.
PRP-finaneed A PRP removal counts when there is on-site removal activity
financed by the PRP in compliance with an administrative order (unilateral or
consent) or judgement The date the PRPs begin actual on-site work (as entered in
CERCUS) is the start date. Credit will be withdrawn where a PRP is in substantial
noncompliance with an unilateral order.
CHANGES IN DEFINITION FY88-FY89! The NPL criteria has been changed
Expedited Response Actions are not included in the target The PRP definition was
changed to focus on on-site work.
SPECIAL PLANNING REQUIREMENTS: Commitments are made site
specifically prior to the quarter the removal is expected to begin; "to be determined"
sites are allowed. Annual targets for removals are established in the Targets and
Accomplishments portion of CERHELP data base. Commitments are made based
on a combined Fund and PRP financed removals. Separate Fund and PRP
financed removal goals are established prior to the FY. A limit will be placed on the
number of Fund financed removals that can be started during the FY. Regions may
only exceed this limit with HQ approval.
D-20
-------
OSWER Directive 9200.3-0 IB
REMOVAL PROGRAM DEFINITIONS
ACTTVrrYi Removal Completions at NPL Sites
DEFINITIQfj; The definition for removal completion is when the conditions
specified in the Action Memorandum have been met even if the OSC determines that
additional response work may be necessary.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed Completions are counted on the day the clean up contractors) has
demobilized and left the site.
PRP-financed Completions will count when the Region has certified, by entering a
date in CERCLIS, that the potentially responsible parties have completed a removal
action and fully met the terms of an Administrative Order, Consent Decree or
judgement
CHANGES IN DEFINITION FY88-FY89; First and subsequent NPL removal
completions are included in the target.
SPECIAL PLANNING REQUIREMENTS: Measures are reported based on
combined Fund and PRP-financed and first and subsequent NPL removal
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 removal completions is a SPMS reporting measure and a SCAP target.
ACTIVITY: Removal Completions at NPL Sites thfll Iffld t° Deletion
DEFINITION: A site is ready for deletion when the conditions specified in the
Action Memorandum or Record of Decision have been met and no further remedial
or removal response actions are necessary.
DEFINITION OF ACCOMPLISHMENT:
Fund-finnnctd A site is completed and ready for deletion when the OSC
demobilizes the clean up contractor and conditions specified in die Action
Memorandum have been met. Credit is given when a notice of intent to delete the
site is published in the Federal Register.
A site is completed and ready for deletion when the PRP has
1 the removal action under the terms of an Administrative Order (Unilateral
or Consent), Consent Decree or judgment, and the date has been entered into
CERCLIS. Credit is given when a notice of intent to delete the site is published in
the Federal Register.
CHANGES IN DEFINITION FY88-FY89: New measure for FY89.
SPECIAL PLANNING REQUIREMENTS: Measures are reported on combined
Fund and PRP lead removals that lead to deletions.
D-21
-------
OSWER Directive 9200.3-01B
REMOVAL PROGRAM DEFINITIONS
NPL Sites
PLANNING REQUIREMENTS
FIRST NPL SUBS. NPL NPL REM. REMOVAL
REM. START REM. START COMP DELETION
SPMS COMMITMENT?
SCAPCOMMTTMENT?
MEASflPMS)
TARGETtSCAPH
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURE.: SET?
QUARTERLY TARGETS/MEASURES
SET?
PRIOR
TO QUART
PRIOR
TO QUART
PRIOR
TO QUART
PRIOR
TO QUART
IF YES. WHEN?
PLANNED SITE SPECIFICALLY?
PRIOR
TO QUART.
PRIOR
TO QUART.
PRIOR
TO QUART
PRIOR
TO QUART
IF YES. WHEN?
PLANNED ON OPERABLE UNTT
OR WHOLE SITE BASE?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASS?
REPORTED SITE SPECIFICALLY OR IN
NON-STTE PORTION OF CERCUS?
SITE-
SPECIFIC
SITE-
SPECIFIC
SITE-
spEcmc
SITE-
SPECIFIC
AOACATWXY?
SITE SPEC.
PLANS*
SITE SPEC
PLANS
BASE FOR AOA?
•TO BE DETERMINED" SITES ARE ALLOWED .
"SEPARATE PROGRAM SPECIFIC GOALS ARE ESTABLISHED PRIOR TO THE FY.
A UMTT IS PLACED ON THE NUMBER OF FUND-FINANCED NPL REMOVAL STARTS.
D-22
-------
OSWER Directive 9200 3-0 IB
REMOVAL PROGRAM DEFINITIONS
NON.NPL
There are two non-NPL renx>val activities tracked in SCAP . Each of these
activities are annual SCAP targets and planned site-specifically prior to the quarter.
They are reported on a combined program lead in the CERCLJS site-specific data
system.
• Non-NPL Removal Stan; and
• Non-NPL Removal Completion.
ACTIVITY: Non-NPL Removal Starts
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 The site must not be on the NPL during the conduct of
the removal action in order to be included in the non-NPL target The non-NPL
start commitment will be reduced if the site is proposed for the NPL during the
conduct of the removal action and the region does not have a site available for
substitution.
DEFINITION OF ACCOMPLISHMENT! Same as NPL removal starts.
CHANGES IN DEFPnTIQN FY88-FY89: The NPL/non-NPL criteria has been
revised. The target includes first and subsequent non-NPL removal starts.
SPECIAL PLANNING REQUIREMENTS: Same as NPL removal starts. First
and subsequent non-NPL removals are included in this target
ACTIVITY: Non-NPL Removal Completions
DEFINTnON: Same as NPL removal completions
DEFINITION OF ACCOMPLISHMENT: Same as NPL removal completion.
CHANGES IN DEFINITION FY88-FY89: First and subsequent non-NPL
removal completions are included in the target
SPEQAL PLANNING REQUIREMENTS: Targets are established based on
combined Fund and PRP-financed and first and subsequent non-NPL removal
pletions. Targets for non-NPL removal completions are placed in the Targets
ccomplishments portion of the CERHELP non-site data base.
D-23
-------
OSW1R Directive 9200.3-0IB
REMOVAL PROGRAM DEFINITIONS
Non-NPL Sites
REM.
START
REM.
COMP.
PLANNING REQUIREMENTS
SPMS COMMITMENT?
SCAP COMMITMENT?
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET?
QUARTERLY TARGETS/MEASURES
SET?
IF YES. WHEN?
PLANNED SITE SPECIFICALLY?
TO QUART.
IF YES, WHEN?
WHOLE
SITE
WHOLE
SITE
PLANNED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
COMBINED**
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCUS?
SITE-
SPECIFIC
SITE-
SPECIFIC
ADA CATEGORY?
PLANS*
CONTINGENCY
BASIS FOR AOA?
*• SEPARATE PROGRAM SPECIFIC GOALS ARE ESTABLISHED PRIOR TO FY.
^ AN ANNUAL LOUT IS PLACED ON THE NUMBER OF FUND-FINANCED
NON-NPL REMOVAL STARTS. • TO BE DETERMINED" SFTES ARE ALLOWED.
D-24
-------
OSWER Directive 9200.3-0 IB
ENFORCEMENT DEFINITIONS
The planning requirements for enforcement response activities parallels those used
under the remedial and removal programs. These program requirements are discussed in
the previous sections. In addition, there are enforcement specific targets/measures.
Funding for the enforcement targets/measures are provided through the Case Budget.
Enforcement definitions have been divided into two categories: PRP Searches and
Negotiations, and Settlements and Referrals.
PRP SEARCHES AND NEGOTIATIONS
Following are the search and negotiation activities tracked in SCAP and SPMS:
Stan of PRP Search at Non-NPL Sites;
Stan of PRP Search at NPL Sites;
Completion of PRP Search at NPL Sites;
Completion of PRP Search at Non-NPL Sites;
Stan of RI/FS Negotiations;
Conclusion of RI/FS Negotiations;
Stan of RD/RA Negotiations; and
Conclusion of RD/RA Negotiations.
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.
ACnVITY: PRP Search
DEFINITION: The purpose of the PRP search is to identify PRPs at either NPL or
non-NPL sites. At NPL sites it should be initiated with the listing of the site and it
should be completed in time to send general notice which should be approximately
two months before the special notice date and at least 90 days prior to the obligation
of funds for a RI/FS. At non-NPL sites it should be done prior to the start of the
removal action when possible or very soon after the initiation of the emergency
response.
DEFINITION OF ACCOMPLISHMENT: If the search is being conducted by a
contractor, the son date is considered to be the date the work assignment is
piocuied. If it is conducted by EPA, the start date is die day the EPA staff begins
the PRP search activities.
CHANGES TN DEFINITION FY88-FY89: New activity for FY89.
SPECIAL PLANNING REQUIREMENTS: Non-NPL PRP searches are not
planned or a site-specific basis. Funds for non-NPL PRP searches are requested in
the CERHELP Non-Site/Incident data system. PRP searches should be planned for
all sites listed on the NPL and for all removals conducted during the fiscal year.
D-25
-------
OSWER Directive 9200 3-0IB
ENFORCEMENT DEFINITIONS
ACTIVITY: Completed PRP Search
DEPlNrnON; A PRP search is the action taken by the region to identify the
responsible parties at a NPL or non-NPL site.
DEFINITION OF ACCOMPLISHMENT: The PRP search is complete when 1)
The region has gathered information required by the program guidance including
information on generators and necessary information on financial viability, and has
sufficient information to mail special notice letters (names and addresses of PRPs,
volume and nature of substances contributed by each PRP; volumetric ranking)
and, at NPL sites, the classification of the site has been determined or 2) If no
PRPs are found, and the date and the outcome of the search are entered into
CERCLIS.
CHANGES IN DEFINITION FY88-FY89;
SPECIAL PLANNING REQUIREMENTS: NPL PRP searches are planned on a
site specific basis; non-NPL searches should be planned site-specifically to the
maximum extent possible. Projections on the number of NPL PRP searches to be
conducted during the year are placed in the Targets and Accomplishments portion of
the CERHELP non-site data base. All targeted non-NPL removal starts should
have an associated projection for a non-NPL PRP search. These projections should
be placed in the Targets and Accomplishments portion of the CERHELP non-site
data system. Funds for non-NPL PRP searches are requested in the CERHELP
data system.
ACTIVITY: Start of RI/FS Negotiations
DEFINITION: RJ/FS negotiations are defined as discussions between EPA and the
PRPs on the possibility of a PRP-financed RI/FS. If a special notice is given to the
PRPs under Section 122 of SARA, the PRPs have 60 days to submit a proposal for
the RI/FS to EPA. If a good faith proposal is submitted, the PRPs have 30 days to
reach agreement on a settlement document
DEFINITION OF ACCOMPLISHMENT: RI/FS negotiations are started when the
first special notice letter is issued or, in die absence of special notice, the date of the
Section 122(a) letter or first face-to-face meeting with the PRPs. This date must be
recorded in CERCLIS.
CHANGES IN DEFINITION FY88-FY89: Issuance of the special notice letter
was added
SPEQAi: PLANNING REQUIREMENTS: If the region does not plan to perform
RI/FS negotiations at a site, negotiation dates should not be placed in CERCLIS.
Instead the phrase "no negotiations" should be placed in the comment field of the
RI/FS negotiation activity. The start of RI/FS negotiations should be planned site-
specifically.
D-26
-------
OSWER Directive 9200.3-0IB
ENFORCEMENT DEFINITIONS
ACTIVITY: CftnCllHJQP °f RI/FS Negotiations
DEFINITION: RI/FS negotiations are complete when the region makes a decision
on how to proceed with the RI/FS activities. If a special notice was issued,
negotiations are complete when the moratorium period expires, or if an extension
has been granted, when the extension period has run out.
DEFINITION OF ACCOMPLISHMENT: RI/FS negotiations are complete when
1) An Administrative Order for RI/FS is issued; 2) A signed consent decree for
RI/FS is referred by the region to HQ or DOJ; or 3) A decision is made to proceed
with a Fund-financed RI/FS as indicated by the obligation of RI/FS funds.
CHANGES IN DEFINITION FY88-FY89: The definition has been revised such
that the completion date is when a decision is made on how to proceed with the
RI/FS.
SPECIAL PLANNING REQUIREMENTS: The activity is planned site-
specifically in CERCLIS.
ACTIVITY: -^tap of RD/RA Negotiations
DEFINITION: RD/RA negotiations are defined as discussions between EPA and
the PRPs on the conduct of the design and construction of the selected remedy. If
special notice is given to the PRPs under Section 122 of SARA, the PRPs have 60
days to submit a good faith proposal for RD/RA to EPA. If a good faith proposal is
submitted, the PRPs have another 60 days to reach agreement on a settlement
document
DEFINITION OF ACCOMPLISHMENT: RD/RA negotiations are initiated when
the first special notice letter is issued or in the absence of special notice, the date of
the Section 122(a) letter or the first face-to-face meeting. This date must be
recorded in CERCLIS.
CHANGES IN DEFINITION FY88-FY89: Issuance of special notice was added
to the definition.
SPECIAL PLANNING REQUIREMENTS: If the region does not plan to conduct
RD/RA negotiations, dates should not be entered into CERCLIS. Instead the
phrase "no negotiations" should be placed in the comment field of CERCLIS for
RD/RA negotiations. The start of RD/RA negotiations is planned site-specifically.
D-27
-------
OSWER Directive 9200.3-01B
ENFORCEMENT DEFINITIONS
ACTIVITY: Cnncjiiiiiofl of RD/RA Negotiations
DbHNfl'lQN: RD/RA negotiations are complete when the region makes a decision
on how to proceed with RD/RA activities. If special notice has been issued RD/RA
negotiations are complete when the moratorium periods in SARA expire; or if
extensions have been granted, when the extensions have expired.
DEFINITION OF ACCOMPLISHMENT: RD/RA negotiations are complete when
1) The signed consent decree for RD/RA and 10 point analysis is referred by the
region to either DOJ or HOj 2) A section 106 judicial referral for RD/RA without
settlement is referred to DOJ or HQ; 3) An Administrative Order (unilateral) for RD
only is issued; or 4) A decision is made to proceed with RD as indicated by the
obligation of RD funds.
CHANGES IN DEFINITION FY88-FY89: The definition for an accomplishment
is defined as the date the decision is made on how to proceed with RD/RA
activities.
SPECIAL PLANNING REQUIREMENTS: The activity is planned site*
specifically in GERCUS.
D-28
-------
OSWER Directive 9200.3-0IB
ENFORCEMENT DEFINITIONS
Searches and Negotiations
PI AMVTiwr Bffnm»HUfvr« PRPt PRPtt COMP "^ COMF w MR NEC MR NEC RD/RA NEC CONC. |
FLAWINfa KEQUlKEMEPrre S£ARCH SEARCH ^^ s|AtCHtt STAET CQMp START R[m N£C
SPMS COMMITMENT?
SCAP COMMITMENT?
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET?
QUARTERLY TARGETS/MEASURES
SET?
IF YES, WHEN?
PLANNED SHI SPECIFICALLY?
IF YES. WHEN?
PLANNED ON OPERABLE UNTT
OR WHOLE SHE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-Sm PORTON OF CEtCLBT
AOACATBOBH?
BASIS FOtAOAT
NO
YES
MEASURE
YES
NO
YES
PRIOR
TOFY
WHOLE
SITE
N/A
SHE-
SPECIFIC
ENFORCE-
MENT
SITE-SPEC
PLANS
NO
YES
MEASURE
YES
NO
NO
WHOLE
SHE
N/A
SITE-
SPECIFIC
ENFORCE-
MENT'
NON-SHI
PLANS
NO
YES
MEASURE
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
WHOLE
SHE
N/A
SHE-
SPECIFIC
N/A
N/A
NO
YES
MEASURE
YES
NO
NO
WHOLE
SITE
N/A
SITE-
SPECIFIC
N/A
N/A
NO
YES
MEASURE
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABU
UNIT
N/A
SITE-
SPECIFIC
•NFORCE-
MENT*
ilTE-SPEC
PLANS
NO
YES
MEASURE
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
N/A
SITE-
SPECIFIC
N/A
N/A
NO
YES
MEASURE
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
N7A
SITE-
SPECIFIC
ENFORCE-
MENT*
SITE-SPEC
PLANS
NO
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABU
i^rr
N7A
SITE-
SPECIFIC
V/A
N/A
t NPL SITES
ft NON-NPL STTIS
• THERE B NO AOA FOR WORK PERFORMS) BY
TES30RTES4. FUNDS OBLIGATED BYHQ.
D-29
-------
OSWER Directive 9200.3-0IB
ENFORCEMENT DEFINITIONS
ANT) RFFFB9AI*
Following are the settlement and referral activities tracked in SCAP and SPMS for
enforcement!
Section 106 Case Resolution;
Section 107 Cost Recovery Judicial Settlement;
Section 106 RD/RA Referrals/Orders
Administration Cost Recovery Settlements;
Cost Recovery Cases Referred to DOJ or HQ (>$200K):
1) Section 107 Referral for Removals;
2) Section 107 Referral for Remedial Actions;
3) Section 106/107 Referral for Removals;
4) Section 106/107 Referrals for Remedial Actions; and
Administrative Order for Removal Actions.
ACTIVITY: Section 106 Case Resolution
DEFINITION: The definition of § 106 case resolution is the conclusion of a § 106
judicial action.
DEFINITION OF ACCOMPLISHMENT: Section 106 case resolution is credited
when a settlement is entered in the court fully addressing the complaint with all
parties, or the case is withdrawn or dismissed, or a trial has concluded and
judgment entered. The accomplishment date will be transferred by HQ into
CERCLIS from die OECM docket system,
CHANGES IN DEFINITION FY88-FY89:
SPECIAL PLANNING REQUIREMENTS: Commitments are established site-
specifically.
ACTIVITY: Section 107 Cost Recovery Judicial Settlement
The definition of § 107 cost recovery judicial settlement is the
Elusion of a 9107 action. This includes: 1) litigation (upon entry of a
t); 2) settlement (upon referral of a Consent Decree by the region to HQ or
3) Administrative Orders (upon execution of last signature by EPA or the
; 4) Administrative Settlements; 5) bankruptcy settlements (upon settlement);
aadti) recovery of oversight costs (upon billing).
DKMNriTQN OF ACCOMPLISHMENT: Section 107 cost recovery judicial
settlement is credited when the date of die settlement and the amount is entered into
CERCLIS
D-30
-------
OSWER Directive 9200.3-0 IB
ENFORCEMENT DEFINITIONS
IANGES IN pFFTNmON FY88-FY89: The definition has been expanded to
" i all cost recovery settlements whether they are accomplished as a result of
litigation or through administrative settlements. The dollars recovered are reported
inSPMS.
SPECIAL PLANNING REQUIREMENTS: Commitments are established site-
specifically. The section 107 cost recovery judicial settlement sites are a SCAP
target The dollars recovered are a SPMS reporting measure.
ACTIVITY: Section 106 RD/RA Referrals/Order^
DEFINITION: The definition of section 106 RD/RA Referrals/Orders are the
enforcement actions taken to compel the PRPs to assume responsibility for RD
and/or RA. Referrals seeking preliminary relief or penalties do not count toward
this target
DEFINITION OF ACCOMPLISHMENT:
1) Section 106 or Section 106/107 Referrals without Settlement: This measure
includes all §106 or §106/§ 107 referrals without settlement to HQ or DOJ seeking
injunctive relief. Credit will be based on the referral date recorded in CERCLIS.
This is a targeted activity.
2) Section 106 or Section 106/107 Referrals with Settlement: This measure
includes all $ 106 or f 106V§ 107 referrals, with a Consent Decree for RD/RA to HQ
or DOJ, seeking judicial concurrence. Credit will be based on the referral date as
recorded in CERCLIS. This is a targeted activity.
3) Unilateral Orders: This measure includes all unilateral Administrative Orders for
RD or RA where the PRP is in compliance with the Order. Credit is given based on
the date of compliance as recorded in CERCLIS. Should the PRPs become
substantially in non-compliance with the Order, credit will be subtracted from
category (3) and added to category (1). This action will count against the total
target of (1) and (2).
IN DEFINITION FY88-FY89: Referrals with settlement and
Unilateral Administrative Orders where the PRP is in compliance were added to this
activity as accomplishments. Referrals with settlement is a new target in FY89.
|AL PLANNING REQUIREMENTS: Targets are established site-
illy; "to be determined" sites are allowed with an explanation.
D-31
-------
OSWER Directive 9200.3-0 IB
ENFORCEMENT DEFINITIONS
ACnVTTYt AdlPJniSff8flYe Cost Recovery Settlements
; Administrative Cost Recovery Settlements occur at sites where
Regional Counsel has obtained an administrative settlement with PRPs that
provides for reimbursement of Fund monies under section 107 and section
122(h)( 1) of CERCLA for past removal or remedial expenditures. Cost recovery
for reimbursement of oversight or miscellaneous expenses under § 106/§ 122
settlements for response action does not count against this target
DEFINITION OF ACCOMPLISHMENT: For administrative actions, credit is
given when the effective date of the administrative order or other settlement
document is entered into CERCLIS. When no settlement documents exist in
administrative settlements, the date on which funds are received by the Financial
Management Division determines the quarter in which the settlement is counted.
CHANGES IN DEFINITION FY88-FY89:
SPECIAL PLANNING REQUIREMENTS:
ACTIVITY: Cost Recovery Cases Referred to DQJ or HO (>S2QQtO
DEFINITION: Cost recovery cases referred to HQ (>$200K) occur at sites where
the region has referred a civil action to OECM or DQJ seeking reimbursement of
past Trust Fund expenditures for removal or remedial response totaling at least
S200K under §107 of CERCLA. § 107 Actions (>$200K) with a § 106 Action for
RD/RA (with or without settlement) are measured. Proof of claims in bankruptcy
will not count against this target. New referrals for additional cost recovery action
will count only where the first referral has been resolved.
DEFINITION OF ACCOMPLISHMENT:
107 Removal: Credit is given for a §107 removal (target) when a region
has referred a civil action to OECM or DQJ (as reflected in the OECM docket and
CERCLIS) seeking reimbursement of past Trust Fund expenditures for a removal,
ERA, IRM, RI/FS, or RD equal to or greater than S200K under §107 of CERCLA.
Targets in thtf category must include at a minim"*" all responses with expenditures
greater than or equal to S200K where there is a potential statute of limitation
problem, and there are viable PRPs, unless addressed in (3) below.
2) ftectfrm Iff? Remedial Action: Credit is given for a §107 RA (target) when a
region has referred a civil action to OECM or DOJ (as reflected in the OECM docket
and CERCLIS) seeking reimbursement for past Trust Fund expenditures for a RA
response, plus any previous fund-financed site work (i.e. removals. ERAs, IRMs,
RI/FS, or RDs) greater than or equal to S200K under § 107 of CERCLA.
Commitments must include sites where there is a potential statute of limitation
problem, and there are viable PRPs, unless addressed in (4) below.
D-32
-------
OSWER Directive 9200.3-0IB
ENFORCEMENT DEFINITIONS
3) Section lflfj/107 Removal: Credit is given for a § 106/§ 107 removal when a
region has referred a civil action to OECM or DOJ (as reflected in the OECM docket
and CERLIS) seeking reimbursement of past Trust Fund expenditures for a
removal, ERA, ERM, RI/FS, or RD greater than or equal to S200K under
§ 10675107 of CERCLA. This is a reporting measure only.
4) Section 106/107 Remedial Action: Credit is given for a §106/§ 107 RA when a
region has referred a civil action to OECM or DOJ (as reflected in the OECM docket
and CERCLJS) seeking reimbursement for past Trust Fund expenditures for a RA
response, plus any previous fund-financed site work (i.e. removals, ERAs, IRMs,
RI/FS, or RDs) greater than or equal to $200K under 106/§ 107 of CERCLA. This
is a reporting measure only.
CHANGES IN DEFINITION FY88-FY89: New measures were added.
SPECIAL PLANNING REQUIREMENTS: Separate commitments are made for
§ 107 actions and § 106V§ 107 actions and removals, IRMs and RI/FS, vs. RAs and
previous site work.
ACTIVITY: Administrative Order for Removal Actions
DEFINrriQN: The definition of this activity is the issuance of an Administrative
Order (unilateral or consent) for removal actions. Credit is given for one order per
removal action when multiple orders are issued. Excluded from this measure are
orders for RI/FS, RD, and access.
DEFINITION OF ACCOMPLISHMENT: A § 106 administrative order for removal
action is counted when the order (unilateral or consent) has been signed and issued
by EPA and entered in CERCLIS.
CHANGES IN DEFINITION FY88-FY89: SPMS definition changed from FY88.
SPECIAL PLANNING REQUIREMENTS: Projections for Administrative Orders
for removal actions are made in the Targets and Accomplishments portion of the
CERHELP non-site data base. This is a reporting measure for NPL and non-NPL
sites.
D-33
-------
OSWER Directive 9200.3-0IB
ENFORCEMENT DEFINITIONS
Settlements and Referrals
PLANNING UQUHEMENTS
SPMS COMMrTMENT?
SCAP COMMITMENT?
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET?
QUARTERLY TARGETS/MEASURES
SET?
PLANNED SITE SPECIFICALLY?
PLANNED ON OPERABLE UNIT
OR WHOLE SFTE BASIS?
OPERABLE
UNTT
OPERABLE
UNTT
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SHI SPECIFICALLY OR IN
NOfWITE PORTION OF CERCLB?
ENFORCE-
MENT
ENFORCE-
MENT
ENFORCE-
MENT
ENFORCE-
MENT
AOACATBGGtY?
SFTESPEC
PLANS
SITE SPEC
PLANS
SFTESPEC
PLANS
SITE SPEC
PLANS
BASBPORAOA?
1 S. IN CAS1 RESOLimON 4 ADMIN. COST RECOVERY SETTLEMENTS
1 S. IN RD/RA REFERRALS/ORDERS 5. ADMIN. ORDER FOR REMOVAL ACTIONS
3. S. 117 COST RECOVERY JUDICIAL SETTLEMENT
D-34
-------
OSWER Directive 9200.3-0IB
ENFORCEMENT DEFINITIONS
Settlements and Referrals cont.
PLANNING REQUIREMENTS
SPMS COMMITMENT?
SCAP COMMITMENT?
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET?
QUARTERLY TARGETS/MEASURES
SET?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES, WHEN?
PLANNED 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?
SECTION 10
REMOVAL
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
IMF
N/A
SITE-
SPECOTC
ENFORCE'
MENT
SHE-SPEC.
PLANS
7 REFERRAL
REMEDIAL
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
DNTT
N/A
SITE-
SPECIFIC
ENFORCE-
MENT
SfTE-S^EC.
PLANS
SECTION 106/1
REMOVAL
YES
YES
MEASURE
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNTT
N/A
SITE-
SPECIFIC
ENFORCE-
MENT
SFTE-SPEC.
PLANS
07 REFERRAL
REMEDIAL
YES
YES
MEASURE
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
N/A
SITE-
SPECIFIC
ENFORCE-
MENT
SITE-SPEC.
PLANS 1
D-35
-------
OSWER Directive 9200.3-01B
FFDERAL FACILITY DEFINITIONS
INTBODtirTTON
Definitions for Federal Facility activities are generally the same as those used for
PRP-financed actions. The Federal Facility activity definitions have been divided into three
categories: Pre-Remedial, Remedial and Enforcement
PRE-KEMEDIAL
Following are the Federal Facility pre-remedial activities which are tracked through
the SCAP and SPMS process. Both are SPMS reporting measures:
• PA Completions; and
• SI Completions.
ACTIVITY: PA Completions
DEFINITION: A Preliminary Assessment is the first stage of site assessment.
Geological and hydrological data and data concerning site practices are reviewed to
complete the PA report Federal agencies are required to conduct PAs at their
facilities.
DEFINrnQN OF ACCOMPLISHMENT: A PA is complete when the PA report is
reviewed and the PA completion date is entered into CERCLIS.
CHANGES IN DEFTNTnQN FY88-FY89:
SPECIAL PLANNING REQUIREMENTS:
ACTIVITY: SI Completions
DEFINITION: The site inspection involves collecting field data for the purpose of
characterizing the magnitude and severity of the hazards posed by the facility. An
SI should provide adequate data for EPA (using FIT resources) to determine the
site's Hazard Ranking System (HRS) score. Federal agencies are required to
conduct Sb at their facilities.
DEFINITION OF ACCOMPLISHMENT: An SI is complete when EPA reviews
tht SI report, a draft HRS score has been derived, and the completion date is
eofend into CERCLIS.
CHANGES IN DEFINITION FY88-89: The development of a draft HRS score
has been added to the definition.
SPECIAL PLANNING REQUIREMENTS: A projection must be made in
CERHELP of the FIT resources needed for HRS development
D-36
-------
OSWER Directive 9200.3-0 IB
FEDERAL FACILITY DEFINITIONS
The following Federal Facility remedial activities are tracked through the SCAP and
SPMS process. The RI/FS definition encompasses first, subsequent, and final Federal
Facility RI/FS completions. The second activity is RA Starts Post-SARA at NPL Sites.
ACnVITY: Federal Facility RI/FS Completion (RQD>
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 initial, subsequent, or final
ROD is signed by the Regional Administrator or the Assistant Administrator for
OWSER is the completion date. This date must be entered in CERCLIS.
CHANGES IN DEFINITION FY88-FY89: New activity for FY89.
SPECIAL PLANNING REQUIREMENTS: The first ROD at a facility is a SPMS
target Subsequent RODs at Federal Facilities is a SCAP measure. The final ROD
is a SPMS measure.
ACTIVITY: RA Starts Post-SARA at NPL Sites
DEFINITION: A Post-SARA RA start is defined as the initiation of on-site
construction activities after October 17, 1986.
DEFINITION OF ACCOMPLISHMENT: Credit is given when substantial and
continuous on-site work has begun at sites where EPA has concurred on the ROD
and an appropriate enforcement agreement is in place. The date substantial and
continuous on-site work begins must be recorded and documented in CERCLIS.
CHANGES IN DEFINITION FY88-FY89: New activity for FY89.
SPECIAL PLANNING REQUIREMENTS:
D-37
-------
OSWER Directive 9200.3-01B
FEDERAL FACILITY DEFINITIONS
ACTIVITY: Siyneri Tnteraeencv Agreements at NPL Sites
DEFINITION: Under § 120 of SARA, Federal Agencies are required to enter into
an interagency agreement with EPA within six months of EPA review of RI/FS
regarding: 1) A schedule for completion of the remedy; and 2) Arrangements for
Operations and Management (O&M) at the facility.
DEFINrnQN OF ACCOMPLISHMENT: Credit is given for any of the following:
1) A signed §120 IAG for an RI/FS/RD/RA or RD/RA only; 2) Issuance of a
§3008(h) Corrective Action Order that addresses all releases; 3) Referral of a
Section 106 Administrative Order to the Department of Justice 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 Assistant Administrator of OSWER for
dispute resolution.
CHANGES IN DEFINITION FY88-FY89: Credit was given for this activity in
FY88 when the IAG was signed. Additional enforcement related activities were
added to die definition of an accomplishment
SPECIAL PLANNING REQUIREMENTS:
D-38
-------
OSWER Directive 9200.3-0IB
FEDERAL FACILITY DEFINITIONS
PA SI SIGNED IAGS FF RI/FS RA START
PLANNING REQUIREMENTS COMP. COMP. AT NPL SITES COMP. POST-SARA
SPMS COMMITMENT?
SCAPCOMMTTMENT?
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET?
QUARTERLY TARGETS/MEASURES
SET?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES, WHEN?
PLANNED 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 CERCUS?
AOA CATEGORY?
BASIS FOR ADA?
YES
NO
MEASURE
NO
NO
NO
WHOLE
SITE
N/A
SITE*
SPECIFIC
N/A
N/A
YES
NO
MEASURE
NO
NO
NO
WHOLE
SITE
N/A
SITE-
SPECIFIC
N/A
N/A
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
WHOLE
SITE
N/A
STTE-
SPECIFIC
N/A
N/A
YES
YES
TARGET/
MEASURE*
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
N/A
SITE-
SPECIFIC
N/A
N/A
YES
YES
MEASURE
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
N/A
SITE-
SPECIFIC
N/A
jj
* FIRST ROD IS A TARGET; FINAL ROD IS A MEASURE
D-39
-------
OSWER Directive 9200.3-0 IB
OIL SPILL ACTIVITY DEFINITIONS
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 activities are the following:
• Oil Spills Cleaned up Using Clean Water Act (CWA) Funds;
• On-Scene Monitoring of Responses to Oil Spills; and
• Spill Prevention Control and Countenneasure (SPCC)
Inspections/Reviews.
ACTIVITY: Oil Soills Cleaned UP Using Clean Water Act (CWA) Funds
DEFINITION: CWA-funded oil spill clean ups are oil spills cleaned up by EPA
using §31 l(k) funds. A single incident should be counted only once regardless of
how many times an EPA On Scene Coordinator (OSQ or Technical Assistance
Team (TAT) goes back on-scene or how many phases the response entails.
DEFINITION OF ACCOMPLISHMENT: Completion of the clean up activities is
defined as oil spills cleaned up by EPA using CWA funds.
CHANGES IN DEFINITION FY88-FY89:
SPECIAL PLANNING REQUIREMENTS:
ACTIVITY: On-Scene Monitoring of Responses to Oil Spills
DEFINITION: On-scene monitoring occurs when the PRP, State, local authorities
or other party responds and § 311 (k) funds are not invoked, but where EPA or a
TAT provides on-scene oversight or technical assistance to ensure adequate cleanup
takes place.
DHHNl'llON OF ACCOMPLISHMENT: Activation of EPA or TAT personnel in
response to activities conducted by other entities to clean up oil spills.
CHANCES IN DEFINITION FY88-FY89:
SPBOAT. PT ANNING REQUIREMENTS:
D-40
-------
OSWER Directive 9200.3-0IB
OIL SPILL ACTIVITY DEFINITIONS
ACTIVITY: Spill Prevention Control and Countermeasure fSPCO Inspections/Reviews
DEfimnQN; Spill prevention compliance reviews performed by EPA and/or a
TAT defines the SPCC inspections/reviews. The count should include both on-sitc
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 FY88-FY89:
SPECIAL PLANNING REQUIREMENTS:
D-41
-------
OSWER Directive 9200.3-0IB
OIL SPILL ACTIVITY DEFINITIONS
PI ANMiMr QvniiTBviMVMTC CWA-FUNDED OSM SPCC
PLANNING REQUIREMENTS Q,L SPILLS.OIL sp,LLS 1/R
SPMS COMMITMENT?
SCAP COMMITMENT?
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET?
QUARTERLY TARGETS/MEASURES
SET?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES, WHEN?
PLANNED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR
IN NON-SHE PORTION OF CERCUS?
NO
YES
MEASURE
YES
NO
NO
N/A
N/A
NO
YES
MEASURE
MEASURE
YES
NO
NO
N/A
N/A
NO
YES
YES
NO
NO
N/A
N/A
• CLEANED UP BY EPA
D-42
-------
OSWER Directive 9200.3-0IB
SECTION 2
MISCELLANEOUS DEFINITIONS
D-43
-------
OSWER Directive 9200.3-0 IB
ng.My.niAL punr.BAM DEFINITIONS
SUPPORT
ACnVTTYi CoHapiunitv Relations
DEFINITION: Community relations are the activities conducted in accordance with
SARA, the NCP and the Community Relations Handbook to involve the
community in response activities conducted at a site.
DEFIN1TIQN OF ACCOMPLISHMENT: The start of community relations is the
obligation of funds for the development of the community relations plan. For PRP-
lead sites where the PRP is preparing the community relations plan, in accordance
with an Administrative Order or consent decree, the start of community relations is
defined as EPA approval of the community relations plan. The completion of
community relations is the deletion of the site from the NPL or the conclusion of a
removal action.
CHANGES IN DEFINITION FY88-FY89: New definition for FY89.
SPECIAL PLANNING REQUIREMENTS: Community relations activities at PRP
sites are paid for by the Case Budget
ACTIVITY: Design Assistance
DEFINITION: Design assistance activities are undertaken by USAGE in
preparation for initiating remedial design activities. This includes 1) Synopsize
remedial design requirements in the Commerce Business Daily (CBD); 2) Develop
architect/engineer (A/E) firm pre-selection list; 3) Contact A/E firms on the pre-
selection list to ascertain interest in project; 4) Develop A/E selection list; and 5)
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 remedial
design.
CHANGES IN DEFINITION FY88.FY89: New definition for FY89.
SPECIAL PLANNING REQUIREMENTS: Funds for design assistance should be
obligated prior to the signature of the ROD.
D-44
-------
OSWER Directive 9200.3-0IB
REMEDIAL DEFINITIONS
ACTIVITY: Forwmd Planning
DEFINITION: Forward planning activities are 1) The development of
technical/financial information to support requests for funds for RJ/FS activities;
2) The evaluation of the extent and utility of available data and the identification of
additional data needs; and 3) 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 FY88-FY89: New definition for FY89.
SPECIAL PLANNING REQUIREMENTS: Forward planning is done on a site-
specific basis.
ACTIVITY: Long Term Response (LTR)
DEFINITION: A Long Term Response is the activity conducted to achieve the
response detailed in the ROD, typically pump and treat or monitoring actions.
Activities required to maintain the effectiveness of such treatment or measures
following the LTR period are considered Operation & Maintenance (O&M).
DEFINITION OF ACCOMPLISHMENT: LTR begins when the treatment or
monitoring is initiated. The completion date is defined as the point where the levels
specified in the ROD are achieved and the deletion criteria has been met or when the
treatment or response measure has been operating for ten years.
CHANGES IN DEFINITION FY88-FY89: New definition for FY89.
SPECIAL PLANNING REQUIREMENTS: LTR is planned on a site-specific
basis in CERCLJS and is used for resource allocation purposes only.
D-45
-------
OSWER Directive 9200.3-01B
REMEDIAL DEFINITIONS
ACTTVTTYj Mmagerr^nt Assistance
DEFINrnON: Management assistance are site-specific activities performed by the
state ~ monitoring progress and consulting with EPA on Federal-lead and PRP-lead
remedial activities.
DEFINITION OF ACCOMPLISHMENT: The Stan of management assistance is
the signature of the Cooperative Agreement by the Regional Administrator or his
designee which awards funds to the State. The completion of management
assistance is the completion of all remedial activities at the site.
CHANGES IN DEFINITION FY88-FY89: New definition for FY89.
SPECIAL PLANNING REQUIREMENTS: Management assistance activities at
PRP-lead sites are paid for by the Enforcement Program and are contained in the
Case Budget.
ACTIVITY: Operation and Maintenance (QAM)
DEFINTnON: There are two phases of O&M. The first is that phase of the
remedial action that ensures that a remedy is operational and functional. EPA
financially supports this phase of a Fund-financed action for a period not to exceed
one year. The one year period does not apply to sites where Long Term Response
actions are being conducted. The second phase of O&M are the activities required
to maintain the effectiveness or the integrity of the remedy. The State or PRP is
totally responsible for these activities for the time period specified in the ROD.
DEFINTnQN OF ACCOMPLISHMENT: The Stan of O&M is defined as the date
construction activities are complete, the contractor demobilizes and the lead entity
begins the analysis to ensure the remedy is operational and functional. The
completion of O&M is defined as the date specified in the ROD.
CHANGES IN DEFINITION FY88-FY89: New definition for FY89.
SPECIAL PLANNING REQUIREMENTS: Operation and maintenance is planned
site-specifically in CERCLIS and is used for resource allocation purposes only.
D-46
-------
OSWER Directive 9200.3-0IB
REMEDIAL DEFINITIONS
ACTIVITY: Technical Assistance
DEFINITION: Technical Assistance activities are activities conducted by a third
party to assist EPA in the conduct of remedial activities.
DEFINITION OF ACCOMPLISHMENT: The start of technical assistance is the
obligation of funds for technical assistance. The completion is defined as the
completion of the remedial activities for which technical assistance was requested.
CHANGES IN DEFINITION FY88-FY89; New definition for FY89.
SPECIAL PLANNING REQUIREMENTS:
ACTIVITY: Technical Assistance Grants
DEFINITION: Technical assistance grants are funds awarded to community
groups to hire technical advisors to review and interpret Superfund documents. A
maximum of S50K can be awarded per site.
DEFINTnON OF ACCOMPLISHMENT: The start of the Technical Assistance
Grant is the signature of the Cooperative Agreement to the community group. The
completion of the Technical Assistance Grant is the completion of the RA.
CHANGES IN DEFINITION FY88-FY89: New definition for FY89.
SPECIAL PLANNING REQUIREMENTS:
D-47
-------
OSWER Directive 9200.3-01 B
REMOVAL DEI
NPL SITKS
ACTTVTTY: Expedited Rff5P°flse Action (ERA)
DEFINrnON: ERAs are actions that are conducted at NPL sites under the
expanded NCP and SARA removal authorities where the alternatives are clear and a
non time-critical situation exists. ERAs include site surface remediation; for
example, removal of contaminated soils, drums, or tanks.
DEFINITION OF ACCOMPLISHMENT: An ERA is complete when 1) the
conditions specified in the Action Memorandum are complete, even if the
OSC/RPM determines that additional response work may be necessary, and 2) the
OSC/RPM demobilizes the cleanup contractor.
CHANGES IN DEFINITION FY88-FY89: There are no new ERAs in FY89. A
definition for ERA completion has been added.
SPECIAL PLANNING REQUIREMENTS:
D-48
-------
OSWER Directive 9200.3 -018
REMOVAL
SUBSTANCES RELEASE
ACTTVTTY; Hazardous Subjflflflc.e.s, 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 FY88-FY89:
SPECIAL PLANNING REQUIREMENTS: The count for hazardous substances
release notifications should not include state or USCG notifications forwarded 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
CERHELP.
ACTIVITY: H8Z8n1flus 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 magnitude 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.
DEFINmON 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
CHANGESJN DEFINITION FY88-FY89:
SPECIAL PLANNING REQUIREMENTS: Investigations conducted entirely by
the state do not count Accomplishments should be reported in CERHELP.
ACTTVTTYj Qn-Scene Monitoring of Responses to H{U!8Tdpus Subs.QflC.ff Releases
DBHNfl'lQN: 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 moni ton ng
when EPA goes on-site to monitor cleanup activities.
CHANGES IN DEFINITION FY88-FY89:
D-49
-------
REMOVAL DEFINITIONS
OSWER Directive 9200.3-0IB
oe reported in
: State removals conducted through
not count toward this activity. Accomplishments should
D-50
-------
OSWER Directive 9200.3-0IB
FEDERALFACILrrY DEFINITIONS
ACTIVITY: RI/FS Starts
DEFINrnON: An RI/FS is the development of a carefully scoped solution or pan
of a solution to a contamination problem. Federal facility RI/FS are conducted by
the Federal entity. The Federal agency is required to start an RI/FS within six
months of site listing on the NPL.
DEFINITION OF ACCOMPLISHMENT: The stan date is either 1) A signed IAG
or 2) Publication of timetables and deadlines in consultation with the state for
expeditious completion of the RI/FS.
CHANGES IN DEFINITION FY88-FY89: New definition for FY89.
SPECIAL PLANNING REQUIREMENTS:
ACTIVITY: RD Starts
DEFINITION: An RD is the process of developing plans and specifications for the
selected remedy. The Federal agency performs the RD.
DEFTNmQN OF ACCOMPLISHMENT: The RD start is defined as the award
date for the RD contract
CHANGES IN DEFINITION FY88-FY89: In FY88 the RD stan was defined as
the date of the signature of an Interagency Agreement (IAG) for RD.
SPECIAL PLANNING REQUIREMENTS:
ACnVTTY: RD Completion
DEFTN1TIQN: An RD is complete when the plans and specifications for the
selected remedy have been developed
DEFINITION OF ACCOMPLISHMENT: Credit is given when EPA approves the
remedial design within the context of an IAG.
CHANGES IN DEFINITION FY88-FY89: New activity for FY89.
SPECIAL PLANNING REQUIREMENTS:
D-51
-------
OSWER Directive 9200.3-0IB
FEDERAL FACILITY DEFINITIONS
ACTIVITY: RA Starts
DEfimliON: An RA represents construction activities to address a release or
potential release of a hazardous substance at an NPL site. The Federal agency
performs the RA at the Federal Facility.
DEFINITION OF ACCOMPLISHMENT: An RA start is defined as EPA approval
of the RA workplan within the context of an LAG.
CHANGES IN DEFINITION FY88-FY89: In FY88, the definition for RA start
was signature of an LAG.
SPECIAL PLANNING REQUIREMENTS: Separate projections are made for
first, subsequent and final RA starts.
ACTIVITY: RA Completion
DEFINITION: This activity represents the completion of construction activities to
address a release or potential release of a hazardous substance from a site, including
final inspection and site closeout
DEFINITION OF ACCOMPLISHMENT: An RA is complete when the Regional
Administrator provides written notice to the Federal Agency of EPA's acceptance of
the completed project
CHANGES IN DEFINITION FY88-FY89: New activity for FY89.
SPECIAL PLANNING REQUIREMENTS: Projections are made for final RA
completion separate from first and subsequent RA completions.
D-52
-------
OSWER Directive 9200.3-0IB
APPENDIX E
SCAP TARGET CERCLIS SELECT LOGIC
-------
OSWER Directive 9200.3-OlB
SCAP TARGET CERCLIS SELECT LOGIC
This appendix contains flow chart representations of the CERCLIS select logic used to
generate the FY89 SCAP/SPMS Targets and Accomplishments Site Summary Report The
diagrams depict both planned and actual accomplishments. Select logic for SCAP/SPMS
reporting and projection measures is not included.
The flow charts of select logic outline the process by which a site event/activity record is
selected to appear on the site summary report. If site data do not appear correctly on the site summary
report it is likely that data on which the record is selected are missing. In order to ensure accurate
reporting on the site summary report, the select logic for the specific events should be consulted.
E-2
-------
OSWER Directive 9200.3-0 IB
SCAP TARGET CERCUS SELECT LOGIC
TABLE OF CONTENTS
FINANCIAL TEST E-4
PRELIMINARY ASSE^SMENY'COMP^
SITE INSPECTION COMPLETION E-6
RI/FS FIRST START E-7
RI/FS SUBSEQUENT START E-8
RI/FS TO PUBLIC E-9
FIRST RI/FS COMPLETION (ROD) E-10
SUBSEQUENT RI/FS COMPLETION (ROD) E-ll
FINAL RI/FS COMPLETION (ROD) E-12
RD FIRST START E-13
RD SUBSEQUENT START E-14
RD FINAL START E-15
RA FIRST START (PROGRAM) E-16
RA FIRST START (PRP) E-17
RA SUBSEQUENT START (PROGRAM) E-18
RA SUBSEQUENT START (PRP) E-19
RA FINAL START (PROGRAM) E-20
RA FINAL START (PRP) E-21
RA FINAL COMPLETION E-22
RA STARTS POST-SARA E-23
NPL SITE DELETION INTTIATION E-24
FIRST REMOVAL START AT NPL SITE E-25
SUBSEQUENT REMOVAL START AT NPL SITE E-26
REMOVAL COMPLETIONS AT NPL SITES E-27
NON-NPL REMOVAL START E-28
NON-NPL REMOVAL COMPLETIONS E-29
CONCLUSION OF RD/RA NEGOTIATIONS E-30
SECTION 106 RD/RA REFERRALS/ORDERS E-31
SECTION 107 COST RECOVERY JUDICIAL SETTLEMENT E-32
SECTION 106 CASE RESOLUTION E-33
REMEDIAL COST RECOVERY CASES REFERRED TO DOJ OR HQ(>200K) E-34
REMOVAL COST RECOVERY CASES REFERRED TO DOJ OR HQ(>200K) E-35
ADMINISTRATIVE COST RECOVERY SETTLEMENT E-36
FEDERAL FAOLTrY NPL SHIS WITH IAG E-37
E-3
-------
FINANCIAL TEST*
OSWER Directive 9200.3-01B
LEAD
1 1
F.SorSE )
EP, PS, RP or MR )
FINANCIAL TYPE
FINANCIAL
AMOUNT
FUNDING PRIORITY
STATUS
This test applies to:
lst Starts
Subsequent Starts
RD-
1st Starts
Subsequent Starts
Final Starts
RA-
1 st Starts - Program
Subsequent Starts • Program
Rnal Starts • Program
NPL Removal
1st Starts
Subsequent Starts
Non-NPL Removal Starts
E-4
-------
OSWER Directive 920O3-01B
PRELIMINARY ASSESSMENT COMPLETION
EVENT/ACTIVITY
TYPE
PLANNED
OMPLETTON DATE
WITHIN
DRTF
DRTF * Desired Reporting Time Frame
E-5
-------
OSWER Directive 9200 J-0 IB
SITE INSPECTION COMPLETION
EVENT/ACTIVITY
TYPE
PLANNED
OMPLETION DATE
WITHIN
DRTF
DRTF * Desired Reporting Time Frame
E-6
-------
RI/FS FIRST STARTS
OSWER Directive 9200.3-0IB
NPL STATUS
[ P.F.R.S or D
EVENT/ACTIVITY
TYPE
[ RI.FS or CO
FIRST START
INDICATOR
AorB
SPMS TARGET
STATUS
PLANNEPSTART DATE
* Fund financed ceiling C2117 = T, 'S', 'SE or 'EP.
DRTF = Desired Reporting Time Frame
-------
RI/FS SUBSEQUENT STARTS
OSWER Directive 9200.3-0 IB
NPL STATUS
P.F.R.SorD I
EVENT/ACTIVITY
RI.FS or CO
FIRST START
INDICATOR
SPMS TARGET
STATUS
EP.PS.RP or MR
FINANCIAL
ANNED START DATE
'Fund financed ceiling C2117= 'F, 'S','
SE' or 'EP1. DRTF = Desired Reporting Time Frame.
-------
RI/FS TO PUBLIC
OSWER Dutcave 9200.3-01B
NPL STATUS
[ P.F.R.SorD j
EVENT/ACTIVITY
FIRST COMPLETE
INDICATOR
A.B.CorD
LEAD
[ F.S.SE.RP.MR.EP or PS |
PLANNED
FTTON DATF
-------
FIRST RI/FS COMPLETION (ROD)
OSWER Directive 9200J-01B
NPL STATUS
[ P.F.S or D )
EVENT/ACTIVITY
TYPE
RO
1
FIRST COMPLETE
INDICATOR
[ AorB }
LEAD
[ F.S.SE.FE.MR.EP or PS J
PLANNED
COMPLETION DATE
DRTF a Desired Reporting Time Frame
E-10
-------
OSWER Directive 9200.3-OlB
SUBSEQUENT RI/FS COMPLETION (ROD)
NPL STATUS
P.F.SorD
EVENT/ACTTVITY
RO
J
FIRST COMPLETE
INDICATOR
[ C or D
LEAD
[ F.S.SE.FE.MR.EP or PS
PLANNED
COMPLETION DATE
DRTF » Desired Reporting Time Frame
E-ll
-------
FINAL RI/FS COMPLETION (ROD) OSWER Direeave 9200 3-0IB
NPL STATUS
P.F.SorD j
EVENT/ACTIVrrY
TYPE
RO
1
FIRST COMPLETE
INDICATOR
[ AorD }
LEAD
[ F.S.SE.FE.MR.EP or PS j
PLANNED
COMPLETION DATE
DRTF = Desired Reporting Time Frame
E-12
-------
RD FIRST START
OSWER Directive 9200.3-0 IB
NPL STATUS
[ P.F.SorD
EVENT/ACTIVITY
nRST START
INDICATOR
[ A or B
SPMS TARGET
STATUS
NNED START DATE
WITHIhf
DRTF
EP.PS.RPor MR )
Fund financed ceiling C2117 = 'F, 'S', 'SE' or 'EP. DRTF = Desired Reporting Time Frame.
-------
RO SUBSEQUENT START
OSWHl Directive 9200.3-0IB
NPL STATUS
( P.F.SorD )
EVENT/ACTIVITY
TYPE
RD
I
FIRST START
INDICATOR
CorO
J
SPMS TARGET
STATUS
EP.PS.RP or MR \
ANNED START DATE
* Fund financed ceiling C2117 = T, 'S', 'SE' or 'EP. DRTF = Desired Reporting Time Frame.
E-14
-------
RD FINAL START
OSWER Dnwove 9200.3-0IB
NPL STATUS
P.F.SorD I
EVENT/ACTIVITY
TYPE
RD
J
FIRST START
INDICATOR
SPMS TARGET
STATUS
ANNED START DATE
•Fund financed ceiling C2117 = 'F. 'S'. 'SE' or 'EP. DRTF = Desired Reporting Time Frame.
E-15
-------
RA FIRST START (PROGRAM)
OSWER Directive 9200.3-0IB
NPL STATUS
[ P.F.SorD |
EVENT/ACTIVITY
FIRST START
INDICATOR
SPMS TARGET
STATUS
PLANNED START DATE
DRTF « Desired Repotting Time Frame
E-16
-------
RA FIRST START (PRP)
OSWER Directive 9200.3-0IB
NPL STATUS
P.F.SorD I
EVENT/ACTIVITY
C2111-x TYPE.
RA
J
FIRST START
INDICATOR
AorB )
SPMS TARGET
FLAG
J
LEAD
[ RP. MR or PS
1
PLANNED START DATE
E-17
-------
RA SUBSEQUENT START (PROGRAM)
OSWER Directive 9200.3-01B
NPL STATUS
P,F,SorD
EVENT/ACTIVITY
TYPE
RA
1
FIRST START
INDICATOR
Cor 0
J
SPMSTARGET
STATUS
PLANNED START DATE
RTF = Desired Reporting Time Frame
E-18
-------
RA SUBSEQUENT START (PRP)
OSWER Directive 9200.3-0 IB
NPL STATUS
[ P.F.S or D
FIRST START
.INDICATOR
SPMS TARGET
FLAG
E-19
-------
RA FINAL START (PROGRAM)
OS WHt Directive 9200.3-0IB
NPL STATUS
[ P.F.SorD j
EVENT/ACTIVITY
TYPE
RA
J
FIRST START
INDICATOR
[ A or D j
SPMS TARGET
STATUS
PLANNEDSTART DATE
•RTF = Desired Repotting Time Frame
E-20
-------
RA FINAL START (PRP)
OSWER Directive 9200.3-01B •
NPL STATUS
[ P.F.SorD
EVENT/ACTIVITY
TYPE
FIRST START
INDICATOR
AorO
1
SPMSTARGET
FLAG
1
DRTF » Desired Reporting Time Frame.
E-21
-------
RA FINAL COMPLETION
OSWER Directive 9200J-01B
[ P.F.SorD J
EVENT/ACTIVITY
FIRST START
INDICATOR
[ F.S.SE.EP.RP.MR.orPS
PLANNED
MPLETION DATE
DRTF * Desired Reporting Time Frame
E-22
-------
RA STARTS PQST.SARA
[ P.F.SorD
EVENT/ACnVlTY
FIRST START
INDICATOR
F,S.SE,RP,MR.EPorPS
ID
AC
J
SUBEVENT ACTUAL
START DATE
GE 10/16/86 &LE 10/16/89
SUBEVENT PLANNED
START DATE
OSWER Direcnve 9200.3-01 B
[ Current Q thru 89/4 j
E-23
-------
NPL SITE DELETION INITIATION
OSWER Directive 920O3-01B
NPL STATUS
EVENT/ACTIVrrY
ANNED START DATE
WITHIN
DRTF
DRTF - Desired Reporting Time Frame.
E-24
-------
FIRST REMOVAL START AT NPL SITE
OSWER Directive 9200.3-01 B
NPL STATUS
[ P.F.SorD
EVENT/ACnVITY
FIRST START
INDICATOR
SPMS TARGET
STATUS
f.ANNFD START DATF
WITHIN
DRTF
*Fund financed ceiling C2117 « 'P. DRTF s Desired Repotting Time Frame
E-25
-------
SUBSEQUENT REMOVAL START AT NPL SITE OSWER &***** 92003-oiB
NPL STATUS
( P.F.S or D I
EVENT/ACTIVITY
FIRST START
INDICATOR
SPMS TARGET
STATUS
LANNED START DATE
WITHIN
DRTF
*Fund financed ceiling C2117 = T". DRTF = Desired Repotting Tune Frame.
E-26
-------
NON-NPL REMOVAL START
OSWER Directive 9700J-01B
NPL STATUS
[ N, R or O I
EVENT/ACTTVITY
FIRST START
INDICATOR
[ A. B.C. or D |
SPMS TARGET
STATUS
F, RPorCG
F.RPorCG
PLANNED START DATES
iiimjui-v * Fund financed ceiling C2117-'For
WITHIN A
-------
NON-NPL REMOVAL COMPLETIONS
OSWER Directive 9200J-01B
[ N, RorO I
EVENT/ACTIVrrY
RV, IR, or PR
FIRST START
INDICATOR
A.B.CorD
F.RPorCQ
PLANNED
COMPLETION DATES
DRTF - Desired Reporting Tune Frame
E-29
-------
OSWER Directive 9200.3-01B
CONCLUSION OF RD/RA NEGOTIATIONS f
NPL STATUS
[ P. P.P. OR S |
ENFORCEMENT
EVENT/ACnVITY
PLANNED
COMPLETION DATES
WITHIN
DRTF
DRTF « Desired Reporting Time Frame.
E-30
-------
SECTION 106 RD/RA REFERRALS/ORDERS
OSWER Directive 9200.3-0 IB
ENFORCEMENT
EVENT/ACTIVITY
REMEDY/ACTION
[ RD or RA
PLANNED START DATE
WITHIN
DRTF
DRTF * Desired Repotting Time Frame
E-31
-------
SECTION 107 COST RECOVERY JUDICIAL
SETTLEMENT
OSWER Directive 9700J-01B
ENFORCEMENT
EVENT/ACTIVITY
[ SVORJG 1
ENF. FINANCIAL TYPE
C.FORS
ENF. FINANCIAL
AMOUNT
PLANNED
COMPLETION DATES
WITHIN
DRTF
DRTF * Desired Reporting Tune Frame
E-32
-------
OSWER Directive 9200.3-0IB
SECTION 106 CASE RESOLUTION
ENFORCEMENT
EVENT/ACTIVITY
[ SXorCL J
PLANNED
COMPLETION DATES
WITHIN
DRTF
DRTF * Desired Reporting Time Frame.
E-33
-------
OSWER Directive 9200J-01B
REMEDIAL COST RECOVERY CASES REFERRED TO DOJ OR HQ (>200K)
EVENT/ACrrvrTY
TYPE
FINANCIAL TYPE
REMEDY/ACTION
FINANCIAL
AMOUNT
> $200,000
ANNED START DATE
WITHIN
DRTF
DRTF » Desired Reporting Time Frame
E-34
-------
OSWER Directive 9200J-01B
REMOVAL COST RECOVERY CASES REFERRED TO DOJ OR HQ (>200K)
EVENT/ACnVITY
TYPE
FINANCIAL TYPE
REMEDY/ACTION
[ VM.VO.ORVD I
FINANCIAL
AMOUNT
> $200,000
LAMNED START DATES
WITHIN
DRTF
DRTF - Desired Reporting Tune Frame
E-35
-------
OSWER Directive 9200 J-01B
ADMINISTRATIVE COST RECOVERY SETTLEMENT s
ENFORCEMENT
EVENT/ACTIVITY
FINANCIAL TYPE
PLANNED
COMPLETION DATE
WITHIN
DRTF
DRTF a Desired Reporting Time Frame
E-36
-------
OSWER Directive 9200J-OIB
FEDERAL FACILITY NPL SITES WITH IAG
FEDERAL FACILITY
[ P.F.SorD J
ENFORCEMENT
EVENT/ACTIVITY
PLAN COMPLETION
DATE
[EQTOFIRSTC1715 I
DRTF * Desired Reporting Time Frame
E-37
-------