540R89010
SCAP for Fiscal Year 1989
Superfund Comprehensive
Accomplishments Plan
Manual - Volume 1
Planning Procedures and Requirements
Financial Management
Program Assessment
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OSWER Directive 92003-OIB
SUPERFUND COMPREHENSIVE ACCOMPLISHMENTS PLAN
(SCAP)
VOLUME I
TABLE OF CONTENTS
VOLUME I TABLE OF CONTENTS . i
LIST OF EXHIBITS v
ACRONYMS vu
MANAGER'S SCHEDULE OF SIGNIFICANT EVENTS x
EXECUTIVE SUMMARY ES-1
OVERVIEW .. . ES-1
PROGRAM GOALS . . ES-1
SUPERFUND COMPREHENSIVE ACCOMPLISHMENTS PLAN ES-1
SCAP CHANGES FY88-FY89 ES-2
NATIONAL INFORMATION NEEDS ES-2
SCAPICERCUS RELATIONSHIP .. ES-2
REMEDIAL RESPONSE OUTYEAR PLANNING ES-3
THE BUDGET PROCESS ES-3
FY89BUDGET ES-4
SCAP FINANCIAL PLANNING AND THE REGIONAL ADVICE OF
ALLOWANCE.. ES-4
FOCUS OF THE SCAP PROCESS THROUGH THE YEAR ES-5
ACCOMPLISHMENT REPORTING ES-5
SCAPISPMS AMENDMENTS AND ADJUSTMENTS ES-6
PROGRAM MANAGEMENT AND ASSESSMENT ES-7
CHAPTER I-INTRODUCTION 1-1
OVERVIEW . 1-1
Take Action . 1-1
Make Decisions that Lead to Targeted Accomplishments .... 1-1
Headquarters/Regional Partnership . 1-1
SUPERFUND COMPREHENSIVE ACCOMPLISHMENTS PLAN 1-2
Background.... . . 1-2
SCAP Changes Between FY88 and FY89 1-3
SCAP/CERCLIS Relationships . ... 1-3
SCAP CHANGE CONTROL PROCEDURES 1-4
USES OF THE MANUAL . ... 1-4
STRUCTURE OF THE MANUAL 1-5
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OSWER Directive 92003-01B
CHAPTER H-PROGRAM GOALS AND EXPECTATIONS II-l
PROGRAM GOALS .. II-l
PRE-REMEDIAL PROGRAM ... II-l
REMEDIAL PROGRAM., II-l
REMOVAL PROGRAM ... II-3
ENFORCEMENT PROGRAM ... . II-4
STATE ENFORCEMENT . . . II-4
FEDERAL FACILITIES PROGRAM II-4
CHEMICAL EMERGENCY PREPAREDNESS AND
PREVENTION PROGRAM II-5
Earthquake and National Security Emergency
Preparedness Programs II-6
CHAPTER III - NATIONAL INFORMATION NEEDS IH-1
CHAPTER IV-TARGETS AND MEASURES IV-1
ROLE OF SCAP IV-1
SCAPISPMS TARGETS AND MEASURES IV-1
CHAPTER V - SCAP PLANNING PROCESS & PROCEDURES V-l
PROGRAM MANAGEMENT PROCEDURES V-l
OVERVIEW OF THE SCAP PROCESS V-2
PROCEDURES FOR ANNUAL TARGET SETTING V-3
SCAP PLANNING V-5
Semi-Annual Planning Process V-5
CERCLIS Reports for SCAP Plannmg/Target Setting V-6
Accomplishment Reporting . V-7
CERCLIS Reports for Accomplishment Reporting V-7
QUARTERLY REMOVAL PLANNING PROCESS V-8
SCAPISPMS ADJUSTMENTS AND AMENDMENTS V-9
MAINTAINING THE TARGETS AND ACCOMPLISHMENTS FILE V-ll
PLANNING REQUIREMENTS AND PROCEDURES V-12
Preliminary Assessments/Screening Site Inspections V-12
Listing Site Inspection . . . V-12
Site Classification V-12
Project/Event Lead Codes V-13
Takeovers . V-15
Impact on Funding Status of PRP Takeover . V-16
Operable Units in Remedial and Enforcement Programs V-16
First and Subsequent Starts and Completions. V-19
To Be Determined (TBD) Sites V-20
Standard Timeframes . . .... V-21
Project Support Activities .... . . .... V-22
Technical Assistance Grants . V-22
Administrative Records V-23
PRP Removal ... V-24
Pre-RI/FS Enforcement Activity V-24
RI/FS Settlement and Oversight V-25
Pre-RD/RA Enforcement Activity . .. V-25
Section 106 Judicial Activity V-26
. Cost Recovery . . . V-26
State Enforcement , V-27
11
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OSWER Directive 9200 3-01B
CHAPTER VI -FINANCIAL PLANNING AND MANAGEMENT VI-1
SCAP'S RELATIONSHIP TO ANNUAL REGIONAL BUDGET VI-1
Prc-Remedial Annual Regional Budget VI-1
Remedial Annual Regional Budget VI-1
Removal Annual Regional Budget VI-2
Enforcement Case Budget - Annual Regional Budget VI-3
SCAP'S RELATIONSHIP TO THE AOA VI-5
Regional Allowances VI-9
The AOA Process VI-9
AOA Flexibility VI-11
AOA Change Request Procedures VI-11
Remedial Financial Planning for AOA VI-12
Removal Financial Planning for AOA VI-13
OWPE CASE BUDGET PROCESS VI-13
The Case Budget Allocation VI-13
Financial Planning Requirements . . . VI-15
Fiscal Delegation/Management. . . VI-16
Contract Management Delegation VI-16
Interagency Agreements ... VI-16
Interagency Agreements for Technical Assistance VI-16
Interagency Agreements/or Preliminary Natural
Resources Survey VI-17
Department of Justice VI-17
8 (a) Contracts.... . ... VI-18
Activity/Event Budget Pricing Factors VI-18
PRP Search/Non-Binding Allocation of Responsibility VMS
Rl/FS Negotiations . VI-18
Oversight VI-18
RD/RA Negotiations VI-19
Operation and Maintenance/Long Term Response, Deletion. .. VI-19
Section 106 Judicial Litigation without Settlement VI-19
Section 107 VI-19
Community Relations VI-20
State Activities VI-20
Federal Facilities VI-21
SUPERFUND FINANCIAL MANAGEMENT VI-22
Regional Financial Management Responsibilities VI-22
Regional Administrator VI-22
Regional Program Office .. VI-22
Regional Management Division .... VI-24
HQ Financial Management Responsibilities VI-25
Financial Management Division/Office of the Comptroller . . VI-25
Financial and Administrative Management
Section/Office of Emergency and Remedial Response .... VI-25
Contracts Enforcement Section/Office of Waste
Programs Enforcement VI-26
Procurement and Contracts Management Division/Office of
Administration VI-26
Grants Administration Division/Office of Administration .. . VI-26
Budget Division/Office of the Comptroller VI-26
Cincinnati Financial Management Center VI-26
Office of Administration/Research Triangle Park VI-26
in
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OSWER Directive 92003 01B
financial Management Tools and Systems VI-27
Account Number VI-27
Document Control Number VI-30
Financial Management System VI-30
Document Control Register VI-30
Assignment of Site/Spill Identifiers VI-31
Financial Management Funding Processes VI-31
Approvals VI-31
Commitments VI-34
Obligations VI-34
Payments VI-34
De-obligations VI-35
Financial Management Funding Mechanisms VI-35
Contracts VI-35
Interagency Agreements VI-39
Cooperative Agreements VI-42
Superjund State Contracts ... ... VI-44
Cost Recovery/Cost Documentation .VI-45
HANDLING FINANCIAL DATA IN THE CERCUS ENVIRONMENT ... VI-48
Entering Remedial/Removal Data into CERCLIS VI-48
Entering Enforcement Case Budget Data into CERCLIS VI-48
FMS to CERCLIS Financial Data Transfer. VI-49
Correcting Financial Data . . . VI-50
CHAPTER VII-PROGRAM MANAGEMENT AND ASSESSMENT VH-1
HQ/REGIONAL RESPONSIBILITIES VH-1
HOW EVALUATION FITS IN VH-1
QUARTERLY REVIEWS.. . VH-3
The Mid-Year Assessment VII-5
End-of-Year Assessment . . Vn-5
OSWER REVIEW VH-6
Preparing the Preliminary Review . , VE-6
Preparing the Self-Evaluation . . VH-7
What Should die Evaluation Cover . Vtt-7
In the Region . VII-8
Follow-Up . VH-8
SPECIAL STUDIES . VH-9
IV
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OSWER Directive 9200 3-01B
LIST OF EXHIBITS
EXHIBIT PAGE NUMBER
ES-1 Regional and Headquarters Responsibilities ES-3
ES-2 SCAP Planning Year . ES-5
ES-3 Accomplishment Reporting Phase-Regional ES-6
Responsibilities
ES-4 Amendment Conditions ES-6
ES-5 Management/Assessment Strategy ES-7
ES-6 Implementation Responsibilities . . . ES-7
n-1 Schedule for Achievement of SARA Goals II-2
n-2 Qualitative Legislative and Regulatory Goals II-3
IV-1 SCAP/SPMS Targets IV-2
IV-2 SCAP/SPMS Measures IV-3
V-l SCAP Planning Year V-2
V-2 Preliminary vs. Alternate SPMS Status and
"Approved" vs. "Alternate" Budget Priority V-5
V-3 SCAP Planning/Target Setting CERCLIS Reports V-7
V-4 Program Evaluation CERCLIS Reports V-8
V-5 SCAP Amendment Process V-10
V-6 Project/Event Lead Codes in CERCLIS in FY89 V-14
V-7 Event or Activity Takeover at Workplan Stage V-l5
V-8 Event or Activity Takeover . V-15
V-9 Operable Unit Groundrules. ... V-17
V-10 Examples of Operable Units V-17
V-11 Operable Units and First and Subsequent
Start and Completion Coding V-18
V-12 , First and Subsequent Start and Completions V-19
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OSWER Directive 9200 3-01B
EXHIBIT PAGE NUMBER
V-13 Impossible FSS and FSC Code Combinations V-19
V-14 Pseudo State Codes V-20
V-15 Standard Tune Frames V-22
VI-1 Criteria for Regional Remedial Budget Development VI-3
VI-2 OWPE FY89 Extramural Pricing Factors VI-4
VI-3 Site vs Non-Site Specific Planned Obligations VI-5
VI-4 Budget Source Codes .. . VI-6
VI-5 Who Pays For What VI-7
VI-6 The Advice of Allowance Process VI-10
VI-7 Case Budget Data Flow VI-14
VI-8 Hypothetical Superfund Accounting Data VI-28
VI-9 Superfund Activity Codes VI-29
VI-10 Handling Financial Data in the CERCLIS
Environment VI-32
VI-11 EPA Forms commonly used for Superfund Procurements VI-36
VI-12 Cost Recovery Documentation Process VI-47
VI-13 Removal and Remedial Financial Data
to be Transferred to FMS VI-49
VI-14 Corrections to Financial Information in FMS VI-50
VII-1 Management/Assessment Strategy . VII-1
Vn-2 Implementation Responsibilities VII-2
VII-3 Evaluation Influences Program Performance VII-3
VD-4 Quarterly Review Process . .-. VH-4
VII-5 Quarterly Review Schedule . VII-4
VII-6 OSWER Review Process VH-6
VH-7 When Should the Self-Evaluation be Prepared VH-8
VH-8 Products of the OSWER On-Site Review Vtt-9
VI
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OSWER Directive 9200 3-OIB
AASWER-
AAU--
ADCR--
ADP--
ALS--
ALT--
AN-
AO-
AOA-
APR--
AR--
ARCS -
ASU--
BC/AOA--
BFS--
CA--
CB--
CERCLA -
CERCLIS --
CFMC--
CD--
CPCA-
CLP--
CN--
CO--
COE-
CORA--
CR--
CWA-
DCN--
DCR-
DOD-
DOE-
DOI--
DOJ-
DPO-
CEPP--
EMI-
EMSL-
ESF-
ERA-
ERCS -
ERD--
EW-
FAMS-
FCO--
FE
FEMA-
ACRONYMS
Assistant Administrator Solid Waste and Emergency Response
Administrative Assistance Unit
Automated Document Control Register
Automated Data Processing
Automated Litigation Support
Alternate
Account Number
Administrative Order
Advice of Allowance
Approved
Administrative Record
Alternative Remedial Contracts Strategy
Administrative Support Unit
Budget Control/Advice of Allowance
Budget and Forecasting Section
Cooperative Agreement
Case Budget
Comprehensive Environmental Response, Compensation, and Liability Act of
1980
Comprehensive Environmental Response, Compensation, and Liability
Information System
Cincinnati Financial Management Center
Consent Decree
Core Program Cooperative Agreement
Contract Laboratory Program
Commitment Notice
Contracting Officer
Corps of Engineers
Cost of Remedial Action
Community Relations
Clean Water Act
Document Control Number
Document Control Register
Department of Defense
Department of Energy
Department of the Interior
Department of Justice
Deputy Project Officer
Chemical Emergency Preparedness Program
Environmental Priorities Initiative
Environmental Momtonng Systems Laboratory
Emergency Support Function
Expedited Response Action
Emergency Response Cleanup Services
Emergency Response Division
Expert Witness
Financial and Administrative Management Systems
Funds Certifying Officer
Federal Enforcement
Federal Emergency Management Agency
vii
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OSWER Dwective 92003-01B
FIT-
FIRSTUP --
FMFIA--
FMO--
FMS--
FOIA--
FS-
FSS/FSC -
FTE--
FY-
GAD--
HQ--
HRS--
IAG--
IMC--
IRMs -
LNRD-
LOC-
LSI--
MEP--
MES--
MSCA-
NFRAP--
NBAR -
NCP--
NOAA--
NPL--
O&M/LTR-
OERR--
OMB--
OMSE -
OPAC--
OPM-
ORC--
OSC--
OSWER-
OU-
OWPE--
PA-
P&CMD-
PMSO -
PNRS --
PO-
PR-
PRP--
QA/QC-
RA--
RCRC -
RD--
REM-
RI--
R1/FS--
ROD-
RP--
Field Investigation Team
Financial Information Register Satellite Terminal User's Package
Federal Managers Financial Intergnty Act
Financial Management Officer
Financial Management System
Freedom of Information Act
Feasibility Study
First and Subsequent Start and First and Subsequent Completion
Full-time Equivalent
Fiscal Year
Grants Administration Division
Headquarters
Hazard Ranking System
Interagency Agreement
Information Management Coordinator
Initial Remedial Measures
Land and Natural Resources Division
Letter of Credit
Listing Site Inspection
Maximum Extent Possible
Management and Evaluation Section
Multi-Site Cooperative Agreement
No Further Remedial Action Planned
Non-Binding Allocation of Responsibility
National Oil and Hazardous Substances Pollution Contingency Plan
National Oceanic and Atomsphenc Administration
National Priorities List
Operations and Maintenance/Long Term Response
Office of Emergency and Remedial Response
Office of Management and Budget
Office of Management Systems and Evaluation
On-line Payment and Collections
Office of Program Management
Office of Regional Counsel
On-Scene Coordinator
Office of Solid Waste and Emergency Response
Operable Unit
Office of Waste Programs Enforcement
Preliminary Assessment
Procurement and Contracts Management
Program Management Support Office
Preliminary Natural Resource Surveys
Project Officer
Procurement Request
Potentially Responsible Party
Quality Assurance and Quality Control
Remedial Action
Regional Cost Recovery Coordinator
Remedial Design
Remedial Contractor
Remedial Investigation
Remedial Investigation and Feasibility Study
Record of Decision
Responsible Party
Vlll
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OSWER Directive 9200 3-01B
RPM--
RPO-
RRT-
RTP-
RTS~
SARA-
SCAP--
SFO--
SfflAC-
SIF--
SMOA--
SPCC--
SPMS --
SPR--
SPUR--
SSC--
SSI-
S/S ID --
TAG-
TAT~
TBD-
TESWATS -
TES-
USACE--
USFWS --
USCX3--
WA-
Remedial Project Manager
Remedial Project Officer
Regional Response Team
Research Triangle Park
Removal Tracking System
Superfund Amendments and Reauthonzaaon Act of 1986
Superfund Comprehensive Accomplishments Plan
Servicing Finance Officer
Simplified Interagency Billing and Collection
Site Information Form
State Memorandum of Agreement
Spill Prevention Control and Coumermeasure
Strategic Planning and Management System
Superfund Progress Report
Software Package for Unique Reports
Superfund State Contracts
Screening Site Inspection
Site/Spill Identification Number
Technical Assistance Grants
Technical Assistance Team
To Be Determined
Technical Enforcement Support Work Assignment Tracking System
Technical Enforcement Support
United States Army Corp of Engineers
United States Fish and Wildlife Service
United States Coast Guard
Work Assignment
IX
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OSWER Directive 9200 3-01B
MANAGER'S SCHEDULE OF SIGNIFICANT EVENTS
QUARTER 1 OCTOBER
First quarter Advice of Allowance issued 1
Accomplishments data pulled from CERCLIS/CERHELP 11
and provided for
1) entry into OMSE SPMS system for preliminary FY88 End-of-Year,
2) AA monthly report, and
3) special program reports.
Final SPMS accomplishment data pulled from CERCLJS and provided for 18
1) Superfund Progress Report;
2) pro-active memorandum,
3) end-of-year assessment for FY88, and
4) final FY88 SPMS Accomplishments
Pull of CERCLJS enforcement data for funds to be transferred to DOT
for expert witnesses and litigation support
FY89 final targets, including open season changes, set in CERHELP
Accomplishments data pulled from CERCLIS/CERHELP
and provided for
1) Superfund Progress Report,
2) special program reports,
3) AA monthly report; and
OMSE SPMS verified (fourth quarter FY88)
OMSE SPMS system closes (fourth quarter FY88)
29
NOVEMBER
7
7
14-18
21
DECEMBER
1
Draft FY90 Operating Guidance and SPMS Measures sent to
regions for review
Pull of CERCLIS/CERHELP data for 2
1) second quarter Advice of Allowance,
2) removal planning; And
3) project support planning
Accomplishments data pulled from CERCLIS/CERHELP 7
and provided for:
1) Superfund Progress Report;
2) special program reports; and
3) AA monthly report
Call memorandum for semi-annual planning and mid-year assessment sent 12
to the regions
Second quarter Advice of Allowance request submitted to Office of Budget
16
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OSWER Directive 9200 3-0 IB
MANAGER'S SCHEDULE OF SIGNIFICANT EVENTS (Cont'd)
QUARTER 2 JANUARY
Second quarter Advice of Allowance issued
Accomplishments data pulled from CERCLJS/CERHELP
and provided for
1) entry into OMSE SPMS system for first quarterly review,
2) Superfund Progress Report;
3) special program reports, and
4) AA monthly report.
Data pulled from CERCLJS/CERHELP for pro-active memorandum
OMSE SPMS data verified
OMSE SPMS system closes
Regional comments on FY90 Operating Guidance due
Program management conference
Accomplishments data pulled from CERCUS/CERHELP
and provided for
1) Superfund Progress Report;
2) special program reports;
3) AA monthly report; and
4) mid-year assessment
Data pulled from CERCUS/CERHELP to support negotiation of
1) preliminary SCAP/SPMS FY90 targets,
2) prcbrninary FY90 FTE allocanonrand
3) budget projections for FY91 RA projects
Draft FY90 SCAP Manual distributed for review
Complete development of mid-year action strategy
5
6
6
9-13
13
15
23-27
FEBRUARY
17
24
XI
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OSWER Direcuve 9200 3-0 IB
MANAGER'S SCHEDULE OF SIGNIFICANT EVENTS (Cont'd)
MARCH
Final FY90 Operating Guidance issued
Pull CERCUS/CERHELP data for
1) third quarter advice of allowance
2) planning for third quarter removals, and
3) planning for thud quarter project support activities
Complete HQ/regional negotiations of.
1) FY89 third and fourth quarter targets and budget
2) FY90SCAP/SPMS targets, and
3) FY91 outyear budget negotiations
Accomplishments data pulled from CERCUS/CERHELP
and provided for
1) Superfund Progress Report,
2) AA monthly report, and
3) special program reports.
CERCUS/CERHELP revised to reflect negotiated FY91 RA budget and FY90
preliminary targets and measures
Run workload model for preliminary FY90 FTE distnbution
Third quarter Advice of Allowance request submitted to the Office of Budget
Memorandum to regions on preliminary budget, targets and FTEs.
QUARTER 3
Third quarter Advice of Allowance issued
Accomplishments data pulled from CERCLJS/CERHELP and.
1) entered into OMSE system for second quarterly review;
2) provided for Superfund Progress Report,
3) AA monthly report; and
4) special program reports.
Pull of data from CERCUS/CERHELP for pro-active memorandum
OMSE SPMS data verified (second quarter accomplishments)
OMSE SPMS system closes (second quarter accomplishments)
Regional comments on FY90 SCAP Manual due
1
3
16
17
17
24
APRIL
5
7
7
10-14
14
17
Xll
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OSWER Directive 9200 3-0 IB
MANAGER'S SCHEDULE OF SIGNIFICANT EVENTS (Cont'd)
MAY
Accomplishments data pulled from CERCUS/CERHELP 5
and provided for:
1) Superfund Progress Report;
2) special program reports; and
3) AA monthly report
FY91 Outycar Budget prepared at HQ
Pull of CERCUS/CERHELP enforcement data for funds to be transferred
to DOT for expert witnesses and litigation support
Pull of CERCUS/CERHELP data for
1) fourth quarter Advice of Allowance,
2) planning for fourth quarter removals; and
3) planning for fourth quarter project support activities
Final FY90 SCAP Manual
Accomplishments data pulled from CERCUS/CERHELP
and provided for
1) Superfund Progress Report;
2) special program reports; and
3) AA monthly report.
Fourth quarter Advice of Allowance request submitted to the Office of Budget
Call memorandum and FY90 proposed regional budget sent to the regions for
semi-annual planning update
QUARTER 4
Fourth quarter Advice of Allowance issued
Accomplishments data pulled from CERCUS/CERHELP
and provided for:
1) entry into OMSESPMS;
2) Superfund Progess Report,
3) special progam reports, and
4) AA monthly report
Data pulled from CERCUS/CERHELP for pro-active memorandum
Data pulled from CERCLIS/CERHELP to support negotiation of
1) final SCAP/SPMS FY90 targets,
2) first quarter FY90 removals;
3) first quarter FY90 project support activities,
4) final FY90 operating plan; and
5) final FY90FTE allocation.
OMSE SPMS data verified (thud quarter accomplishments)
OMSE SPMS system closes (third quarter accomplishments)
10
29
JUNE
2
5
7
16
17
JULY
6
10
*
10
10
10-14
14
XUl
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OSWER Directive 9200 3-OIB
MANAGER'S SCHEDULE OF SIGNIFICANT EVENTS (Cont'd)
AUGUST
Accomplishments data pulled from CERCLJS/CERHELP 7
and provided for:
1) Superfund Progress Report;
2) special program reports, and
3) AA monthly report
Complete negotiations on final FY90 SCAP/SPMS targets and budget 11
Memorandum to regions on final budgets, targets and measures 25
SEPTEMBER
8
CERCUS/CERHELP revised to reflect final budgets, targets and measures
Data pulled from CERCUS/CERHELP for first quarter Advice of Allowance
Accomplishments data pulled from CERCLJS and provided for:
1) Superfund Progress Report;
2) special program reports, and
3) AA monthly report
FY90 first quarter Advice of Allowance request submitted to the Office of Budget
Run workload model for final FY90 FTE distribution
QUARTER 1 (FY9Cn OCTOBER
First quarter Advice of Allowance issued 4
Accomplishment data puUed from CERCLJS/CERHELP 20
and provided for
1) Superfund Progress Report;
2) special program reports,
3) AA monthly report;
4) pro-active memorandum;
5) entry into OMSE system for FY89 SPMS end-of-year, and
6) FY89 end-of-year assessment.
Accomplishment data pulled from CERCLJS/CERHELP
and provided for
1) Superfund Progress Report;
2) AA monthly report; and
3) special program reports
FY90 final targets, including open season changes, set in CERHELP
OMSE SPMS verified (fourth quarter FY89)
OMSE SPMS system closes (fourth quarter FY89)
xiv
NOVEMBER
7
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OSWER Directive 9200 3-01B
EXECUTIVE SUMMARY
OVERVIEW
The FY89 Superfund Comprehensive Accomphshments Plan (SCAP) Manual presents and
discusses the relationships among the major Superfund program management tools. This includes
identifying program goals and priorities, translating those program priorities into targets and measures
that are planned and tracked through the SCAP and, finally, using the evaluation process to determine
whether program goals are being met
^
bias for act
>rogram management philosophy for FY 1989 emphasizes rapid decision making and a
ion. Program actions need to be directed toward achieving and exceeding program
targets where possible. Problems in meeting targets should be confronted and dealt with in a
purposeful, problem solving manner. Regions must develop solutions to performance problems as
they encounter them, and should strive for a balanced approach to site work, encouraging both
potentially responsible parties and states to assume responsibility for response activities. States should
be consulted throughout the SCAP planning process as a primary means of ensuring an integrated and
coordinated program effort
PROGRAM GOALS
The central mission of the Superfund Program is to maximize the protection of human health
and the environment through fast, effective, and efficient cleanup of priority sites and releases. In
order to fulfill this mission, the following overriding goals have been identified:
Address high pnonty sites and releases first;
Make significant progress toward meeting the pre-remedial site inspection completion
deadline imposed by the Superfund Amendments and Reauthorizadon Act (SARA),
* Streamline and reduce costs of conducting remedial investigations/feasibility studies
(RWS);
ğ Maximize progress toward the SARA mandated deadlines (e g., 175 Remedial Action
(RA) starts by October 1989 and the additional 200 RA starts by 1991), while ensuring
steady funding of those projects that are ready to proceed to construction, and in
particular, those projects that are most environmentally significant;
Encourage potentially responsible party participation in the Superfund program through
the timely completion of negotiations and effective use of die settlement authorities in
SARA; and
Pursue cost recovery of Superfund monies expended.
SUPERFUND COMPREHENSIVE ACCOMPLISHMENTS PLAN
The SCAP is die central mechanism for planning, tracking and evaluating Superfund program
activities. Because of its program-wide importance, SCAP has a dynamic, interdependent relationship
with other Agency planning and management systems, including-
Agency Operating Guidance,
Superfund Budget;
Strategic Planning and Management System (SPMS),
ES-1
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OSWER Directive 92003-01B
* Superfund Progress Report (SPR);
* Superfund Workload Models; and
State Memoranda of Agreements (SMOAs)
Priority activities and programmatic guidance are used to guide the development of the SCAP.
Planning reflects current goals under the Comprehensive Environmental Response, Compensation and
Liability Act of 1980 (CERCLA), as amended by the Superrund Amendments and Reauthorization Act
of 1986 (SARA), the National Contingency Plan (NCP), and the FY89 Agency Operating Guidance.
SCAP CHANGES FY88-FY89
Significant progress was made at the May 1988 SCAP Workshop to simplify planning
procedures and to reduce the number of SCAP targeted activities. Overall, the number of SCAP target
categories has been reduced from more than 150 to fewer than 50. In addition, the formal quarterly
procedures for negotiating SCAP plans have been replaced by a semi-annual process. Reduction in the
number of targeted activities will significantly reduce the need for Headquarters/regional interface. As
long as commitments are met, regions will have greater flexibility in adjusting plans to meet
unexpected events The reduction in targets will also help expedite the semi-annual negotiations
process.
Regions must recognize, however, that the reduction in targeted events and the semi-annual
negotiating cycle does not preclude the need for complete and timely data reporting. Regions should
not interpret the reduction in SCAP targets as a reduction in reporting requirements. In addition, semi-
annual formal negotiations should not be interpreted as an impetus for lengthening the time between -
planning updates. Regular planning updates will continue to be necessary to support such activities as
Advice of Allowance (AOA) issuance and Superfund progress reporting. (See the Manager's
Schedule of Significant Events at the beginning of this manual.)
NATIONAL INFORMATION NEEDS
Although the major focus of this manual is the SCAP process and its planning and reporting
requirements, it must be recognized that Superfund program management requires information beyond
SCAP-specific reporting. Senior management must be kept current on all aspects of progress at the
regional level. Program offices require specific program information to adequately manage segments
of the Superfund process. Growing public concerns related to hazardous waste management require
timely and extensive data reporting. Information beyond SCAP-specific data will continue to play a
critical role in managing and reporting progress of the Superfund program. Beginning in FY89, on a
monthly basis the national program office will pull data from the Comprehensive Environmental
Response, Compensation and Liability Information System (CERCLJS) on a selected number of key
indicators of progress in the Superfund program (i e, removal starts and completions, pre-remedial
accomplishments, RODs, RDs, RAs, 175 RA, etc). These numbers will be the official numbers used
for the Superfund Progress Report, and any reports of progress given to the Administrator, Assistant
Administrator, Congress and the news media.
SCAPfCERCLIS RELATIONSHIP
The SCAP represents the management process used to set performance targets, report
significant accomplishments and allocate resources. CERCLIS is the information system used to
develop the SCAP. (Exhibit ES-1 indicates the major Headquarters/regional SCAP/CERCLIS
responsibilities)
ES-2
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OSWER Directive 92003-01B
EXHIBIT ES-1
REGIONAL HEADQUARTERS
RESPONSIBILITIES RESPONSIBILITIES
Planning and scheduling all events and Determining the Advice of Allowance
enforcement activities (AOA) based on regions input of SCAP
planned activities and assuring that
Updating CERCLJS on a regular basis to regional budgets are balanced
report accomplishments, changes in planning
data or adjustments in approved plans Responding to regional requests for
changes through the change request and
Updating CERHELP to reflect accomplishments amendment process
and target site substitutions
Entering negotiated targets and measures and
Reconciling CERCLIS financial data with site back-up in CERHELP
data automatically transferred from FMS
Updating CERHELP to reflect
CERCLIS data maintenance approved target changes
CERCLIS data integrity (QA/QQ Entering and maintaining data on AOA through
the CERHELP data base
Only data as recorded in CERCLIS will be recognized by Headquarters for SCAP tracking,
planning and evaluation purposes. This includes information used for budget formulation, the
workload model, setting of annual and quarterly targets and other national information needs. No
monies will be issued to the regions through the Advice of Allowance process unless
the appropriate obligation and commitment data are reflected in CERCLIS.
f
REMEDIAL RESPONSE OUTYEAR PLANNING
When a site is proposed as a candidate for a RI/FS start, regions must submit a schedule for the
core remedial activities (RI/FS, Remedial Design (RD), Remedial Action (RA) and RA start post-
SARA) and core enforcement activities (PRP search, RI/FS negotiation, and RD/RA negotiations).
Where better data are not available, regions should use the standard timelines provided in the manual.
As better information on project schedules becomes available, regions should update their SCAP data
m CERCLIS. Keeping Ac data current in CERCLIS is a continuous process that is particularly
important for outyear budget planning, the workload model, regional evaluation, and SCAP/SPMS
target setting.
THE BUDGET PROCESS
The budget planning process begins a year and a half pnor to the start of the fiscal year. In
February 1989, regions will begin planning for major remedial dollar expenditures, as well as
expenditures for key enforcement actions, in FY91 To project the FY91 budget, regions must review
core activity schedules for projects expected to begin in FY91. Since Fund-financed RAs play such a
major role in the Superfund budget, it is crucial that these projects are identified and reasonable cost
estimates derived using the draft Feasibility Study (FS), the Record of Decision (ROD) or Cost Of
Remedial Action (CORA) Model estimates
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OSWER Directive 9200 3-01B
FY89 BUDGET
The Superfund budget for FY89 contains cuts from the levels the Agency requested. As a
result, each region was given a preliminary budget by program area. The majority of the regional
remedial budgets were established based on the Rl/FS full funding initiative and die RA budget
reduction strategy. In FY89 die implementation of the RI/FS full funding initiative resulted in full
funding for all ongoing RI/FS that will result in a remedial action in FY90 or FY91. The remaining
ongoing projects in FY89 were incrementally funded to the amount needed to keep them going through
the year. In addition, all new RI/FS starts in FY89 were funded at least $500,000. The national goal
for these RI/FS is an average cost of $750,000 per project and $1,100,000 per site. Regions are
responsible for managing their RI/FS projects within the fixed budget established during negotiations.
The FY89 budget strategy for remedial actions is to fund these projects as they are ready to
proceed. This strategy will be re-evaluated during the mid-year negotiations and may result in
adjustments in funding between regions.
Regional activities must fall within the final negotiated budget levels. The regional Advice
of Allowance will not be issued unless the approved planned obligations,
commitments and actual obligations are within the annual budget and the RI/FS data
are within the established ceiling.
SCAP FINANCIAL PLANNING AND THE REGIONAL ADVICE OF ALLOWANCE
The SCAP financial planning process is the mechanism which drives the quarterly AOA issued
by the Office of the Comptroller. The process for issuing the AOA begins four weeks pnor to the start
of each quarter when planned site and non-site specific obligation data are pulled from CERCLIS and
reviewed by Headquarters Using this information, the official AOA request is prepared and sent to
the Assistant Administrator for review and approval. The final step in the process is the issuance of
the AOA to die regions by the Office of the Comptroller at the beginning of the quarter.
OERR and the Office of the Comptroller are continuing to discuss the Advice of Allowance
structure Regions will be informed if a change in allowances will be implemented. Currently, the
allowance structure will not be changed from FY88 and the Office of the Comptroller will issue die
following five allowances to the regions
RA (site specific);
RD (site specific);
jĞ
Other Remedial;
Removal; and
Enforcement
The other remedial allowance includes Rl/FS and sue specific and non-site specific program
and project support activities and oversight of Potentially Responsible Party (PRP) RD and RA
projects. When the other remedial allowance is issued, a ceiling will be placed on die funds that can be
obligated for new or ongoing RI/FS projects This ceiling cannot be raised widiout HQ approval.
Regions have die flexibility to move funds within the other remedial AOA and RI/FS ceiling.
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OSWER Directive 92003-01B
FOCUS OF THE SCAP PROCESS THROUGH THE YEAR
Current fiscal year planning information must be updated regularly by the regions through
CERCLIS, especially since this information is used by HQ to issue the quarterly regional Advice of
Allowance. Routine changes in planning information, i e., those that do not require a target or budget
change, can be made by the region without HQ involvement In recognition of this, the cycle for
formal negotiations with HQ has been reduced to twice a year. During these formal negotiation time
periods, current year issues and problems will be discussed, as well as schedules and budgets for
future fiscal years. States should be consulted prior to negotiations to ensure an integrated and
coordinated EPA and state effort The focus of regional responsibilities during the formal SCAP
update/negotiation periods are outlined in Exhibit ES-2.
As part of die mid-year assessment HQ will closely evaluate the status of the remedial actions
scheduled to begin during FY89. The evaluation will focus on those remedial actions scheduled to
begin in the third and fourth quarters and the funding levels required. Based on die results, the
remedial action funding strategy may be revised and adjustments may be made within and between
regional remedial action budgets. The fourth quarter SCAP update is the most important planning
event of the year. This update will yield final SPMS targets and will set each region's annual budget
for the upcoming year In addition, commitments made during this update will be the basis of final
regional FTE distribution.
EXHIBIT ES-2
SCAP PLANNING YEAR
SECOND QUARTER (FEBRUARY 1999)
Update and negotiate planning information in CERCLIS for the third and fourth
quarter FY89
* Review slippage in FY89 targets for development of action strategies
* Reassess the remedial action funding strategy
ğ Negotiate preliminary SCAP/SPMS targets and measures for FY90
with HQ and the regions
Determine preliminary FY90 FTE allocations based on the
preliminary targets and measures
Provide complete site schedules including planned RA obligations to
allow HQ to project the outyear budget (FY91)
FOURTH QUARTER fJULY 19X9)
Establish final SCAP/SPMS commitments for FY90
Finalize resources for FY90
Set FY90 annual regional budget
ACCOMPLISHMENT REPORTING
Data on accomplishments will be pulled from CERCLIS by Headquarters on the fifth working
day of each month.
Monthly data will be used in reports to the Assistant Administrator, Congress, the public, etc,
on the progress of die Superfund program This is also the information that will be used for calls to
the Regional Administrators regarding progress on the key indicators tracked in the Assistant
Administrator's pro-active memorandum. Formal accomplishment reporting for SPMS and SCAP
purposes wi|l be pulled on the fifth working day of each quarter. This information will be used to
evaluate regional progress toward meeting SCAP and SPMS targets and submitted to the Office of
Management Systems and Evaluation (OMSE) for reporting SPMS accomplishments.
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OSWER Directive 92003-01B
The major regional responsibilities during the accomplishment reporting phase are shown in
Exhibit ES-3.
EXHIBIT ES.3
ACCOMPLISHMENT REPORTING PHASE
REGIONAL RESPONSIBILITIES
Reconcile financial data in CERCLIS with data
transferred from FMS
Ensure accomplishment information in CERCLIS
is current
Perform QA/QC procedures on SCAP and SPMS
data in CERCLIS
SCAP/SPMS AMENDMENTS AND ADJUSTMENTS
SCAP incorporates flexibility into the planning process through the adjustments and
amendments mechanism which allows the regions to change their plans during the year. Amendments
are changes to the SCAP which meet the conditions shown in Exhibit ES-4.
EXHIBIT ES.4
AMENDMENT CONDITIONS
Change a quarterly or annual SPMS or SCAP
target
Increase the region's annual budget
Change an Advice of Allowance or increase
the RI/FS ceiling in the other remedial Advice
of Allowance
Adjustments are any other changes to die SCAP during the fiscal year. Regions may adjust their
SCAP plans without Headquarters approval. SCAP amendments must be approved by the OSWER
Officer Director. SPMS amendments must be approved by the AA SWER.
Regions are responsible for maintaining the CERHELP Targets and Accomplishments file to
reflect SCAP adjustments. Regions will not be allowed to add or delete sites from this file, only
changes will be allowed. However, the site-specific CERCLIS records should be updated when a
SCAP or SPMS amendment is requested.
ES-6
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OSWER Directive 9200 3-01B
PROGRAM MANAGEMENT AND ASSESSMENT
The Superfund program management and assessment strategy has four components as shown
in Exhibit ES-5.
EXHIBIT ES-5
MANAGEMENT/ASSESSMENT
STRATEGY
Assistant Administrator monthly
progress reviews
Quarterly reviews with mid-year and
end-of-year assessment and the
development of action strategies for
slipping targets
1 OSWER reviews, which include regional
self-evaluations and on-site review
1 Special studies
Together these components give program managers regular opportunities to inmate changes in program
operations, examine program accomplishments, raise issues that have an impact on performance, and
reallocate resources or provide technical assistance to influence objectives
Regional and HQ responsibilities for implementing and conducting the program evaluation
strategy process are shown in Exhibit ES-6.
EXHIBIT ES-6
IMPLEMENTATION
REGIONAL
RESPONSIBILITIES
Meet quarterly SCAP and SPMS targets and
solve performance problems when they anse.
Provide quarterly SCAP and SPMS data to HQ
through CERCLE
Maintain CERCUS data quaky at high levels
for Superfund program and project management.
Prepare Sdf-Evahiadons and participate m
OSWER On-Site Reviews
Provide
of qualitative
negotiate perfonnance standaius that provide
individual accountability for quarterly targets.
Develop action strategy to recoup dipping
targets.
RESPONSIBILITIES
HEADQUARTERS
RESPONSIBILITIES
Provide guidance to the regions for preparing
the quarterly review, and the OSWER
On-Site Review
Review regional Self-Evaluation and participate
in OSWER On-Stte Reviews.
Review quarterly data reported by the
regions
Negotiate action strategies with regions for
recouping slipping targets.
Recommend resource re-allocanons based on
regional needs and performance.
Implement and report on follow-up action
items from the OSWER On-Site Review,
Superfund quarterly reviews and mid-year
assessment and track regional implementation.
Assure that all staff are informed of the
results of quarterly reporting and OSWER
reviews
In summary, the FY89 SCAP Manual encompasses many new or revised program
management policies, processes and procedures In order to acquire a more in-depth understanding,
the manual itself should be read.
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OSWER Directive 92003-01B
CHAPTER I - INTRODUCTION
OVERVIEW
FY89 is a vital year for the Superfund program. By October 1989, the Environmental
Protection Agency (EPA) will be three years into the five year Superfund Amendments and
Reauthonzatton Act (SARA) and will be facing the statutory deadline for commencement of 175
remedial action (RA) starts and the 275 Remedial Investigation/Feasibility Study (RVFS) starts. In
addition, the pipeline for meeting the subsequent 1991 deadline for starting another 200 RAs must be
well underway. Regions will need to use the wide range of settlement authorities provided by SARA
to compel Potentially Responsible Party (PRP) response. Where this is not achieved, prompt cost
recovery actions should be initiated. Removals will need to be undertaken for "classic emergencies"
first and then for time-critical removals at National Pnondes List (NPL) sites where the removal will
lead to deletion. Furthermore, SARA mandates that the Agency perform all site inspections (Sis), by
January 1989, where preliminary assessments (PAs) have shown that they are warranted While this
goal will not be attained, the Agency must continue to work steadily towards accomplishing high
priority Sis in a timely manner. In addition, Superfund must implement the revised Hazard Ranking
System (HRS) during this time
To meet these statutory deadlines and program priorities, the program management philosophy
for FY 1989 must emphasize rapid decision making and a bias for action. Program actions need to
be directed towards achieving and exceeding program targets. Problems in meeting targets should be
confronted and dealt with in a purposeful, problem solving manner. Regions must use their initiative
and develop solutions to performance problems as they are encountered.
Take Action
Regions should concentrate resources on projects where progress can be made toward meeting
the statutory and program goals, shifting them as necessary from lower priority projects. Wherever
possible, regions should attempt to streamline the Rl/FS process and avoid producing unnecessarily
detailed analyses. There are no "perfect" remedies, and site conditions can deteriorate while searching
for such a remedy or striving for unanimity Regions should try to maximize PRP settlements and
encourage states to take the lead responsibility for response activities at sites as a means of extending
Agency capabilities.
Make Decisjgnsjjffit Lead to Targeted Accomplishments
The key to meeting program targets is to make decisions. Often in this program there are
difficult problems for which there are no easy answers. Decisions may be unpopular or difficult to
make. Nevertheless, the need to progress toward program goals means that these decisions must be
made. In spite of the complexity of the remedial and enforcement processes, the statutory mandates
under which the Agency operates, and the desire for consensus, necessary decisions must be made so
that the projects can move forward.
Headquarters/Regional Partnership
The regions alone cannot implement the strategy outlined in this guidance. The strategy is a
Headquarters/regional partnership In order to facilitate the achievement of performance goals,
Headquarters (HQ) is prepared to
Focus added resources on regions that are meeting their targets and can help
make up national shortfalls, and
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OSWER Directive 9200 3-01B
* Provide assistance and focus attention on regions that are having problems
achieving their performance targets.
The demand for rapid action must be coordinated with other program requirements. HQ will
help to prioritize competing demands. Similarly, HQ will assist the regions in making tough decisions
and will support them in the choices that are made.
SUPERFUND COMPREHENSIVE ACCOMPLISHMENTS PLAN
The Superfund Comprehensive Accomplishments Plan (SCAP) process is used by the
Superfund program to plan, budget, track, and evaluate progress toward Superfund site cleanup The
SCAP planning process is a dynamic, ongoing effort that has a significant impact on Superfund
resource allocation and program evaluation Planned obligations and Strategic Planning and
Management System (SPMS) targets and measures are generated through SCAP and influence the
Superfund budget and evaluation process SCAP planning is a day-to-day responsibility of the
regions. A semi-annual process has been established through which HQ and regions formally
negotiate plans for the future The Comprehensive Environmental Response, Compensation, and
Liability Information System (CERCLIS) serves as the conduit for the SCAP process. CERCLIS
provides both HQ and regions with direct access to the same data. Reports can be produced allowing
for daily, interactive updates of planning and site cleanup progress information.
Background
The SCAP process is crucial to Superfund program planning, tracking, and evaluation. As the
Superfund program's central planning mechanism, it is interrelated with all Agency and Superfund
program specific planning and management systems, such as the Agency Operating Guidance, the
Superfund budget, SPMS, and the Superfund workload models. The Agency Operating Guidance
defines Superfund goals for the upcoming year. SCAP targets/measures are designed to reflect the
Agency Operating Guidance. In some cases, new SCAP categories are developed, or the projections
for SCAP activities are adjusted to match the Agency's goals.
Most of the Superfund program's budget is based on the SCAP. The budget is developed 18
months prior to the fiscal year being planned. For example, the SCAP existing at the start of die thud
quarter of FY89 will be used to formulate the FY91 budget The site schedules reflected in the SCAP
serve as the foundation for determining outyear budget priorities, such as the dollar levels to be
requested m the budget and the total level of full-time equivalents (FTEs) to be made available for
distribution through the workload model. Because dollars for Fund-financed RAs and remedial
designs (RDs) dominate Superfund's budget, it is critical that the SCAP identify RD and RA
candidates and projected funding needs.
The Superfund budget provides the basis for the Agency Operating Plan. The Operating Plan,
which is finalized prior to the fiscal year, establishes the funds available to the regions for performing
Superfund work.
SPMS is used by EPA to set and monitor the environmental objectives identified in the
Agency's Operating Guidance for a fiscal year National and regional SPMS goals for Superfund are
established and tracked through SCAP. SPMS targets are a subset of those contained in SCAP.
SPMS targets and measures are reported quarterly by HQ and the regions to the Office of Management
Systems and Evaluation (OMSE) OMSE tracks regional progress toward SPMS goals on a quarterly
basis as part of the overall Agency performance evaluation process.
The Superfund workload models distribute FTEs for each program and region. There are two
Superfund program models, the Site and Spill Response model, which distributes resources for the
pre-remedial, remedial and the removal programs, and the Technical Enforcement model which
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OSWER Directive 9200 3-01B
distributes enforcement FTEs. SCAP plans form the basis for the workload models. The preliminary
and final distribution of regional and program resources for the upcoming fiscal year is based on the
planning information contained in SCAP as of the beginning of March and the beginning of August,
respectively.
The Superfund Progress Report (SPR) is a monthly report of Superfund program
accomplishments to date. SPR information is very similar to and in many cases overlaps with SCAP
information. However, it focuses on site rather than project accomplishments. The SPR is used to
provide information to the press, the public and Congress. It is important that regions keep CERCLIS
data current to ensure that SPR data are current and timely
SCAP Changes Between 1
Significant progress was made at the May 1988 SCAP workshop to simplify planning
procedures and reduce the number of SCAP targets. Overall, the number of SCAP target activities has
been reduced from more than 150 to less than 50 Chapter IV outlines the targets and measures for
FY89. In addition to the changes in targets and measures, many of the definitions for these activities
have been revised. This is also a result of the May SCAP workshop and the SPMS measures
development work done during the creation of the FY89 Agency Operating Guidance.
In the effort to simplify the SCAP planning procedures, a semi-annual process for negotiating
future site-specific activities has been established in FY89 During the second quarter, HQ and the
regions will negotiate the revised SCAP for FY89 and develop preliminary targets and resources for
FY90 During the fourth quarter, these FY90 targets and resources will be finalized.
During the second quarter negotiation cycle, HQ and the regions will perform a mid-year
assessment of the progress being made toward meeting SCAP/SPMS targets. Action strategies to
recoup slipping targets will be developed and resources for the remainder of the year may be
reallocated.
SCAP/CERCLJS Relationships
CERCLIS is the data base that is used by HQ and regional personnel for Superfund site,
program and project management CERCLIS contains the official inventory of Comprehensive
Environmental Response, Compensation, and Liability Act of 1980 (CERCLA) sues and supports
current site planning and tracking functions. In CERCLIS, financial data are integrated with data from
the pre-remedial, remedial, removal and enforcement programs. Pre-remedial, remedial and removal
activities are called "events" in CERCLIS. Enforcement actions are called "activities" SCAP
information is a subset of the site data collected through CERCLIS. Data entry responsibilities and
report retrieval abilities are at the regional level so that regional managers and users play a central role
in maintaining and using the data base. HQ relies on CERCLIS as the sole repository of information
on plans and accomplishments.
CERCLIS consists of two data bases a site-specific data base, CERCLIS, and a non-site
specific data base, CERHELP. The site specific data base contains site, operable unit (OU), event,
enforcement activity, technical and financial information. Each week financial data from the agency-
wide Financial Management System (FMS) are transferred into CERCLIS. The data transferred
include such information as commitments, decommitments, obligations, deobhgauons, outlays,
credits, transaction date, obligating document number and funding vehicle.
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OSWER Directive 9200 3-01B
CERHELP contains information such as SCAP/SPMS targets and accomplishments, Advice of
Allowance (AOA), budget, and information on non-site specific activity. The CERHELP data base
consists of die following separate files:
The Targets and Accomplishments System is the data file used for setting and tracking
SCAP/SPMS targets and measures. Preliminary and final regional SCAP/SPMS
commitments are entered into the system by the HQ SCAP Coordinator. Target data
are updated by the region to reflect SCAP adjustments and by HQ to reflect approved
amendments. Regional reporting of non-site specific accomplishments is also
performed through this system. Data from this system are used in all "official" SCAP
Targets and Accomplishment Reports and are the baseline for regional evaluation.
The AOA file is used by HQ for SCAP budget development and control and for
tracking and reporting the AOA process.
Planning and tracking of non-site/ineident activities and financial data are accomplished
through the Non-Site/Incident Activity system. Regions are responsible for entering
and maintaining SCAP non-site specific information.
Using CERHELP, regions will be able to track planning data and reconcile the site specific
planning in CERCLIS with the AOA and SCAP/SPMS targets. It serves as an important management
tool for regions and HQ.
Additional information including regional responsibilities for CERCLIS and CERHELP can be
found in the CERCLIS Users Reference Manual.
SCAP CHANGE CONTROL PROCEDURES
Stability in the SCAP through the year is essential to the success of SCAP planning and
accomplishment reporting/evaluation procedures. As a result, the following procedures will be
implemented in FY89 to control changes to the SCAP-
Changes (including additions or deletions) to the SCAP targets, measures, definitions,
methodologies or processes must be presented by the Office Director for the program
office proposing the change,
All proposed changes must be sent to the regions and all other program offices for
review and comment prior to implementation;
The decision on whether to proceed with the proposed change must be documented in
writing. If the proposed change will be implemented, an addendum to the SCAP
Manual will be published.
USES OF THE MANUAL
The FY89 SCAP Manual has been expanded to include information and guidelines for regional
staff on Superfund program goals and priorities, the development of planning data, Superfund
financial management, the tracking of accomplishments and the evaluation of regional progress toward
meeting program goals. The FY89 SCAP planning and evaluation process is supported by the
information contained in this manual. Users of the manual must also refer to the CERCLIS User
Reference Notebook for specific guidance on SCAP data coding, entry, maintenance and generation of
SCAP reports.
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OSWER Directive 92003-0 IB
STRUCTURE OF THE MANUAL
The FY89 manual consists of two volumes. The remainder of Volume I contains information
on*
Program priorities and goals;
National information needs;
SCAP targets and measures;
SCAP planning process and procedures;
Financial planning and management; and
Evaluations.
Volume n includes the following Appendices
Appendix A presents the methodologies used to derive the FY90 preliminary targets
and measures;
* Appendix B discusses the applicability of the Freedom of Information Act (FOIA) to
SCAP;
* Appendix C provides a crosswalk displaying the relationship between CERCLIS
Enforcement activities, remedies and events and their corresponding codes;
Appendix D is divided into two sections. Section 1 provides technical definitions for
the SCAP/SPMS targets and measures and Section 2 provides definitions for other
planning activities. A brief description of the planning processes associated with each
definition is included; and
Appendix E is a compilation of CERCLIS select logic flow charts.
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OSWER Directive 92003-01B
CHAPTER TI - PROGRAM GOALS AND EXPECTATIONS
PROGRAM GOALS
The central mission of the Superfund Program is to maximize the protection of human health
and the environment through fast, effective, and efficient cleanup of high priority sites and releases In
oider to fulfill this mission, six overriding goals have been identified*
Address high priority sites and releases first;
Implement effective remedies - those removal and RAs that:
Mitigate the threat to public health and environment for a particular pathway;
Can be implemented within budget, political, and public constraints; and
Typically require a technical remedy, which may be supplemented by
institutional controls.
Achieve efficient implementation of all Program activities;
* Pursue enforcement actions,
Increase the role of others (PRPs and States), and
* Achieve a well managed Superfund.
In reauthorizing the Superfund program, Congress identified a number of specific numeric and
qualitative goals. These mandates will have a significant impact on the FY89 planning and program
priorities. Exhibits II-1 and II-2 on the following page provide the major Superfund goals as identified
by Congress.
In keeping with the bias for action and these goals, each program office in HQ has identified a
series of individual goals for FY89. These goals have been translated into a set of performance
expectations through the SCAP and SPMS process
PRE-REMEDIAL PROGRAM
The goals of the pre-remedial program for FY89 come from the completion goals imposed by
SARA. While the Agency has already met the PA deadline it is likely that the SI goal will not be met.
However, the program must continue to make steady progress toward this goal, concentrating
resources wherever Sis are needed to carry the program forward The pre-remedial program has
established the following additional goals for FY89-
Implement die Environmental Priorities Initiative,
Conduct PAs for all sues within 1 year of their placement in CERCLIS;
Review Sis and NPL listings for Federal Facilities, and
Ensure a smooth transition to the revised HRS
REMEDIAL PROGRAM
The top priority in the remedial program is to balance work at sues with the most senous
environmental or health threats against the SARA mandated deadline of 175 RA starts by October 1989
and the additional 200 RA starts by 1991 As a result, the funding priorities for the remedial program
focus on the construction pipeline and remedial action projects will be funded as they are ready to
proceed This approach will be re-examined at mid-year to determine whether environmentally
significant sites will not be funded due to the timing of the remedial action start at that site and the
budget constraints. Despite the funding constraints, regional progress toward the SARA mandated RA
start goal will continue to be monitored and schedules are expected to be met
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OSWER Directive 92003-01B
A goal shared by the remedial and enforcement programs is to maximize the number of PRP-
lead RDs and RAs. This is especially important as budget constraints in FY89 have led to a reduction
in the total funds available for RA projects. Planned obligations for Fund-financed RDs and RAs can
be used for oversight of PRP-lead activities.
During the past three years, the costs associated with RI/FS at operable units and whole sites
have almost doubled. One of the reasons cited for the escalating costs is the incremental funding of
RI/FS. FY89 marks the second year of a three-year initiative to ensure that no Rl/FS projects are
incrementally funded. The national goal for new RI/FS started in FY89 is an average cost of $750,000
per project and $1,100,000 per site Some projects may obviously cost less and some may cost more.
Regions are expected to manage the size, scope and duration of their projects to ensure that this goal
can be achieved.
EXHIBIT 11.1
SCHEDULE FOR ACHIEVEMENT OF SARA GOALS
SECTION
GOAL
DATE
SARA 116 (a)(l) To the maximum extent practicable, (MEP) EPA shall have
conducted Preliminary Assessments at all sites on CERCLIS
at the time of enactment of SARA.
SARA116(b)
SARA 116 (d)(l)
1/1/88
SARA 116 (a)(2) To the MEP, EPA shall have performed Site Investigations where 1/1/89
PAs have shown they were warranted.
All sites on CERCLIS'al the time of enactment of SARA wiU be 10/90
evaluated for inclusion on the NPL.
EPA will commence at least 275 Remedial Investigations/ 10/89
Feasibility Studies.
OR
EPA will commence 450 RI/FS 10/90
and an additional 200 RI/FS. 10/91
SARA 116 (eXl) EPA will commence 175 Remedial Actions.
SARA 116 (e)(2) EPA will commence 200 additional Remedial Actions.
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EXHIBIT TT.2
QUALITATIVE LEGISLATIVE AND REGULATORY GOALS
SECTION
GOAL
SARA 121(a)
SARA 121 (b)
SARA 121 (d)
SARAHS
CERCLA104(a)
NCP 300 61 (c)
To Hie extent practicable, Remedial Actions shall be in accordance with the
NCP and shall be cost effective remedies.
A preference shall be given to remedies that include, as their principal
element, treatment that permanently and significantly reduces the volume,
toxicity, or mobility of hazardous substances, pollutants, and contaminants
RAs should be protective of human health and environment, cost effective,
and utilize permanent solutions and alternative treatment technologies or
resource recovery technologies to the maximum extent practicable
Applicable or relevant and appropriate Federal standards and more stringent
State standards must be attained in CERCLA cleanups.
High priority for remedial action shall be given to sites at which the drinking
water supply has been contaminated.
Primary attention in response actions should be given to public health threats
In determining the need for and in planning or undertaking Fund financed
action, the lead agency shall engage in prompt response, encourage state
participation in response actions, conserve Fund monies by encouraging
private party cleanups, be sensitive to local community concerns, rely on
established technology, but also consider alternative technology, involve
the RRT .at appropriate stages, encourage involvement, .by industry and
other experts, and encourage involvement of organizations to coordinate
responsible party actions, foster site cleanup, and provide technical advice
to the public
REMOVAL PROGRAM
In FY89, the key goal of the removal program is to ensure that resources are available for time-
cnncal removals and not diverted to less critical removal actions. Regions should prioritize time-
cntical removals in the following order.
Classic emergencies;
Time-critical removals at NPL sites, and
Time-critical removals at non-NPL sites posing major environmental and public health
threats that can not be addressed by other authorities.
Non-time-cnncal removals should be undertaken only as resources allow. Non-ame-critical
removals at NPL sites should be planned and budgeted site-specifically. For all non-time-cntical
removals, regions should involve states and responsible parties to the maximum extent practicable
Enforcement authorities should be tapped to reduce the drain on the removal budget
O-3
-------
OSWER Directive 92003-01B
ENFORCEMENT PROGRAM
The following Enforcement program priorities should be considered in FY89:
Initiating and completing potentially responsible party (PRP) searches earlier and
making them more comprehensive in order to promote more PRP participation in
removals and RI/FS, as well as RD/RA, and to assure effective cost recovery;
Developing Administrative Records for removal and remedial activities;
Referring cost recovery cases, especially where RAs have begun, where removals
(greater than $200K) have been completed, and RI/FS which have been completed
where the statute of limitations is a factor,
Initiating and setting deadlines for concluding RD/RA negotiations including sending
out special notice letters in a timely fashion;
Encourage state enforcement activities;
Making effective use of SARA settlement authorities (e g., mixed funding, and de
mimmis authorities) to maximize PRP lead RD and RA starts; and
Referring Section 106 actions without settlement for RD/RAs, particularly where RA
funds are not available through SCAP (i e, PRP activity sites).
STATE ENFORCEMENT
A major goal of the enforcement program is to encourage state enforcement activity, that is, to
encourage the states to issue enforcement orders and enter into agreements for PRPs to conduct
cleanups. An additional goal is to have these state-lead enforcement sites count toward the 175 RA
starts mandated by SARA. States are encouraged to enter into either a cooperative agreement or other
formal agreement for state action with EPA.
Four criteria have been proposed for state-lead enforcement sites to count toward the 175 RA
starts
The site is on the final or proposed NPL list;
Cleanup is considered consistent with the basic requirements of Section 121;
An enforceable agreement exists between the state and the PRPs; and
The state certifies that substantial and continuous physical on-site work is
being conducted by the PRPs.
FEDERAL FACILITIES PROGRAM
As required by Section 120 of SARA, the Federal Agency Hazardous Waste
Compliance Docket was established in FY88, and is the basis for Federal Facility remedial
activities. At twice yearly intervals, a listing of Federal Facilities submitted to the docket
during the immediately preceding six month period will be published in the Federal
Register. The Federal Facilities Task Force is also working on incorporating the Federal
Agency Hazardous Waste Compliance Docket into CERCLIS.
n-4
-------
OSWER Directive 92003-01B
EPA responsibilities for Federal Facilities include reviewing PAs and Sis submitted
by the Federal agency and determining their adequacy. The anticipated approach to NPL
listing will be for the Federal Facility to prepare the technical reports and organize an index
for relevant MRS data. EPA, through the Field Investigation Team (FIT) contractors, will
prepare Federal Facility HRS packages in FY89. For sites on the NPL, EPA is responsible
for reviewing, awarding and providing oversight of Technical Assistance Grants.
Comprehensive guidance for EPA involvement in Federal Facility activities in FY89 will
be developed once the status of docket subrmttals and the associated workload is accurately
determined Currently, the regional effort will be to coordinate activities, carefully QA/QC
the final HRS package, and resolve any outstanding issues.
Not later than six months after the inclusion of any Federal Facility on the NPL, the
Federal agency responsible for the site, after consultation with EPA and the state, will
commence woric on an RI/FS. A timetable and deadlines for expeditious completion of the
RI/FS will be published by EPA or the appropriate state authorities.
Within six months of completing the RI/FS, EPA will enter into an IAG with the
responsible Federal agency which requires the expeditious completion of all necessary
remedial action at die listed facility. Commencement of remedial action will take place no
later than 15 months after the completion of the RI/FS.
Entering into enforceable agreements, preferably Section 120 lAGs, is one of the primary goals
of the Federal Facility enforcement program. The Task Force has recently entered into national model
agreements with DOD and DOE which should facilitate site-specific negotiations. In the absence of an
IAG, regions should consider alternative enforcement strategies such as issuing Section 106 orders,
Section 3008(h) orders, orders to government owned/contractor operated facilities and publishing
enforceable timetables and deadlines for remedial activity
CHEMICAL EMERGENCY PREPAREDNESS AND PREVENTION
PROGRAM
The main goal of the Chemical Emergency Preparedness and Prevention Program
(CEPP) is to prevent and prepare for chemical accidents. The program's authorities are
CERCLA and the Emergency Planning and Community Right-to-Know Act of 1986, also
know as Tide IH of SARA. CEPFs FY89 SPMS measures focus on key activities to meet
the above goal These include:
State Implementation Memoranda (SIMs) which are joint agreements
between the regions and the states which lay out their fundamental roles in
implementing the program and describe joint activities for each fiscal year;
EPA-assistance or training in chemical emergency preparedness, prevention
or community nght-to-know;
EPA-assistance with emergency simulations; and
* Accidental Release Information Program measures aimed at gathering and
analyzing information on accidental releases and prevention methods and
cr
H-5
-------
OSWER Directive 92003-01B
Whde-the statutory deadline for completion of contingency plans under Title, in is
October 17,1988, (first quarter FY89), it is expected that not all 3,800 plans will he
entirely complete by this date. Further, plans must be reviewed, revised, and updated at
least annually. Regional Response Teams (RRTs) may also review plans:
s} ^ >' ' * ' . ^ , - I ' L
" i , '- > ^ ' J ~ '
Earthquake and National Security Emergency Preparedness programs ,^
^ ' * ~ ^ ~ ' ^f """i"1
The plan, for Federal response to a catastrophic earthquake was mandated by the -
Earthquake Hazards Reduction Act The plan, which ia being developed by 25 Federal
departments and agencies and is coordinated by the Federal Emergency Management
Agency. (FEMA), is an effort to improve Federal, state** and local preparedness and;
response to a catastrophic earthquake. EPA's, responsibility in plan development is to ad.
as the primary agency for Emergency Support Function (ESF) #10, ---"Hazardous < ,
Materials", and as a support agency |o other ESFs. Each EPA region which has ajugh-
risk, high population area for a catastrophic earthquake within its boundaries must develop
a risk-area specific, hazardous materials annex to die multtragejicy regional response plar*
which operationally identifies how the agency and its support agencies would respond to
multiple hazardous material incidents, including radiological incidents; during a
catastrophic earthquake In regions containing more than one catastrophic risk areavrisk-
area specific sub-plans are necessitated. Each region shall also participate in earthquake
exercises, simulations, workshops, planning sessions and othef similar earthquake"
preparedness activities. ,
K r
... , The purpose, of the National-Security Emergency: Preparedness Program j& to
ensure the-pifformance o£ essential functions of the agency uithfr event of a national' -
security emergency EPA's responsibilities areouthnedin Executive Order, 1149Qand
related directives Each region is required to establish and maintain a designated team of
personnel for such events, participate in EPA, FEMA or other agency sponsored planning
sessions, workshops, trainin&and exercises, and assist in prepatrng^gnutfswpppri ;.
materials.
H-6
-------
OSWER Directive 92003-01B
CHAPTER in - NATIONAL INFORMATION NEEDS
The focus of this chapter will be the major recurring Superfund information needs and the
related regional CERCLIS data entry requirements supporting those needs. It will identify and explain
management's individual data needs, such as: quarterly SCAP accomplishment reporting; semi-annual
SCAP and budget planning; the monthly SPR; monthly progress reporting on the " 175"; and
preparation of senior management briefings. It will also list specific data elements needed to support
each of these activities. In the past the primary use of CERCLIS has been in support of budget and
SCAP planning, SPMS reporting, and the allocation of resources. In the future the Agency will
continue all of these activities and will be increasing the use of CERCLIS as a tool for ongoing
program management This will mean that actual site and incident status data must be entered more
frequently than was previously necessary. While it is strongly recommended that actual
accomplishment and current planning data both be updated as an action occurs (on a real-time basis),
other non-recurring information requests, such as FOIAs, will be taken from data required for other
program management purposes.
Although this chapter is soil under development, several specific requirements that must be met
on a continuing basis have been identified. These requirements include.
AA Monthly Briefing - Information on ROD, RD and RA events as well as Section 107
referrals, consent decrees and RD/RA negotiations.
175 RA Start Tracking - All relevant information regarding the start of RA, ROD and
RD events, including dates and indicators, must be updated monthly in CERCLIS.
RTS Report - The Removal program will be publishing a widely distributed monthly
report. Removal event dates, descriptive text, and technical qualifiers will have to be
kept current to support this effort
SPR - The public SPR will necessitate a monthly update of event dates and flags used
in the report
IH-1
-------
OSWER Directive 92003-01B
CHAPTER IV - TARGETS AND MEASURES
ROLE OF SCAP
SCAP and SPMS targets are the key device by which program goals are translated into
quantifiable program achievements. Specific targets are negotiated by HQ and the regions and regions
commit themselves to achieving these goals. SCAP and SPMS targets therefore play a central role in
achieving program goals and should not be seen as only a method for allocating resources They
identify performance expectations for the regions, and regions are expected to concentrate their
resources on achieving these targets.
SCAP/SPMS TARGETS AND MEASURES
A SCAP or SPMS tijigst (either quarterly or annual) is a pre-determined numerical goal that is
established prior to the fiscal year the designated activities will take place. All SPMS targets are SCAP
targets. An example of a SCAP and SPMS targeted activity is a first RJ/FS start Annual budgets and
resources are allocated based on SPMS and SCAP targets. In addition, regions are evaluated on a
quarterly basis according to their completion of activities with established targets.
A SCAP or SPMS measure, on the other hand, is used to track an activity that is important in
monitoring overall program progress. The two types of measures are SCAP planning estimates and
SPMS reporting. Planning estimates result in numerical goals being established prior to the fiscal year
(e g., RD completions) which are used in setting annual budgets and full-time equivalent (FTE) staff
allocations. Regions report progress against the planning estimates. SPMS reporting measures have
no associated quantitative goals; only actual accomplishments are tracked (e.g., AOs for PRP
response).
SCAP/SPMS Targets and Measures for FY89 are identified in Exhibit IV-1. As a result of the
May 1988 SCAP Conference, a large number of the FY88 SCAP targets and measures have been
changed for FY89. Some activities which were SCAP targets in FY88 are SCAP measures in FY89
(e.g, RD completions). In other cases, first and subsequent activities which were targeted separately
in FY88, have been combined in FY89 (e g., RA completions). And, finally, activities which had
separate program lead SCAP targets in FY88, have a combined program FY89 SCAP target (e g,
RI/FS starts). The SCAP/SPMS targets for RA starts were not revised and targets are still established
on a program specific basis. However, the takeover of an RA by the PRPs or the Fund will result in an
increase and/or decrease of the appropriate program's SPMS targets The combined program quarterly
or annual target will not change. As a result of these changes regions should review the SCAP/SPMS
Targets and Measures tables and the Definitions and Planning Requirements in Volume n prior to
finalizing their FY89 SCAP.
IV-1
-------
OSWER Directive 9200 3-0IB
EXHIBIT IV-1.
SCAP/SPMS TARGETS
ACTIVITIES
Pre.Remedial
' Preliminary Assessment (PA) Completions ~ ,
Screening. Site Inspection (SSI) Completions -
EnvwnnmMitel PnrğnfMğc TnĞti^nvf> Slips
. with completed PAs and SSI
Remedial Investigation/Feasibility Study (RI/FS)
First RI/FS Starts
Subsequent RI/FS Starts
RI/FS To Pubhc
First RI/FS Completions (ROD)
Subsequent RI/FS Completion (ROD)
- Final RWS Completion (ROD)
Remedial Design (RD)
, First RDtStart
Subsequent RD Starts -
Final RD Start -
Remedial Acuon (RA)
First RA Start -RP
First RA Stan -Fund
Subsequent RAStart-RP
Subsequent RA Start- Fund-
Final RA Starts RP ,
Final RA Start -Fund
NPL Sites with RA Starts PbsL-SARA
Final RA Completions
Deletion Initiated
Removal
First NPL Removal Stan
Subsequent NPL Removal Start ' -
NPLiRentoval Completion* < -
Non- NPL Removal Stan, ,n<
,Non-NPL Removal Completion
Enforcement "_ ' '
' > -. i
, ConchisiQn.of RD/RA.Negotiations.
; AdininistraaveCoslRecQverySettlements
Section 106 RD/RA Referrals/Orders * "
'-with settlement' > ' . i --
without settlemen>{ğchğdes undateratordert>-
Secuon 106 Case Resolution- i ><- . >
Section 107 Cost Recovery Judicial Setdement
Section 107 Cost Recovery Referral Actions
(>$200,000)
- Removals
- Remedial Acuon
Federal Facility
First RI/FS Completion (ROD)
NPL Sites with Interagency Agreements
SPMS
TARGET
i XT
X
1
X
X
x---
X
x
JL-
X
X-
. ' r
x.
X ,
x, -
J"'TL
X
X i
X
- ,
'
*
X-H
, X
'*"' i ,
X
X
X
X
SCAP
TARGET
*
X
r, X ,
- ' ' '
^x
j -
X
X
X
X
X
1 ,X
X
. X,
X
' X cr N
X
X
i X r
x/
X'
X
X
-' X
X'
. Xr
x.
V J
* rr
* \ , l
x,,
- ox^r.
'vX :
I X_
x
X
X
X
X
QUARTERLY
TARGET
X - *
X ,
sr ; -
.
x
X
X
x -
X
X
r1 -> X? "
, X.
X"
* x
X -
r. ^f.
Ac J Vğ
x.:
V Xf
_ X
x
J ' ''X~
X
T
jD r
* ) /Ğ -
ij
U j ' ,.
^ i ,
X- -
i X"-//
! Xli1""'
f ' Xp
"
X
X
X
X
ANNUAL
TARGET
j'
" X *
X
X
X
..Ğ x
x
X
X
J
X - .
^x
f^x, , .
X
X
. - -X7
- "*. '
-ğ X
H X
X
X'
X
" ' -X
'_}?* nX- '
- -i iX-~'
X
-------
OSWER Directive 9200 3-01B
EXHIBIT IV-2
SCAP/SPMS MEASURES
ACTIVITIES
Pre-Remedial
TT-PA/SI Completions
State-PA/SI Completions
Sites with LSI Suits
Remedial
ID Completions
(A Completions
Deletion - Fund
Deletion - PRP
Removal
sfPL Removal Completions
NPL Removal Deletions
Enforcement
NPL PRP Search Start
Non-NPL PRP Search Start
NPL Sites with Completed
PRP Searches
Non-NPL Sites with Completed
PRP Searches
Administrative Orders for Removals
RI/FS Negotiations Start
RI/FS Negotiations Complete
RD/RA Negotiations Start
Section 1067107 Referrals
Removal
Remedial Action
Section 107 Cost Recovery/Settlement
Federal Facilities
*A Completion
SI Completion
Final ROD
NPL Sites with RA Start Post - SARA
Oil Snill Activities
SPCC Inspections/Reviews
Clean Water Act Funded Oil Spills Cleaned
Up by EPA
On-Scene Monitoring of Oil Spill
Responses
SPMS
REPORTING
X
X
X
X
X
X
X
X
X
X
X
X
SCAP
PLANNING EST
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
QTRLY
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
ANNUAL
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
r*
ĞCS,
IV-3
-------
OSWER Directive 92003-01B
CHAPTER V - SCAP PLANNING PROCESS A PROCEDURES
Beginning in FY89, HQ/rcgional SCAP negotiations will occur on a semi-annual basis in
February and July. This change in the SCAP process is intended to take advantage of die greater
flexibility provided through die regular use of CERCLIS as a management planning tool.
It should be noted, however, that the shift to twice yearly formal updates and negotiations in no
way changes the regional responsibility for frequent and timely updates of CERCLIS. SCAP related
planning and accomplishment data serve many functions including SPR, SPMS, FIE allocation,
budget development, AOA issuance and reporting to Congress. Some of these have reporting cycles
and information needs that are far more frequent than the semi-annual SCAP negotiating cycle.
Because of those interdependencies it is critical that regions keep all SCAP information current and
update all CERCLIS and CERHELP data bases regularly.
PROGRAM MANAGEMENT PROCEDURES
This section describes the information flow and HQ/regional responsibilities associated with
the FY89 Superfund planning process
HQ responsibilities include
>dated preliminary and final SCAP/SPMS targets and measures and site
back-up in the CERHELP Targets and Accomplishments data file;
Updating the numbers and site back-up in the Targets and Accomplishments data file to
reflect approved amendments to the SCAP throughout the year,
ğ Entering preliminary and final budget data in the CERHELP Budget Control/Advice Of
Allowance (BC/AOA) system,
Determining the AOA based on SCAP planned activities in CERCLIS,
Entering and maintaining AOA data in the CERHELP BC/AOA system; and
Responding to regional requests for changes in plans through the amendment and
change request process.
Regions have complete responsibility for maintaining CERCLIS and selected portions of the
CERHELP data base. At a minimum this requires
For sites which are beginning the RI/FS in the current or next fiscal year, planning and
scheduling all events and enforcement activities through the NPL deletion process,
Keeping SCAP planning data current;
Updating the site back-up in the Targets and Accomplishments data file to reflect
adjustments to the SCAP throughout the year,
Reporting accomplishments as they occur;
Reconciling CERCLIS financial data with FMS;
Entering and maintaining quarterly planning and accomplishments reporting for non-
site specific activities, and
* Preparing SCAP amendments and change requests.
The regional Information Management Coordinator (IMC) is a senior position which serves as
regional lead for all Superfund program and systems management activities. The IMC serves as the
liaison between the Waste Management Division and the Environmental Services and Management
V-l
-------
OSWER Directive 92003-01B
Divisions. The following lead responsibilities for regional program.planning and management rest
with the IMC:
Coordinate SCAP/SPMS planning, development and reporting;
Ensure regional accomplishments are accurately reflected m CERCUS;. . .. -
Reconcile FMS data transferred into CERCLIS; - J<
Provide liaison to HQ on SCAP/SPMS and program evaluation issues,
~ Coordinate regional evaluations by HQ; and - -
>' Ensure that the quality of CERCLIS data are such that accomplishments-and planning
dam can be accurately retrieved from the system: -
OVERVIEW OF THE SCAP PROCESS. - *,...-
The SCAP process generates data that fulfill the following functions:
^ T ' > 1
Tracking of accomplishments against targets/measures,
* - Updating planning (schedules and funds) for the current fiscal year; y -*
Developing planning data for the upcoming fiscal year; and i >' - - .
Providing data for outyear budget planning purposes.
It is essential that SCAP data remain current and up to date and that accomplishments be
reported as soon as they occur Planning information should be reviewed on> at least a weekly basis
and information updated as necessary. - ^ '_
However, as noted earlier in this document, the SGAP formalnegotiattoacycle has been
changed to a semi-annual process; The focus of the two formal negooatutas is slightly different.
Exhibit V-l indicates the significant differences between the February and July negotiating sessions
- - ' * J Y } - 'I
EXHIBIT V-t , . --.; ,
SCAP PLANNING YEAR
r, SECOND QUARTER^ /FEBRUARY^ 1989V ~ ,. ,
* Update and negotiate planning information in CERCLIS for the third and fourth
, quarterFYSft , ., , j
_ ^ -t Review shppage-in FY89 targets for development of actiqif stratcgie^ -
Reassess the remedial action funding strategy . _. - - ~\
Negotiate preliminary SOVP/SPMS targets and me^iros fofFygftVX ;
with HQ and the regions " - ,'" >-=.,^ T ^
* DetennmeprelirninaryFY90FTEallocations based oathe ^ ^--. '^
preliminary targets and measures j --',," ^
ğ Prayide complete, site schedules including plannedRA obligations.to ' -7
""" allow HO to project the outyear budget (FY91), . j . -, /^.^
FOURTH nilARTF.R flULY 1989>
rmalize resources
u Set FY90 annual regional budget
V-2
-------
OSWER Directive 9200 3-01B )
i
The fourti?. quarter SCAp planning cycle is important because of its direct impact on the
upcoming fiscal yeaVs* budget Regions, are required to manage their funds-and operate within the
annual budget established during the fourth quarter update Funds within the region's budget must be
reprognmamedto.meet unexpected contingencies. ^ < . ^. -''l
During the second) quarter negotiations; if there are issues that were not fully-resolved, or if
there are activities that are significantly behind schedule* HQ will consider shifting funds between
regions.. At this time also HQ willj closely evaluate the status of the remedial actions scheduled to begin
in FY89. The evaluation will focus on those remedial actions scheduled to begin in the third and
fourth quarters and the funding levels required. Based on th&resuhs, the remedial action funding
strategy may be revised andi adjustments may be maderwithin and; between regional remedial action
budgets. Any decision to shift funds wiH be based on need and the expectation* that the region has the
ability to imprpve Agency-wide achievement of National targets,, <,. > ; -i j
' j * , ' >; U J" '
, , - , ' 1 t *'-*'"''--' ~ Ğ
PROCEDURES fOR ANNUAL TARGET- SETTING - * " -, .
1 , J ' *3 "" "
The process for the development of a fiscal year's SCAPand. SPMS targets/measures begins
with the SCAP developed during the second quarter of the previous fiscal year Preliminary
targets/measures for the upcoming fiscal year are set by early March and used to denve the preliminary
FTE allocations for the coming, year All targets/measures ate negotiatedarid numbers are established
only after discussions'between Office of Emergency and Rcmediat Response (0ERRX Office of Waste
Programs Enforcement (OWPE)j and the regions, Final SCAP and SPMS targets-are set in the fourth
quarter SCAP which is finalized in August Final targets/measurer also irrvolve-HQ/regional
negotiations. - u , _->"'
The procedures, for target setting for the upcoming fiscal year are: as follows;; ğ <'
J U . ...,*-.* - 0 ' ' .
* At the beginning of the second quarter HQ sends to the regions initial targets and
planmng,estimateğ based on the SCAP Methodologies {SCAB Methodologies for
FY90 are presented in Appendix A)< _j T ^^ -- .",. -
,j ^, .' '
Regions will respond to proposed SCAP targets/measures through CERCLIS within
the tiineframes established for the second quarter SCAPTiegooations. To adequately
plan for the yea^ a region must make decisions on the status of
-------
OSWER Directive 92003-01B
HQfregional negotiations occur during the second quarter (A separate negotiation
schedule is sent to the regions). Action strategies developed for current year
performance problems are a factor in the negotiation of targets and measures.
Draft final targets/measures are set after completion of the negotiations in early March.
In preparation for the fourth quarter SCAP negotiations, regions must not only make
decisions on die status of projects but must also anticipate funding needs. States
should be consulted to ensure that state-lead activities and state funding needs are
accurately reflected in SCAP. Those sites which have the greatest likelihood of
requiring funding during the fiscal year that are within the region's budget allocation
should be identified by placing "Approved" (APR) in the Funding Priority Status field
in CERCUS. "Alternate" (ALT) projects are a pool of projects which are moving
towaxd the point of obligation. As with primary and alternate SCAP/SPMS targets and
measures, alternate projects may be substituted for approved projects which experience
slippage or are deferred due to changing priorities. For all events (RI/FS, RD, RA)
scheduled to begin during the fiscal year, the "APR" funding status can only be placed
on funds for sites which are coded as "P" SCAP/SPMS targets. For example, only
RI/FS starts that are primary SCAP/SPMS targets will receive funds. (See Exhibit V-2
for an example of the use of the funding priority status field.)
Based on the fourth quarter SCAP reflected in CERCUS and CERHELP, a second
round of negotiations is held to finalize the targets and planning estimates and the
regional budget At this time, only minor changes to targets and measures developed *
during die second quarter should occur. These negotiations are conducted in July and
final targets, measures and associated budgets are in place by early August
Any changes that result from the negotiation of preliminary or final targets/measures
must be entered into CERCUS by the regions.
HQ witt enter preliminary and final commitments including the site-specific back-up
where appropriate into the Targets and Accomplishments file in the CERHELP non-site
specific data base.
A memorandum and a copy of die Targets and Accomplishments report providing final
agreed upon targets and measures is sent to the regions for concurrence.
After regional concurrence, die targets and measures, site back-up, and die regional
budget are sent to die Assistant Administrator for approval in early September. They
are then submitted to die Office of Management Systems and Evaluations as final
SPMS targets and are used for final FTE distribution.
V-4
-------
OSWER Directive 92003-01B
EXHIBIT V-2
PRIMARY VS. ALTERNATE SPMS STATUS AND
"APPROVED" VS. "ALTERNATE" BUDGET PRIORITY
ORIGINAL Pf.AN
SCAP/SPMS
AP/SPMS ActlrlH Site Oo Ert P|aj|
lUUt Iicttt Hung State UUl ZUB Ld Still
First RI/FS Starts
Program
P X
P Y
A "L
TOTALS 2
IA 01 CO1 F at/2
MO 01 COI F 88/4
KS el COI F 88/4
Al.1T.HRn PLAN
SCAP/SPMS Aftlvltl
Target Target
First RI/FS Starts
Program
A
P
P
TOTALS
site
HUDfi State
X IA
Y MO
Z KS
2
Unit
01
01
01
COI
COI
COI
Ld
F
F
F
88/4
88/4
88/2
Actual Funding
Start Statin
ALT
APR
2/09/88 APR
SCAP PLANNING
Regions are required to keep the SCAP data in CERCLIS and CERHELP up-to-date and
accurate. Changes in planning information (schedules and funds) should be entered into CERCLIS or
CERHELP within five days of the RPM becoming aware of the need for the change. If changes affect
a SCAP or SPMS target or measure or the approved funding level for a site, the SCAP/SPMS Target
Status and Funding Priority Status fields in CERCLIS must also be updated.
Semi-Annna) planning Process
As a final check to ensure that SCAP data are up to date, regions should generate SCAP reports
beginning on the first working day of January and June for internal review of the planning data in
CERCLIS and CERHELP. These planning data should reflect any adjustments or approved
amendments made to the annual plan. Regions should note that changes made in CERCLIS to site
schedules and other planning data will not automatically result in changes to SCAP/SPMS targets
Although regions have the flexibility to alter plans, they are soil accountable for meeting the targets
negotiated at the beginning of the fiscal year. (See the section on SCAP/SPMS Adjustments and
Amendments).
On the fifth working day of February and July, HQ pulls the proposed regional SCAP update
which will serve as die basis for HQ/regional negotiations. To ensure consistency in the negotiation
phase, the CERCLIS and CERHELP data bases are frozen prior to pulling the regional reports As a
result, all parties (HQ and the regions) will have identical data for use during the negotiation process
V-5
-------
OSWER Directive 92003-01B
CERCLIS data quality problems which affect the SCAP update are resolved prior to
negotiations. These problems are to be resolved on areg^n-specific basis through telephone calls
between HQ and the IMC
-'".-' ' ,- . !.?*i, >i . JjS
*.2_L ^t!L ">|'_ ' " "" 'i/ __ğ A ilLl<. '
CERCLIS Reports for SCAP PJanninjpATarfet Setting " ' , , f / ;
Exhibit V-3^i^n^th^CERC^$lepĞts used1>yrHQlindth&rc and
>- T, * i - ? !
The SCAP/SPMS Targets and Accomplishments Supim^ry Report fSCAPiMi displays
aggregate quarterly target totals and site back-up by SCAP activity. *
The Event/Activity Summary Report for NPL Sites.(EVAL-15') provides planned
obligations; firsrand subsequent start and completion^ coderand budget source for
events and activities at sites on the NPL.
Non-NPL Site Sumrnaryjteport (SCAP- 1 ) displays n^Oaeorigoing and
completed activities for sites which are not on the cv^^NPUTIqifiprgajibn on PRP
searchevnon-MPL removals, near NEL removal Administrative Gi&rs,~et^. are found
on this report. .
r ' Ih,1
The NPL Site Summary Report (SCAP*2) contains major planned and actual data fon
remedial events and enforcement activities at $ites which are on the IS(PL. f
i ^ n - " *
Ths-FinaRciat-Summarv Repoft^SAP-4rS^agpc)mtoS'doUarğJ>v-progmm area. This
report should be used to compare funding requests in CERCLIS and CERHELP
against the regional budget Site specific backup to the Financial Sqmmary Reoaet fttf
Fund-financed remedial projects is available through the Projected Fund-Financed
^n. - Remedial Protects Report / SCAP-3V. Backup ta the non*site soeeififtfiindingis
ğ / 1 -^ a.vailable,through the SCAP Non-Site/Incident Activity Planning Repoff Qfl thftt - 3 ,Ğ,
'' \t CERUELPmeautKe~ -" . - .>T' " ,,') or iğn rfji* ^JLQi .- .'
r '*'/Ğ, , , r , ' - ,-;-> .T,."-'i-'- :-_t..: ?' -^-"-:/1 vj
The Data Quality Check Repom (DQCK-Uarfcasenea of cdi t repeats? the fegjons^aiy
use to check CERCLIS data quahty Any errors noted in these reports should be
corrected in CERCLIS prior to the HQ deadline for pulling reports from CERCLIS.'
The RI/FS Liability Report was added to the Data QualiQf.Repons.sqgftQntf Tins report
shows FY89 and total project RI/FS funding needs. The report waY used by HQ to
, develop rogionaHU/pS, budgets and the, JU/FS fund|ng^ategy0 Regions caj^vuse this
i report U) develoi>.ihe regional RX/FS budget,; m Ğ -3 Ğn TV <^ w m rt -, , A
r >- ğ' ,~ [. x-'.-i ih ^1.- / --J, r IJ Z*~/L**^ -if, ^ i:\ TO
The TffBPtf^^eMSlPoniRepon; (SCAP-^16) is amalar) ID diet SCAP/SPMS Targets ajijfc
Accompiishments Report and is used fat targat.negeoatiofts. . TTherSCAP?Qags,andr^ ,?
Projected Measures (SCAP-13) will be used for negotiation of SCAP meaauresaadt A
used for budget and FTE allocations
. _ . .
. The Planned S^^ft CVfttoleteSt- Ongoing and QMigattonK Report-fllMVLrl8)^whichĞ/
will be available theJĞgHuun&o£ FY89t wdl
removal pfograBfc- "> - ' . ' 30-^ -
V-6
-------
OSWER Directive 92003-01B
EXHIBIT
PLANNIKftATARflET SETTING
DQCK-1: Data Quality Check Reports .
SCAP-1:- tfon-NPL Site Summary Report ~
SCAP-2: NPL Site Summary Report ' ' -'
SCAP-3: Projected Fund-Financed Remedial Projects ,
Report ; v ,
SCAP-I3?- Projected Plannfyg~E&mates and Projected:
Measures ' :
SC AP- 14 : SCAP/SPMS Targets and Accomplishments
Summary Report^*
JSCAP-15: ____ financial Summary Repon, ____ ___
SCAP-16: TargetiNegotuuion Report
E V AL-15: Event/ Activity SionmatyReportfer NPL Sites
RM VL- 18: Planned Starts, Completions, Ongoing and
Obligations , , , , , 'l^"*
Accomplishment Reporting - - -
Accomplishments data are recorded on. CERCLIS Site Information Forms Formsğ op other regional data f nttysforms and
entered in|p CERCLIS and CERHELP by the IMC or designee Data on accompb4unenqs should be
entered into CERCLIS within five days of the event -~ . * fj '
i
Beginning on the first day t)f each month; regions shouEJ generate SCAFreporfiTfor internal
review. Regions should perform data quality checks and make adjustments to CERCLIS or
CERHELP if the data bases do not reflect actual accomplishments
On the fifth working day of each month; HQ wi^piill data front CERCLIS otri:*ehğcfett'~- -
number of key indicators of progress in the Superfund program (i e., Removals, RI/FS starts, RODs,
RDs, RA, 175 RAs)r These numbers will be the official numbers used for the Superfund, Progress
Report and any reports of progress given to the Administrator,-Assistant Adrhinistraior,' Congress and
the news media. This is also the information that wilt be used for calls to the Regional Administrators
regarding progress on the key indicators tracked in the" Assistant Administrator's jtto-actiye ~'/ '
memorandum. l }'' - ^''"!
.^ !
On the-ftftfrworking day of each quarter, HQ pulls SCAP reports from CERCLIS and
CERHELP These reports are reviewed by HQ to evaluate regional progress toward SCAJP targets and
are submitted to OMSE for reporting SPMS-accomplishments^ It is important-to note-that in additioir
to reporting accomplishments m CERCLIS, regions must continue to enter SPMS*data into the OMSE
SPMS system. - ,,-,.- . < . > - _ o,.
* ~ "^ * ,-* j- i
CERCLIS Reports for Accomplishment Reporting
Exhibit V-41 presents CERCLIS reports HQ'uses to evaluate regional accomplishments. All are
used for reporting and crediting SCAP/SPMS targets and accomplishments. Following is.a, discussion
of these reports: M '
V-7
-------
OSWER Directive 92003-01B
The Protected Planning Estimates and Projected Measures (SCAP-13), SCAP/SP^S
Targets and Accomplishments (SCAP44) and ^vent/Activity Report for NPL Sites
(EVAL-15) reports are used by the pre-remedial, remedial and enforcement programs to
provide planned and actual information for events and activities.
Quarterly Removal Plans and Accomplishments. Suryimajy show actual (RMVL-7A)
removal starts and actual (RMVL-7B) removal completions.
Financial information and the status of obligations are provided by the Projected Fund-
Financed Remedial Projects Report (SCAP-3) and the Remedial/Removal Site-Specific
Funding Report^ (FINC-4, S and 6).
EXHIBIT V-4
PROGRAM EVALUATION CERCLTS REPORTS
SCAP-3: Projected Fund-Financed Remedial Projects Report
SCAP-13: FY89ProjectedPlanning Estimates and Projected Measures
Report
S C AP-14: FY89 SCAPISPMS Targets and Accomplishments
Summary Report
RMVL-7: Quarterly Removal Plans and Accomplishments
Summary
FINC-4: Remedial/Removal Site-Specific Funding Report
FINC-5: Remedial Site-Specific Funding Report
FINC-6: Removal Site-Specific Funding Report
E V Al-15: Event/Activity Report for NPL Sites
QUARTERLY REMOVAL PLANNING PROCESS
The nature of removal activities is to respond to emergency, time critical and non-time critical,
situations at NPL and non-NPL sites. Planning for removal actions in FY89 will be more difficult
than ever before. On the one hand, SARA provides broader removal authority and imposes new
requirements; on die other hand, removal funding increased slightly but not enough to cover the
potential increase in costs caused by the SARA requirements.
Each region should recognize that it probably does not have sufficient funds to address all
actual or threatened releases that meet the removal criteria in the National Contingency Plan (NCP).
Responsible management means having to rpa^e some tough decisions. Regions may have to defer
funding non-time critical actions in order to maintain a sufficient contingency for classic emergencies.
Additionally, regions may have to depend more upon state and local authorities to address the real, but
smaller threats that regions now occasionally handle.
The increased use of enforcement authorities becomes essential as the funds for removal
actions are reduced. Removal PRP searches should be initiated as soon as a candidate site has been
identified Notice should be given to identified PRPs and administrative orders issued when tune
permits. Non-time critical removals are prime candidates for PRP actions.
V-8
-------
OSWER Directive 9200 3-0IB
Since so much of the removal work cannot be anticipated, the Office of Solid Waste and
Emergency Response (OSWER) requires site specific planning only one quarter in advance. Each
quarter a plan for the upcoming quarter is prepared. A region begins this planning period by
identifying sites in CERCLIS which are candidates for removal work in the upcoming quarter and the
funding each action will require. In order for funds to be available for classic emergencies or for sites
that cannot be identified during the planning process, a removal contingency amount is placed in the
non-site/incident activity section of the CERHELP data base by the region. The region also has the
discretion to identify sites it cannot afford to do by using the CERCLIS "ALT" funding status flag.
HQ reviews this plan and discusses any proposed changes with the region. When both sides reach
agreement, the region enters the final plan in CERCLIS and CERHELP and the AOA is generated.
At any tune after the plan for the quarter is approved, regions have the authority to change it
However, entry of changes must follow the SCAP amendment/adjustment procedures outlined below
SCAP/SPMS ADJUSTMENTS AND AMENDMENTS
After targets have been finalized and planned funding levels developed, the SCAP process
provides the flexibility to modify plans during the year. Modifications to planned targets are termed
either adjustments or amendments Amendments are SCAP changes which:
* Increase the region's annual operating budget (OERR or OWPE);
Change the AOA or increase the RI/FS budget ceiling within the other remedial AOA;
or
* Change a quarterly or annual SCAP or SPMS target
Amendments require HQ concurrence and approval. Any other SCAP change, including site
substitutions, is an adjustment and does not require HQ approval. Adjustments should be reflected in
CERCLIS by updating the site-specific data base and the CERHELP Targets and Accomplishments
data file on an ongoing basis. The processes described in Exhibit V-5 must be followed when
amending the SCAP. Chapter VI outlines the procedures for processing AOA change requests The
Office of Program Management and the program offices in OERR and die Compliance Branch of
OWPE provide input on SCAP amendment approval decisions
Changes to SPMS commitments should not be made simply because targets will not be met
However, in some cases, amendments to targets may be necessary and may be changed under the
following conditions:
Major, unforeseen contingencies arise that alter established priorities (i e,
Congressional action),
Major contingencies arise to alter established regional commitments (i e , state
legislative action), or
Measure or definition in system is creating an unanticipated negative impact.
All amendments should be recorded in the CERCLIS site-specific data base as an "approved"
action after the region issues the change request or memorandum to OSWER. Regions should not
initiate any obligation against change requests until confirmation is received from the Office of the
Comptroller. The site back-up in the Targets and Accomplishments data file will be revised by HQ if
the amendment is approved. If the amendment is not approved, HQ will notify the region and the
"approved" record in CERCLIS will have to be revised.
V-9
-------
OSWER Directive 92003-01B
EXHIBIT V.5
SPAP AMENDMENT PROCESS
AMENDMENTS
Affecting quarterly
or annual
SPMS targets
or measures
Affecting
SCAP but
not the AOA
Affecting
SCAP and
the AOA
Memorandum from
Regional Administrator
to the Assistant
Administrator of
OSWER explaining
the reason for the
change.
Memorandum from
Regional Director to
the HQ OSWER
Office Director
explaining the
reason for the change.
Region will contact the
appropriate HQ program
office to discuss the plann<
change.
The program office will
determine the urgency of the
request and notify the
Financial and Administrative
Management Section of the
pending request.
Region prepares a formal
change request and sends
it to HQ with a memorandum
from the Regional Director
to the OSWER Office Director.
The requested amount is
entered into CERCLIS.
After OSWER concurrence,
the approved change request
is forwarded to the Office of
the Comptroller for execution.
The Office of the Comptroller
sends a confirmation notice to
the region.
I
V-10
-------
OSWER Directive 9200 3-*.
MAINTAINING fHE TARGETS AND ACCOMPLISHMENTS FILE
HQ is responsible for putting the preliminary and final negotiated SCAP/SPMS targets and site
back-up in the Targets and Accomplishments file in CERHELP. During the fiscal year, HQ will also
be responsible for changing the targets and site back-up if amendments are approved. Regions are
responsible for updating the Targets and Accomplishments file to reflect SCAP/SPMS adjustments
Appendix D contains tables which show which targets and measures require site-specific backup in
CERHELP.
Following are guidelines for regional maintenance of the Targets and Accomplishment file.
Additional detailed instructions on CERHELP can be found in the CERCLIS Users Reference Manual
Regions will not be allowed to add to or delete sites from the Targets and
Accomplishments file. Only changes will be allowed. However, the site specific
CERCLIS records should be updated at the time a SCAP or SPMS amendment is
requested.
The number of sites named in the Targets and Accomplishments file must equal the
numerical target If a region has a target of eight RDs, for example, eight sites must be
named in the Targets and Accomplishments site back-up.
If "to be determined" (TBD) sites are used instead of real sues in the Targets and
Accomplishments file, there must be enough candidate sites in CERCLIS that can be
used to replace the TBD sites as soon as possible
A site must be in CERCLIS before it can be in CERHELP
* The Assistant Administrator's pro-active memorandum is developed using the data in
the Targets and Accomplishments file. Therefore, it is essential mat the list of sites that
support the targets be kept up-to-date and current. Regional SCAP adjustments must
be reflected in CERHELP This includes sue substitutions and changes in schedules
which do not affect SPMS or SCAP targets
Following are the procedures for making changes to the CERHELP target site data:
Each time a change to site data in CERCLIS results in a SCAP adjustment, run the
CERHELP Target Maintenance Report for FY89 (Report #4 on the CERCLIS Site
Reports Menu).
Locate the Target Activity Code page on the report (report is sequenced alphabetically
by Target Activity Code)
Scan target site data to locate site no longer being targeted and cross out EPA ID,
Operable Unit and Event Codes or Enforcement Activity Code.
Record corresponding codes for the replacement site.
Access Non-Site/Incident Screen #27 ~ CERHELP Target/Accomplishment Data
Maintenance Screen.
Enter Action Code C=Change and Record Type S=Sue
V-ll
-------
OSWER Directive 9200 3-0 IB
To access record to be changed, enter required field data (region, Fiscal Year,
activity type, lead, quarter and sequence number codes) directly from report
Enter replacement site data (EPA ID, OU and Event or Enforcement Activity
Codes)
Run Target Maintenance Report to verify changes. Hie report for use in
making subsequent changes.
The HQ SCAP Coordinator and interested program offices will run National Target
Maintenance Reports as needed to review changes.
PLANNING REQUIREMENTS AND PROCEDURES
Preliminary Assessments/Screening Site Inspections
Regions can only be given credit for Preliminary Assessment (PA) and Screening Site
Inspection (SSI) completions if the completion date and a decision on further activities at the site are
entered into the appropriate CERCLIS site record
There are three decisions on further activities that must be made at the completion of the PA:
High priority for an SI;
Medium priority for anSI; and
* No further remedial action planned (NFRAP).
There are two decisions on future activities that must be made at the completion of the SSI:
Recommendation for an LSI; and
No further remedial action planned (NFRAP).
Listing Site Inspection
The FY89 Listing Site Inspections (LSIs) will be the field effort to support FY90 proposals to '
the NPL using the revised HRS. "- ""rd HRS -r -~p~""r1 f" |~ final in Anril 198p. Early in '
FY89. guidance on NPL listing will be developed so that the first listing under tne revised HRS can be
"promulgated as expeBittoUSly as possible.
LSIs are not RI/FS substitutes and, consequently, the expenditures must be efficient and
focused. Two important goals are to limit technical hours for each LSI and to minimize subcontracting
expenditures. LSIs to meet SCAP planning estimates must be identified on a site specific basis.
Site Classification
Site classification is not the same as project/event lead codes. Classification of sites on the
NPL is determined by the regions upon completion of a PRP search. The identification is made based
on the number of PRPs identified and the probability of the PRPs assuming responsibility for remedial
activities at the site. NPL sites may be classified as Federal Enforcement, State Enforcement, Fund or
program Lead, and Fund or program Lead with Negotiation.
V-12
-------
OSWER Directive 9200 3-0IB
Federal Enforcement sites are defined as those sites where work is being performed by the
PEP under a federal order.
Sites classified as Fund or program Lead and Fund or program Lead with Negotiation include
those sites with activities that dre Federally financed and the work is being performed by EPA or the
state.
When the state takes the lead for working with the PRPs, the site is classified as State
Enforcement State enforcement sites do not have a funded RA component
The site classification must be kept up to date. If the PRPs take over remedial activities at a site
classified as Fund, die classification should be changed to Federal Enforcement Changes in site
classification from enforcement to fund or program lead may be appropriate based on the nonviability
of PRPs or related reasons. In these cases, the concurrence of the Director, OERR, and the Director,
OWPE, will be necessary.
Proiect/Event Lead Codes
Project/event lead codes are different from site classification. The lead code identifies the entity
performing the work at the site. Exhibit V-6, on the following page, shows the valid project/event lead
codes. A lead code must be placed in CERCLIS for all remedial events and enforcement activities.
The lead code for a project support activity is the same as the lead code for the activity being
supported. For example, management assistance funds to a state in support of a PRP RI/FS should be
coded as RP lead. Beginning in FY89, RI/FS and RD projects can no longer be identified as FE lead
However, regions will not be required to change historical data on FE lead events in CERCLIS.
The Agency acknowledges that states can and have assumed the lead role in reaching an
agreement with the PRPs for response activities at NPL sites without negotiating a cooperative
agreement or other formal agreement with EPA (SR lead). However, the draft NCP has determined
that in the absence of a formal agreement the state will not be officially recognized as the "lead agency"
for the project and EPA will not concur on the remedy selected
V-13
-------
OSWER Directive 9200 3-01B
EXHIBIT V-6
PROJECT/EVENT LEAD CODES IN CERCLIS IN FY1989
ad Definition
P Federally financed work performed by Fund/EPA
with no enforcement component
RP
Potentially Responsible Party financed work
performed by the PRP under a federal order
S Federally financed work by a State with no
enforcement component - Money provided through
a cooperative agreement
SE Federally financed work performed by a State with
a state enforcement component - Money provided
through a cooperative agreement or other comparable
enforcement document
PS Potentially Responsible Party financed work
performed by PRP under a state order with
oversight paid for or conducted by EPA through a
cooperative agreement or, if oversight is not funded by EPA,
a State Memorandum of Agreement or other formal
document exists between EPA and the state
SN State financed (no Fund dollars) work performed by
the state
S R Potentially Responsible Party response under a
state order and no EPA oversight support or money
rovided through a cooerative agreement and no other
provided through a cooperative agre
formal agreement exists between EP
A and the state
CG Work performed by the Coast Guard - Limited to
removals
MR ,. Mixed funding (Fund/Responsible Party) work
performed by PRP under a federal decree with
an agreement that the fund will provide
reimbursement to the PRP
FE Federally financed work perfomed by Fund/EPA with
an enforcement component (No longer applies to RI/FS and
RD beginning in FY89)
FP Work performed by EPA using in-house resources
pp Work performed by the Federal Facility with oversight
provided by EPA and/or the State
V-14
-------
OSWER Directive 92003-OIB
Takeovers
A takeover means a change in lead for an event. For each remedial or removal event takeover,
a new CERCLIS record must be created and the first and subsequent start (FSS) and complete (FSC)
codes revised A takeover does not create a new OU. The original CERCLIS event must be updated
to show the completion date as the date of the takeover. The start date for the new CERCLIS event is
also the date of the takeover.
The CERCLIS Event Takeover Flag is manually maintained. A "T" is used in this field to flag
the original event which has the change in lead. The new event has an event code followed by a
sequence number to indicate the original event that was taken over.
When the takeover of a remedial event occurs and work has not proceeded past the workplan
stage, credit will be given to the program taking over the lead for both a start and completion. In order
to assure credit is given to the proper program, the FSS and FSC codes should be placed with the
event which was taken over. (See Exhibit V-7 for an example of the takeover coding.) However, if a
takeover occurs after the workplan stage then the new lead will only receive credit for a completion, the
previous lead retains credit for the start Exhibit V-8 shows the proper placement of the FSS and FSC
codes under these circumstances. Basically the FSS code stays with the original event record and the
FSC code is placed with the new record
EXHIBIT V-7 -
EVENT OR ACTIVITY TAKEOVER AT WQRKPLAN STAGE
mi
01
01
EVENT
C01
C02
LEAD
F
RP
TAKEOVER
ELAG
T
C01
PLAN
START
88/4
89/1
ACTUAL
START
7/29/88
11/30/89
PLAN
89/1
91/1
ACTUAL
CQMP.
11/30/88
FSS
A
FSC
A
COMMENTS 1
SITE
SITE
WIDE |
WIDE j
EXHIBIT V-8
EVENT OR ACTIVITY TAKEOVER
TAKEOVER PLAN
fill EVENT LEAD FLAG START
01 C01 F T 88/1
01 C02 RP C01 89/3
ACTUAL PLAN
START COMP.
11/15/87 89/3
4/30/89 90/2
ACTUAL
COMP. FSS FSC
4/30/89 A
A
COMMENTS
SITE WIDE
SITE WIDE
If a PRP takes over an RI/FS after program dollars have been obligated, unspent funds should
be immediately deobligated. If the PRPs take over the RD or RA after program funds have been
obligated, the region can retain the funds needed to provide oversight of the PRP RD or RA activities.
The remainder should be deobligated. Funds for the development of workplans to support PRP
negotiations should be funded by the Case Budget
V-15
-------
OSWER Directive 92003-01B
If the Fund originally obligated dollars for RD and/or RA activities and a takeover occurs,
regions will have to request a change in account number through their regional Financial Management
Officer. The activity code within the account number changes if the Agency is acting in an oversight
role as opposed to performing the response action. Chapter VI includes a discussion on the valid
activity codes for FY89.
When there is a takeover of a removal action, credit is given to the program with the original
start and the completion is credited to the program assuming the work.
Impact on Funding Status of PRP Takeover
During the development of outyear budget planning information, regions should pay particular
attention to the probability of a PRP takeover or the potential for a mixed funding response. Twenty to
twenty five percent of each region's Federal or state lead RI/FS should result in PRP lead RDs and
RAs. Regions should look at the sites scheduled for RD and/or RA in FY91 and determine the
likelihood of a PRP takeover
New CERCLIS codes have been established to show the probability that PRPs will assume
project lead. Each RD and/or RA scheduled to begin in FY91 should be assigned a "H" (high), "M"
(medium),"L" (low) or "U" (unknown) code based on the likelihood of PRP action. These -
probabilities will only be used for the development of outyear budgets and will not be used for
operating year resource decisions During negotiations, HQ and regions will discuss the likelihood Of
PRP takeovers and targets will be adjusted accordingly
Operable Units in Remedial and Enforcement Programs
One of the driving mechanisms for Superfund's budgeting and planning process is the
Operable Unit (OU) concept. Confusion over the definition of OU has led to conflicting planning and
tracking methodologies among regions. Outlined below is a standard methodology for tracking OUs
on an event-specific level that must be followed by all regions.
An OU is defined by the existing NCP as "a discrete part of an entire response action that -
decreases a release, threat of release or pathway of exposure" (NCP, Section 300.6). The draft NCP
defines an OU as "discrete actions that comprise incremental steps toward the final remedy." This
means that any specific area or response may be considered an OU. Exhibit V-9 provides the ground
rules for OUs and Exhibit V-10 provides examples of operable units for the different remedial phases.
<
The OU field in CERCLIS does not reflect the definitions or ground rules for operable units*
In CERCLIS, an operable unit is defined by the combination of operable unit number, event sequence
number, and the first and subsequent start and completion codes. Past the ROD stage the OU number
figidJBJrER'pLjS is only used to ne the RD and RA back to a particular ROD. For example, if you
have only one ROD, no matter how many separate plans and specifications or separate bid packages.
are developed, the OU number in CERCLIS will remain "01". In this situation, the sequence number
and first and subsequent start and completion codes would be used to delineate that, by definition,
there is more than one operable unit
Many enforcement activities are conducted on an OU basis, e.g., negotiations and orders or
Consent Decrees. The OU number, event and event sequence number must be identified in CERCLIS
in the remedy section of the enforcement activity.
V-16
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OSWER Directive 9200 3-01B
EXHIBIT V-9
OPERABLE UNIT GROUNDRULES
Each OU at the RI/FS stage must result in
a ROD, subsequent RODs must address
an aspect of the remedy not developed in
the initial ROD.
Each OU at the RD stage must result in
separate plans and specifications
* Each OU at the RA stage must be based
on a separate bid package.
Potentially Responsible Party, state or
EPA takeovers do not result in separate
OUs
EXHIBIT V-10
EXAMPLES OF OPERABLE UNITS
RVFS
Source Control
Groundwater Cleanup
* Permanent Relocation
RDandRA
Pump and Treat System
Pilot Testing
Incineration
Cap
Waterlme Installation
Soil Removal-
There are several OU structures, as shown in Exhibit V-11 including:
one occurrence of each event;
multiple events (RDs,RAs) from a single ROD,
multiple events from multiple RODs.
If a site has multiple like events (e.g., RDs) within a single operable unit, CERCLIS generates
a sequence number for each event The sequence number is dependant on the order the event is
entered into the system. If a single operable unit has multiple RDs and RAs, die only way to tie an
RD with its corresponding RA is through the systems generated sequence number. Therefore, regions
must be certain man the planning information for the RD and its RA are entered into CERCLIS at the
same time.
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OSWER Directive 92003-01B
EXHIBIT V-ll
OPERABLE UNITS AND
FIRST AND SUBSEQUENT START AND COMPLETIONS CODING
ONE OCCURRENCE OF EACH EVENT
PLAN ACTUAL
QU EVENT START START
ACTUAL
CQMF. ESS
FSC COMMENT
88/1 11/15/87 89/4
89/4
90/1 90/4
91/1 93/2
A SITE WIDE
A SITE WIDE
A SITE WIDE
A SITE WIDE
CO1
RO1
RD1
RA1
MULTIPLE EVENTS FROM A SINGLE ROD
OU EVENT STAI
FSS FSC COMMENT
01
01
01
01
01
01
CO1
RO1
RD1
RA1
RD2
RA2
88/1
90/1
91/1
90/3
91/3
11/15/87 89/4
89/4
90/4
93/2
91/2
93/4
A
B
B
D
D
A SITE WIDE I
A SITE WIDE 1
B SOURCE 1
B SOURCE 1
D GROUNDWATER I
D GROUNDWATER I
MULTIPLE EVENTS WITH MULTIPLE RODS
PLAN ACTUAL PLAN ACTUAL
OU EVENT START START COMP. CQMP. FSS
01 RI1 88/1 11/15/87 89/1
01 FS1 89/1 90/1
01 FS2 89/2 90/2
01 RO1 90/2
01 RD1 90/2 90/4
01 RD2 90/3 91/2
01 RA1 91/1 93/4
01 RA2 91/3 90/1
02 CO1 88/2 90/1
02 RO1 91/1
02 RD1 90/2 91/3
02 RD2 90/4 93/3
02 RA1 91/2 94/1
02 RA2 91/4
B
B
C
B
C
D
C
D
C
D
FSC COMMENT
WATERLINE
WATERLINE
B WATERLINE
B WATERLINE
B WATERLINE A
C WATERLINE B
B WATERLINE A
C WATERLINE B
D GROUNDWATER
D GROUNDWATER
C GROUNDWATER A
D GROUNDWATER B
C GROUNDWATER A
D GROUNDWATER B
V-18
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OSWER Directive 92003-01B
First and Subsequent Starts and Completion^
Start and completion codes are used to identify and characterize the sequencing of events and
operable units. If an event does not have actual dates, the start and completion codes are determined
by the planned dates. One of the codes shown in Exhibit V-12 must be assigned to each remedial
event as it is entered into CERCLIS
EXHIBIT V-12
FIRST AND SUBSEQUENT START AND COMPLETIONS
A = First and only event at a site
B = First of two or more events
C = Subsequent, but not final event
D = Final of two or more events.
The first and subsequent start (FSS) and first and subsequent complete (FSC) codes are based
on event start and completion dates, not the system generated sequence number. Thus the first start of
an event at a site is coded "A". If a second like event is started, the "A" code for the first event start
must be changed to a "B" and the second like event is assigned a "D" code. If a third like event is
started, the first event remains a "B", the second event must be changed from a "D" to "C" and the
third event is assigned a "D" code. Event completions use the same methodology. If there is one
occurrence of each event, all FSS and FSC codes are "A".
Exhibit V-l 1 on the previous page illustrates the use of the first and subsequent start and
completion codes. Since the FSS and FSC codes are manually maintained, it is necessary to update
these codes each time an event is added. Exhibit V-13 indicates combinations of FSS/FSC codes that
are inconsistent with the coding procedures.
EXHIBIT V-13
IMPOSSIBLE FSS AND FSC CODE COMBINATIONS
More than one A, B, or D
An A and B
An A and D
An A and C
C without a D and B
B and C without a D
C and D without a B
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OSWER Directive 92003-01B
To Be Determined fTBDl Sites
Under certain circumstances, regions may not be able to identify all the sites necessary to meet
SCAP targets. This may occur for the following activities:
First RVFS starts; and
Section 106 RD/RA referrals without settlement
In such cases, regions may enter planning data into TBD site records. CERCLIS provides the
capability, through the use of a pseudo-EPA identification number, to set up temporary site records as
TBDs until the actual site is identified Following are procedures for handling SCAP TBD sites and
associated planning data in CERCLIS.
The key data field for ail CERCLIS site and related records is the EPA Identification Number
This number is twelve characters in length with the first two characters identifying the state in which
the site is located, the third position identifies it as a permanent or temporary Dun & Bradstreet
number, and the remaining nine digits being unique to a site within the state. The method of handling
TBD sites in CERCLIS must be consistent with guidance for assigning EPA Identification Numbers to
valid Superfund sites
The procedure for assigning pseudo numbers is as follows. Each SCAP TBD site to be
entered into CERCLIS will be assigned a unique 12-character EPA Identification Number which is
constructed from regionally assigned state codes and numbers. The pseudo state codes shown in
Exhibit V-14 for each region would be used in the first two positions of the pseudo ID.
EXHIBIT V-14
PSEUDO STATE CODES
Region Pseudo State Code
The thud position of the code will always be "T" which further identifies the site as being a
"TBD" site. The remaining nine digits will be selected from the 1000 numbers purchased from Dun &
Bradstreet by HQ and allocated to each region.
An example of the use of the code is as follows Region I has three TBD sites for RI/FS starts
to be entered into CERCLIS. EPA Identification Numbers to be used for the three sites are as follows*
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OSWER Directive 92003-01B
TBDate#l - ZAT982565053
TBDsite#2 - ZAT982565061
TBDsite#3 - ZAT982565079
At the time a real site is determined for TBD site #1, the site and associated data for EPA
Identification Number ZAT982565053 are deleted from the CERCLIS data base. Subsequently, the
appropriate planning data are added to the real site in the CERCLIS data base. The pseudo number,
ZAT982565053, is then recycled for future use.
Regions may not use TBDs in planning subsequent RI/FS starts. When multiple OUs at a site
are involved, regions should schedule the subsequent starts and associated core activities when
planning the first RI/FS start at the site to the maximum extent possible Subsequent starts should be
scheduled even if they are not planned to begin in FY89 Even though TBDs are being used for target
setting purposes, regions must have real sites in CERCLIS which can be substituted at a later date for
the pseudo sites.
Standard Timeframes
When identifying sites for RI/FS starts, regions must provide schedules and planned
obligations for all associated core activities, including date of RA contract award and Section 106
and/or Section 107 referrals to HQ for removal and remedial activities. Exhibit V-15 is a list of some
of the core activities and their respective standard durations. Standard durations should only be used if
more accurate estimates are not available Following are special guidelines that should be considered
when establishing schedules for certain core activities'
RD/RA negotiations are normally scheduled for three quarters and begin one quarter
pnor to the planned ROD signature and last two quarters after the ROD is signed. If
negotiations are scheduled for a site where there is a low probability of PRP takeover or
the PRPs providing a good faith offer, shorten the RD/RA negotiations to two quarters.
A Fund-financed RD would be scheduled to begin the same quarter negotiations are
planned to be complete. If the site is a true "orphan site", do not plan any negotiations
and schedule the Fund-financed RD to begin the quarter after the ROD is signed If a
settlement for RD/RA is assumed to be achieved, the referral to DOJ or HQ should be
planned in the same quarter as the completion of negotiations
* The date of contract award for RA is assumed to be two quarters after the start of the
RA.
Identifying core activities and providing planned obligation estimates are important due to the
impacts these projects, especially RAs, have on outyear budgets for the program areas. The cost of
RA projects makes it imperative that scheduled start dates and planned obligations are known well in
advance of the beginning of the fiscal year. In essence, dollars associated with RA project starts are
locked in during budget formulation eighteen months pnor to the beginning of the fiscal year. As a
result, as better information becomes available on project costs, dollar estimates, and project
schedules, the core activity plans should be updated and kept current in CERCLIS.
V-21
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OSWER Directive 92003-01B
EXHIBIT V-15
STANDARD TIMEFRAMES
ACTIVITY
PRP Searches
RJ/FS Negotiations
RI/FS
FS to Pubhc
ROD
RI/FS Oversight
FS to Pubhc
ROD
RD/RA Negotiations (begins 1 quarter
before the end of the RI/FS and
extends 2 quarters beyond the
RI/FS completion)
Case Development (ends in referral)
Sec. 106 Settlement Referrals for Concurrence
(QmeatDOJ)
Litigation or Sec 106 RD/RA Referrals without
Settlement (ongoing cases referred to DOJ
until conclusion)
RD or RD Oversight
RA or RA Oversight
Removal Negotiations
DURATIONS
fin Quarters!
2
2
7
6
1
10
9
1
3
2
12
3
10
1
Project Support Activities
\
Planning requirements for project support activities (community relations, technical assistance,
state management assistance, etc.) has been changed in FY89. Only activities scheduled to begin and
funds needed in the upcoming quarter must be planned site-specifically. Out quarters may be planned
non-site specifically by event type in CERHELP The quarterly site-specific planning of these
activities will follow the same schedule as the quarterly removal planning. Funds must be moved from
CERHELP to the site-specific CERCLIS records by the tune Advice of Allowances are generated for
the upcoming quarter. Also, as was explained in the section on project/event lead codes, the lead code
for project support activities must match the lead code for the project/event being supported.
Technical Assistance Grants
The region should budget technical assistance grant (TAG) funds at Fund, PRP or Federal
Facility sites based on their knowledge of which communities may request such grants. Since many
communities may not be eligible or may decline to apply for various reasons, the region should not
assume that every NPL site will require a TAG
V-22
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OSWER Directive 92003-01B
Adrninistrarive
SARA specifies that Administrative Records be compiled at Superfund sites where remedial or
removal responses are planned, or are occurring, or where EPA is issuing a unilateral order or
initiating litigation. Enforcement Case Budget and program funds are available for Administrative
Record development in accordance with priorities specified by OWPE in FY88.
A total of $1.7 million is available nationally from OWPE for Administrative Record activities
The cost for compiling an Administrative Record will vary generally from $5,000 to $20,000,
depending upon the number of PRPs involved, the amount of documents that must be compiled, and
the history of the site, although HQ anticipates that the cost of most Records will not exceed $12,000
To allow for flexibility, HQ has not established firm pncing factors for Records, but rather has
allowed for a range of expected costs, depending upon the priority of the Record being funded.
Priorities for Record compilation and their expected cost ranges are listed below.
Administrative Records Priorities:
1. Planned FY89 RODs. Cost Range. $10,000-$12,000 each;
2. Enforcement Referrals.
Unilateral AOs under Section 106 Cost Range $8,000-$ 10,000 each.
Section 106 litigation referrals to DOJ. Cost Range: $8,000-$ 10,000 each.
Section 107 litigation referrals to DOJ. Cost Range:. $8,000-$ 10,000 each*
3. Ongoing RI/FS. For this priority, Regions will either be opening a Record or adding
documents to an existing Record. Cost Range $5,000-$ 10,000 each.
4. Planned RI/FS starts, following workplan approval. Cost Range: included m RI/FS
pricing factor.
5 . Signed RODs. This priority concerns the backlog of Records not completed at sites
where RODs have already been signed. Completion of Records depends upon
available funding. Most important among these are sites where there are viable PRPs
who are not undertaking the RD or RA and where EPA may initiate Sections 106 or
107 litigation. Cost Range: $8,000-510,000 each.
*
6. Removals where Sections 106 or 107 activity is planned or in process. Includes
completed removals. Cost Range. $5,000-$8,000 each.
All new-start or ongoing Federal and state lead projects should be funded by OERR through
the RI/FS or removal funding, or as separate Administrative Record events.
For Administrative Record compilation under priorities 1, 2, 5 and 6 above, regions should
request Case Budget funding through the non-site specific portion of CERCLIS These priorities
represent mostly backlog funding needs which need not be shown site-specifically Funding for
compilations under priorities 3 and. 4 should be requested site-specifically, either within the RI/FS
funding request or as a separate Administrative Record funding action. A new Event code, "AR," has
been added to CERCLIS for this work; CERHELP already contains an "AR" code. An AR event
record should be placed in the appropriate RI/FS OU if a separate funding action is anticipated for AR
work. Otherwise, the cost of AR compilation should be included in the RI/FS or RI/FS oversight
funding request. There is no pre-set limit on a region's spending though HQ will negotiate
redistribution of funds when necessary to fund priority projects in all regions.
V-23
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OSWER Directive 92003-01B
Contract mechanisms should be also designated in CERCLIS (e.g., TES 3, & 4,8(a) minority
contracts). Regions are strongly encouraged to use TES or other contractors to develop records
management procedures for administrative records and to move to contracts with 8(a) firms to perform
ongoing maintenance and compilation tasks.
PRP Removal
For non-NPL sites, PRP searches should be initiated as soon as a removal candidate has been
identified. The PRP search should be completed before most non-time critical removals, and at least
concurrently with time critical removal actions so that negotiations for Administrative Orders (AO) can
occur before the start of the removal. If negotiations are unsuccessful, issuance of a Unilateral
Administrative Order should be considered. PRP searches also support possible cost recovery actions.
Regions are required to report both planned and actual PRP search start and completion dates in
CERCLIS.
Notice to owners, operators and other identified PRPs should be given and negotiations
conducted before the removal is initiated in every instance unless time does not allow. For certain
large removals which represent major response efforts, the special notice procedures of Section 122(e)
should be employed Where special notice is not employed, written notice under Section 122(a) must
be given.
Regions should issue administrative orders (AOs) at every removal action where viable PRPs
have been identified, time permitting. It is expected that AOs (unilateral or on consent) will be issued
at 33 percent of all sites where removals are undertaken. In some cases, a unilateral order can be
converted to a consent order, but this should be done without delaying PRP response. Oversight costs
should be taken into account in negotiations, particularly in large removals.
Once PRP lead removals have begun, EPA should have an active oversight role, including on-
scene presence. Contractor assistance is available if needed. Where PRPs are not complying with the
order, regions should be prepared to quickly move forward with Fund-financed response and seek
treble damages during cost recovery actions. When appropriate, regions may seek judicial action for
preliminary relief to compel PRP response
Where PRPs comply generally, but violate terms (deadlines, etc ) of the order, regions should
be prepared to enforce the terms of the order via stipulated penalties, statutory penalties, or other
sanctions. When unilateral AOs are issued and not complied with, treble damages should be sought
during cost recovery (unless there was a viable reason for PRPs not to conduct the work) or on a
limited number, a Section 106 referral. Regions should track the PRPs compliance status in
CERCLIS Regions must also develop administrative records to accompany then* actions at removal
sites.
Pre-RI/FS Enforcement Activity
For sites likely to be added to the NPL, PRP searches should start concurrently with the
Listing Site Inspection (LSI) or at the latest, initiation of the listing process.
The PRP search should be managed - including follow up, civil investigator assistance, and
Office of Regional Counsel review - to assure that: (1) PRPs, particularly generators, are identified
early, (2) general notice is issued well before Rl/FS special notice to enable PRPs to organize, (3)
information related to PRPs is obtained months before the RI/FS special notice, and (4) special notice
is issued over 90 days before the planned RI/FS obligation date, information requests should be
issued at least two quarters before general notice and must be followed up to assure they are as
V-24
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OSWER Directive 9200 3-01B
comprehensive as possible. To the extent available, information required for special notice should be
presented to PRPs before the actual special notice is issued. Regions are required to record dates
associated with general notices, special notice letters, and demand letters in CERCLIS. Copies of
notice letters should be sent to H(
PRP searches should be completed prior to negotiations and should be planned enough in
advance to avoid delaying a scheduled RI/FS start date. In addition, costs for past response actions,
such as removals should be documented m advance and included in RI/FS negotiations. Regions
should be prepared to move quickly through the negotiation process. This can be accomplished
through:
Providing a draft order and statement of work for the RI/FS with the special notice; and
Establishing interim milestones to ^udge whether real progress is being made. These
should be shared with the negotiating parties.
The regions have the option of starting discussions with PRPs before, as well as during the
initial 60-day moratorium period.
RI/FS Settlement and Oversight
Settlements with PRPs for RI/FS are typically accomplished through an AO or m rare
circumstances by consent decree (CD) The former is preferred In any case, the settlement document
should include either a work- plan prepared by EPA using Case Budget funds or a detailed Statement
of Work with a workplan to be developed according to EPA guidance manuals. A well-defined
schedule which lists dehverables and milestones should also be included.
Under SARA, EPA is required to use third party assistance in oversight of PRP lead RI/FS
through Technical Enforcement Support (TES), other Federal agencies (e g.,Corps of Engineers) or
states. Oversight resources are obtained through the Case Budget process. At the time of settlement a
detailed oversightplan should be developed which identifies in-house and extramural support needs
Oversight should include active field oversight as well as desktop review of engineering reports and
other dehverables. Oversight must be tracked and billed to PRPs. In addition, regions must ensure
compliance with the cleanup standards in Section 121 for ongoing and new PRP lead RI/FS
Remedial Project Managers (RPMs) must keep up with progress on PRP lead RI/FS as if it were an
EPA contractor performing die work. Where delays or inadequacies are noted, prompt action,
including enforcement actions, where appropriate, should be taken. Regions must maintain the PRP
compliance status in CERCLIS.
Pre-RD/RA Enforcement Activity - RD/RA Negotiations and Oversight
Prior to completion of the draft FS, regions should undertake considerable planning and
review, including (1) review of PRP search information for completeness; (2) consideration, where
appropriate, of mixed funding and de minirms settlement options and discussions with PRPs before
the special notice; (3) documentation of past costs (e g., RI/FS) for inclusion in RD/RA negotiations;
(4) preparation of a special notice letter and accompanying draft CD; and (5) preparation for issuance
of a Section 106 unilateral administrative order (AO) setting up treble damages where the case does not
settle and there are viable PRPs, and referral of a § 106 judicial action (e.g., for any site that does not
settle and for which there are not funds for RD/RA.)
Special notice for RD/RA should be planned and issued concurrent with the release of the FS to
the public. PRPs will have 60 days in which to submit a settlement proposal after receiving notices. If
a good faith proposal is submitted in that nmeframe, another 60-day penod follows for negotiations
In order to proceed through negotiations expeditiously, regions should prepare a draft CD early in the
V-25
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OSWER Directive 92003-01B
process, and establish interim milestones in the RD/RA negotiation process. In accordance with the
streamlined settlement guidance, Regional Administrators may extend the negotiation period for up to
30 days. Further extensions require the approval of the Assistant Administrator for Solid Waste and
Emergency Response (AA SWER).
All settlements for RD/RA, under SARA, should be in the form of CDs. While SARA allows
EPA to perform RD work during the special notice moratorium, as a matter of policy this should be
avoided unless there are extenuating circumstances.
All sites with Records of Decision (RODs) should be evaluated for viable PRPs that may be
willing to settle. It is expected that RD/RA negotiations will occur at about 80 percent of the sites.
Where negotiations are unsuccessful and there are viable PRPs who could fund the RA, a unilateral
AO requiring implementation of RD/RA (or in cases where RD has begun, for implementation of RA
only) may be issued to encourage settlement and set up the disincentives and penalties and/or treble
damages. AOs are to be issued pnor to bringing Section 106 judicial actions. Approximately 40
percent of the RODs should be candidates for AO issuance. Where there is a partial settlement, actions
viable non-settlers should be ursued romtly.
Oversight of PRP lead RD/RA can be performed by TES, REM, ARCS, or other Federal
agencies. Regions should seek payment of oversight costs in all such settlements, as well as past costs
of Rl/FS and other removal response costs. The status of the PRPs compliance with the AO or CD
must be kept up-to-date in CERCLIS.
Section 106 Judicial Activity
Referrals for Section 106 action for RD/RA are an integral part of the Superfund Enforcement
program because there is not enough Fund money to clean up all NPL sites. Given the number of
RODs signed in FY88 and scheduled for FY89 even assuming a significant settlement rate, many sites
will go without funding after the budgeted number of RDs and RAs are funded. These are presumed
to be Section 106 judicial action referrals.
For PRP lead Rl/FS, regions should plan that, absent settlement, these sites will be referred as
Section 106 judicial actions. In addition, on Program lead Rl/FS, regions should expect that where
there are viable PRPs, absent settlement or funding, these sites will be referred as Section 106 actions
Section 106 actions are expected to become easier, given review of remedial decisions on the recofti,
and the general success in motions for summary judgment on liability.
Cost Recovery
Cost recovery actions are one of the highest Enforcement program priorities in FY89. For
each site ready for cost recovery (each completed removal, completed RVFS, and each RA started),
regions should have a completed PRP search and information about the viability of the PRPs, funds
obligated/expended; removal, Rl/FS and RD completion dates and RA start dates; and possible statute
of limitations dates. The regions should have strategies that include the following elements:
Where there are viable PRPs, costs should be documented and a demand letter sent as
soon as possible;
Referrals for all removals greater than $200K, Rl/FS and RDs must be planned in order
to be filed in court within one year, but in no event later than three years, from the date
' of completion, unless there was a Section 104(c)(l)(C) waiver or there clearly will be
physical initiation of on-site construction of the RA within three years;
V-26
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OSWER Directive 92003-01B
Referrals for remedial activiaes should be planned in the year the RA began. If an
RI/FS referral was conducted separately or there are no unreunbursed past costs, a
referral should be initiated when RA funds have been expended;
Where there is a partial settlement, an action against viable non-settlers should be
pursued promptly; and treble damages should be pursued,
Based upon relevant factors including ongoing case load, mandatory new referrals, and
resources, the regions must develop and implement a strategy that includes follow-up
on some cases less than $200K (referrals, arbitrations, etc); and
Close Out memorandums should be undated for all cases when a decision not to pursue
some or all costs has been made. The date of the Close Out memorandum and the
funds that will not be recovered should be entered into CERCLIS.
Where there are not viable PRPs, regions must document mis conclusion Particularly for
large RAs, the PRP search is to be reviewed and upgraded as necessary.
Negotiation of Interagency Agreements or other Federal agency compliance agreements should
include a provision for recovery of past Fund expenditures, including EPA oversight costs.
As part of cost recovery management and preparation for civil referrals, regions should plan
upgrading of PRP searches, assembly of administrative records, cost documentation, and demand;
letters. In addition, planning for Rl/FS and RD/RA negotiations should include cost documentation of
past removal and RI/FS costs. Finally, oversight cost recovery and accounts receivable must be
managed.
State Enforcement
Regions are required to report progress on State Enforcement lead sites as they
would any other site. This universe includes State Enforcement (SE) leads where there is
Federally financed work performed by the state with a state enforcement component; work
financed by the PRP under a state order with oversight paid for or conducted by EPA (PS-
lead) and work financed by the PRP under a state order and no EPA oversight support or
money is provided (SR). Funds for state oversight are provided through cooperative
agreement (CA) or other comparable enforcement document. While it is recognized that
information at SR lead sites is difficult to obtain, regions are requested to report, through
CERCUS, any information they have on these sites, particularly if it may contribute to the
175 and 200 RA stan goals.
V-27
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OSWER Directive 9200 3-01B
CHAPTER VI - FINANCIAL PLANNING AND MANAGEMENT
The primary focus of this chapter is to discuss the impact of the SCAP process on the regional
operating budget and AO A.
The planned obligations identified through the SCAP process are the basis for the AOA issued
by the Office of the Comptroller. No monies will be issued to the region through the AOA
process unless the appropriate obligation and commitment data are reflected in
CERCLIS.
SCAP'S RELATIONSHIP TO ANNUAL REGIONAL BUDGET
The SCAP process is the planning mechanism used by the Superfund program to identify pre-
remedial, remedial, removal and enforcement funding needs for the fiscal year. The planned
obligations included in the fourth quarter SCAP update (July) form the basis for the regional budgets
for the next fiscal year.
The annual regional operating plan, and the associated budget, are a result of the HQ and
regional negotiations on the proposed program budgets. Though regions are required to operate within
their final negotiated annual operating budget, adjustments within this budget can be made during the
fiscal year.
The actual allocation of funds is done through the Agency's Phase ni Operating Plan. This
plan is submitted to the Office of Management and Budget for apportionment of funds. After OMB
review and concurrence, the Operating Plan is submitted to the Congress for approval of significant
reprogramming of funds.
Prior to the beginning of the fiscal year, each region will be given a proposed budget allocation
by program area. Final budgets will be developed upon completion of die fourth quarter negotiations
between HQ and the regions. Planned obligations for regional activities must fall within the total
identified budget levels, and should be shown by entering "approved" in the funding priority status
data field. Regions are not required to plantheir obligations to meet the budget development criteria
for the separate activities. Funding needs above the HQ proposed total budget level must be
designated as "alternate". This will allow HQ to see the regional funding priorities and what activities
will not be performed as a result of lack of funds. HQ will not initiate negotiations with a region until
the funds requested are within the proposed total budget levels.
Following is an explanation of the criteria used to develop the regional budgets.
Pre-Rerqpdjfll Annual Regional Budget
In FY89, the outputs and dollars available for the pre-remedial program were reduced from the
FVQO The proposed pre-remedial budget for
PA/SI was established based on die regional PA/SI targets. After negotiation, die final regional pre-
remedial budgets are higher than the outputs being produced.
VI-1
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OSWER Directive 9200 3-01B
Remedial Annual Regional Budget
The total Superfund budget was reduced by Congress in FY89. These cuts were taken in the
remedial action budget The plan is to fund remedial action projects as they are ready to proceed. With
this strategy, funds are available for those remedial action projects whose schedules are most certain -
those ready to start in the beginning of the year All cuts in the RA budget will, therefore, be taken on
projects scheduled to begin in the fourth quarter.
This strategy will be re-evaluated at mid-year to determine whether projects of environmental
significance that would otherwise be ready to go will be slipped to next fiscal year in favor of less
significant projects Adjustments may be made at this point, both within and between regional RA
budgets.
During the past three years, the cost of Rl/FS for both operable units and for the whole site
have almost doubled One of the reasons for the continually escalating costs is that regional managers
are paying insufficient attention to cost control. Another reason is the incremental funding of Rl/FS.
FY89 marks the second year of a three year initiative to ensure that no RI/FS projects are incrementally
funded. Regional RI/FS budgets will be established during SCAP negotiations, and regions will be
accountable for managing their agreed upon outputs within the final budget
HQ will use the following procedures and ground rules to insure that RI/FS full funding and
cost control initiatives are implemented within the budget ceding:
Fully fund (to project completion) all RI/FS yielding RA starts by the end of FY91.
These RI/FS projects will not be included in the calculations for the regional allocation
of the FY90 budget
Fund only FY89 needs of other projects started prior to FY89. The balance of the
amount needed to complete these projects will be provided in FY90.
Provide an average of $500,000 for first and subsequent operable unit starts in FY89.
An additional $250,000 average will be provided in FY90. Total project costs will be
limited to an average of $750,000 over the two year period. Total site costs will be
limited to an average of $1.1 million.
A small number of Rl/FS have total projected costs in excess of $3.0 million. The
budget figures include FY89 "minimum" needs for these projects, as identified by the
regions. These projects will be addressed during the HQ/rcgional negotiations.
The criteria used to develop the other major portions of the regional budget are shown in
Exhibit VI-1 on the following page.
Removal Annual Regional Budget
The national removal budget has grown slightly over FY88 to reflect the increased cost of
removal actions. In FY89 each region was given a preliminary annual removal budget Ninety-five
percent of the total removal budget was distributed to the regions based on an average of previous
years (FY85-FY88) allocations The remaining 5% of the budget will be held in HQ as a regional
contingency. Funds for management of the num-ERCS contracts will also be allocated to the regions
in FY89.
VI-2
-------
OSWER Directive 9200 3-01B
EXHIBIT VI-1
CRITERIA FOR PROPOSED REGIONAL
REMEDIAL BUDGET DEVELOPMENT
ACTIVITY
RI/FS
RD
RA
PROJECT SUPPORT
TECHNICAL
ASSISTANCE GRANT
CORE PROGRAM
COOP. AGREEMENT
PRP RD/RA
OVERSIGHT
ARCS
MANAGEMENT
CRITERIA
Average $500K for first and
subsequent starts in FY89
Fully fund all RI/FS yielding
RA starts by the end of FY91
Fund FY89 needs of other
projects started prior to FY89
Based on projects and dollars
in CERCLIS. Projects without
estimates were budgeted at
$75 OK
Based on dollars and schedules
in CERCLIS.
Based on a share of each
region's remedial targets and
dollars
Based on the number of NPL
sites with remedial work on-
going in FY89
Based on actual and planned
Core Program Cooperative
Agreement obligations in FY88
Based on the region's share of
PRP RD and RA projects
Based on the number of ARCS
contracts projected for each
region in FY89
Enforcement Case Budget Annual Regional Budget
Case Budget (CB) funds will be apportioned to the regions based on the annual targets and
measures and the region's financial planned amounts reflected in the CERCLIS and CERHELP site
and non-site data bases. Each activity has a pacing factor that is used during the allocation process.
These factors are itemized in Exhibit VI-2. Activities whose duration is less than one year are fully
funded (e g., PRP search, negotiations, removal oversight, long-term response. Section 107
administrative.) Activities with a duration exceeding one year are funded quarterly (e.g., RI/FS
Oversight, Section 106 and 107 litigation.) Other priority activities (administrative record, Federal
Facility NPL listing support, state management assistance, and preliminary natural resource surveys)
are added to this calculation. Allocations will be reviewed and adjusted quarterly based on changing
targets and the number of quarters remaining in the current fiscal year.
VI-3
-------
OSWER Directive 92003-01B
EXHIBIT VI-2
OWPE FY89 EXTRAMURAL PRICING FACTORS
(in thousands)
ACTIVITY
PRP SEARCH (NPL)
PRP SEARCH (REMOVAL)
§107 REFERRAL
§107 ADMINISTRATION
RD/RA NEGOTIATIONS
§106 REFERRAL (COMBINED§106/§107)
RI/FS NEGOTIATIONS
RI/FS OVERSIGHT
SUBSEQUENT RI/FS OVERSIGHT
NPL REMOVAL OVERSIGHT
SUBSEQ NPL REMOVAL OVERSIGHT
NON-NPL REMOVAL OVERSIGHT
SUBSEQ NON-NPL REMOVAL OVERSIGHT
FF RI/FS OVERSIGHT
FF RD OVERSIGHT
FF RA OVERSIGHT *
IAG NEGOTIATIONS
PRELIM. NATURAL RESOURCE SURVEY
NBAR
FULL
PRICING
FACTOR
50.0
1.3
112.0
12.0
30.0
280.0
50.0
200.0
200.0
50.0
50.0
50.0
50.0
200.0
150.0
300.0
50.0
6.0
3.0
QUARTERLY
PRICING
FACTOR*
-
8.0
-
-
20.0
*
20.0
20.0
-
-
-
-
20.0
-
30.0
-
-
-
DURATION
(in Quarters)
3
l
14
2
3
14
2
10
10
3
3
1
1
10
3
10
2
1
2
* Activities or more than 4 Quarters duration may not receive full funding in FY89.
** TES 3 & 4 contracts will fund ongoing RD/RA oversight
VI-4
-------
OSWER Directive 92003-01B
SCAP'S RELATIONSHIP TO THE AOA
Within the SCAP process, obligations are planned either site or non-site specifically. That is,
some planned obligations are associated with a specific site while other planned obligations are
estimates of total funding required for an activity within a region. The CERCLIS and CERHELP data
bases have been designed to accommodate site- and non-site specific planning. Exhibit VI-3 lists the
events and enforcement activities for which obligations are planned on a site vs. non-site basis.
EXHIBIT VI-3
SITE VS. NON-SITE SPECIFIC PLANNED OBLIGATIONS
Site Specific
Community Relations
Design Assistance
Expedited Response Actions
Federal Facility Oversight
Forward Planning
Geophysical Support/
Topographical Mapping
(Over $50K or funded through
lAGorCA)
Long Term Response
Management Assistance
Negotiations
--IAG
--RD/RA
-RI/FS
Operation and Maintenance
Oversight of PRP:
--R1/FS
-RD
--RA
- Removals
RA
RD
RI/FS
Removals
Technical Assistance
Technical Assistance Grants
Workplans
Non-Site Specific*
ARCS Contractor Management
Administrative Record Backlog
Aenal Surveys
Core Program Cooperative
Agreements
Geophysical Support/
Topographical Mapping
(Less than $50K)
Mim-ERCS Management
PRP Searches
Preliminary Assessment/
Site Inspection
Preliminary Natural Resource
Surveys
Records Management
State Enforcement Management
Assistance
Training
* For these activities, regions
must enter the number of sites
involved and the contract
vehicle.
VI-5
-------
OSWER Directive 9200 3-01B
In addition to the site and non-site specific planning, obligations are also planned and budgets
developed on a program specific basis. The Budget Source field in CERCLIS identifies which
program pays for the planned events/activities Exhibit VI-4 presents the budget source codes
associated with each program,
EXHIBIT VI-4
BUDGET SOURCE CODES
E = Enforcement N = HQ Enforcement
V = Removal M = HQ Removal
R = Remedial D = HQ Remedial
It is important that regions accurately identify the budget source since each program develops
an annual budget and each program has a separate AOA process. Exhibit VI-5 identifies the major
events/activities and the appropriate budget source codes, depending on the project/event lead, for
planned obligations In general, TES 3 and 4 funds should be given a budget source of "N" instead of
"E" Funds for temporary or permanent relocations conducted by FEMA should be given a budget
source of "M" or "D" after the IAG is signed and funds are transferred to HQ through the change
request procedures. Funds for mixed funding RDs and RAs are obligated by HQ and should have a
budget source of "D". It is important that the regions maintain this budget source code to eliminate
potential impacts on the regional AOA.
CERHELP includes an AOA system that identifies the Comptroller approved AOA. HQ enters
the official AOA numbers. Use of this data file allows regions to compare their aggregate planned
obligations, provided on the AOA report, with the HQ version of the "Official AOA". If discrepancies
between the two occur, regions must inmate contacts with the appropriate program office and the
, Office of Program Management (OPM) to determine the reason for die variance.
VI-6
-------
OSWER Directive 92003-01B
EXHIBIT VI.S
WHO PAYS FOR WHAT
/
k
EVENT/Acnvmr
ARCS Management
Core Piuyiam Cooperative Agreement
ERA$fctoncal)
LSI )
Jjngaooa
Section 106
Section 107
Secnon 106/107
Mim-ERCS Management
frff jfTti arH^iffiiyrh**^tfH development
of ate workplans) "
Removal
RI/FS
RD/RA
PA/SI
PRP Searches
Removal
Remedial
Project Support*
Aenal Sinveyi
Administrative Record
Community Relation*
Design Assistance
Forward Planning
Geophysical Support
Health Assessment
Long Term Response
Management Assistance
Operation A Maintenance
Preliminary Natural Resource Surveys
CERCLtS/CEKHELP
EVENT/ACTIVITY CODES
AR
SC
ER
ES/U
SX
SV
CL
PM
RN
FN
AN
PA
RP
PS
AS
AR
CR
DA
FP
GS
HA
LR
MA
GM
PN
LEAD
-
S
F
S
FE.SE
FE.SB
FE.SE
FE.SE
FE.SE
FE.SE
S
FE.SE
FE.SE
F.S.FE.SE.MR
PS.RP
F,S,FE,SE,MR
PS.RP
F.S.FE.SE.MR
PS.RP
F.S.MR
PS.RP
F.S.SE
PS.RP
F.S.FE.SE.MR
PS.RP
F.S.FE.SE
PS.RP
F.S.MR
PS.RP
F.FE.MR
RP
F.S.MR
PS.RP
PS.RP
BUDGET
SOURCE
R
R
R
R
E,N
E,N
E,N
E.N
E.N
E,N
R
E.N
E.N
R
E,N
R
E,N
R
E.N
R
E.N
R
E,N
R
E.N
R
E,N
R
E.N
R
E.N
R
E.N
E.N
'Guidance on assigning leads for project support activities u found in Chapter V
VI-7
-------
OSWER Directive 9200 3-01B
EXHIBIT VI-S
WHO PAYS FOR WHAT (Cont'd)
EVENT/ACTIVITY
Public Comment on Deletion Package
Stale Enforcement Management Assistance
Technical Assistance
Technical Assistance Giants
Topographical Mapping
Removal
Contingency
NPL
Non-NPL
Oversight of PRP removals
RI/FS
Oversight of PRP or Federal Facility RI/FS
RD
Oversight of PRP or Federal Facility RD
RA
Oversight of PRP or Federal Facility RA
Records Management
Temporary Relocation
Remedial
Removal
CBRCUS/CERHELP
EVENT/ACTIVITY CODES
PD
m
TA
TO
TO
RV.1R.PR
RC
NP
MA
RV.R.PR.OS
RI,FS,CO
RI.FS.CO
RD
RD
RA
RA
RM
TR
TR
LEAD
F.S.MR
RP.PS
PS
F.S.FE.SE.MR
PS.RP
ALL
F.S.FE.SE.MR
PS.RP
F.S
F
F
F
RP
F,S,FE,SB
RP.PS.FF
F.S
MR
RP.PS.FF
MR
F,S
MR
RP.PS.FF
MR
-
F.S.MR
F.S
BUDGET
SOURCE
R
E.N
E,N
R
E.N
R
R
E.N
V
V
V
V
E.N
R
E,N
R
D
E,N
R
R
D
E
R
E.N.R
R
V
Guidance on assigning leads for project support activities u found in Chapter V
VI-8
-------
OSWER Directive 9200 3 018
Regional Allowance^
In FY89, the Office of the Comptroller will issue five allowances to the regions. They are:
RA (site-specific site allowance),
RD (site-specific sue allowance),
* Removal (non-site specific site allowance),
Other remedial with an RI/FS ceiling (regular or "O" Allowance); and
Enforcement (regular allowance)
OERR and the Office of the Comptroller are soil working on changing the Advice of Allowance
structure Regions will be informed of any changes prior to implementation.
The following sections explain how these allowances are developed and the flexibility available in the
Advice of Allowance structure
The AQA Process
The Office of the Comptroller issues the quarterly AOA usually on the third working day of
each quarter. The AOA is based on the Phase in Operating Plan which identifies projected obligations
for each quarter of the fiscal year The Phase HI Operating Plan for FY89 is based on the final SCAP
plans developed in the fourth quarter of FY88 Funds available for obligation, however, are limited to
projected needs for the upcoming quarter Regional AOAs are based on approved planned obligations
contained in die CERCLIS and CERHELP data bases four weeks prior to the start of each quarter An
AOA report, which reflects the final SCAP plan for the upcoming quarter, will be generated from
CERCLIS during the ninth week of the quarter If the planned and actual obligations and
commitments exceed the regional budget or the RI/FS ceiling, the region will be
contacted and the AOA will not be issued until CERCLIS is revised. The HQ Budget
and Forecasting Section (BFS) forwards the planned obligation totals for regional response activities to
the Financial and Administrative Management Section (FAMS) After review, the FAMS sends the
AOA request to the AA OSWER. From the AA's Office, the AOA request is forwarded to the Office
of the Comptroller where the AOA is prepared and sent to the Regional Financial Officer HQ will
enter the final AOA into the CERHELP AOA system. Only projects planned in CERCLIS can be
funded by the AOA. OWPE has a similar process for the Enforcement AOA. Exhibit VI-6 illustrates
the AOA process
VI-9
-------
OSWER Directive 9200 3-01B
EXHIBIT VI-6
THE ADVICE OF ALLOWANCE PROCESS
4 Weeks
before the
Quarter Ends
Approved planned obligation
data are pulled from
CERCLIS/CERHELP
HQ program
offices review j
the data
Resources management staff review approved planned
obligations, compares them to the annual regional budget.
If the planned and actual obligations and commitments
do not exceed the regional budget or the RI/FS ceiling,
, the AOA request is prepared.
Assistant
Administrator's
office reviews
and approves
OWPE and
OERR enter
AOA data into
CERHELP
Comptroller issues
official AOA
on
first day of the
quarter
Regions obligate
funds to projects
planned in SCAP as
reflected in CERCLIS
VI-10
-------
OSWER Directive 92003-01B
The HQ Budget Division monitors obligations against the AOA weekly. If a region exceeds
any of the allowances, the Rl/FS ceiling or a site-specific RD or RA allocation, the HQ Budget
Division will notify the region and request resolution of the overcommitment/'overobligation. The
region then has until the end of the current month to rectify the overcommitment/obligation or shut
down procedures will be initiated.
If the region does not submit a change request, decommit or deobhgate funds, or effect
corrections in FMS as necessary, the HQ Budget Division will inmate reprogramming from the
region's regular or other remedial allowance. Repeated violations for site or allowance allocations may
result in partial or total withdrawal of the region's site allowance.
As is standard Agency policy, if a region exceeds either the regular or site allowance, the HQ
Budget Division will withdraw obhgaaonal authority in accordance with existing procedures. During
the last quarter of the year, the HQ Budget Division will work with the regions and OSWER as
necessary to ensure that all allowances and obligations are aligned prior to year-end closing
AQA Flexibility
Flexibility exists within the AOA structure to shift funds both within and between allowances
Funds can be shifted within the other remedial allowance and within the Rl/FS ceiling However, the
Rl/FS ceiling cannot be exceeded without HQ approval of a SCAP amendment.
Funds saved within the site-specific RD account due to PRP takeovers, or due to bids coming
in under the previously projected amount, will generally be approved by HQ for use within the region
consistent with the following priorities
Classic emergencies,
Funds necessary to conduct oversight of PRP settlements;
* Other RD/RA projects, and
Removal actions at NPL sites
Regions must submit a SCAP amendment and AOA change request to HQ pnor to shifting the
RD funds saved.
Given that Congress reduced RA funding for FY89, approval of the redirection of RA funds to
other program needs is highly unlikely If a region is able to save RA money (through a PRP
takeover, or a bid coming in under budget) HQ will look favorably toward directing that savings to
other environmentally significant remedial actions within the region, after consideration, however, of
national environmental needs, and the national needs to meet the 175 statutory mandated RA starts
Once again, a SCAP amendment and change request must be approved before the RA funds can be
redirected.
AOA Change Request Procedure^
Regions are required to operate within their quarterly AOA, Rl/FS ceiling and their annual
regional budget They are also responsible for managing the funds issued in the AOA HQ approval
is not required to shift funds between projects within the other remedial, Rl/FS ceiling, removal or
enforcement portions of the AOA. Any shifts of funds between allowances, any addition or deletion
of funds from any of the allowances and a planned increase to the Rl/FS ceiling requires HQ approval
through the SCAP amendment and adjustment procedures. (See Chapter V for more detail on
VI-11
-------
OSWER Directive 9200 3-01B
amendments and adjustments.) CERCLIS must be revised to reflect shifts in funds between projects
and AOA change requests.
Each change request (EPA Form 2410-20) should clearly identify the changes being made to
the allowance If die change is in the RD or RA allowances, the site/spill identification number, OU,
and event must be on the change request form. Each change request should equal a net change of zero
dollars and provide an explanation as to why funds are being shifted. The change request must be
signed by authorized personnel in the region's financial office. The change request is submitted to the
appropriate OSWER Office Director by memorandum from the Regional Division Director and a copy
of the change request should be sent to the Superfund Branch Chief in the HQ Budget Division. The
site-specific record in CERCLIS should be revised at this time. After OSWER approval, the change
request is submitted to the Office of the Comptroller for review and execution of the revised AOA.
Regions should not initiate any obligations against the change until confirmation is received from the
Office of the Comptroller.
Change requests submitted to HQ can be processed and a revised allowance issued mid-month
or the first of the next month. In emergency situations, the Office of the Comptroller can issue a hand
allowance as soon as the change request is approved
Remedial Financial Planning for AOA
The AOA for the remedial program is issued by the Office of the Comptroller on a site and non-
site specific basis and is broken down into the following categories'
RD (site-specific);
* RA (site-specific), and
Other remedial
The other remedial allowance includes RI/FS, site specific and non-site specific program and
project support activities, and oversight of PRP-lead RDs and/or RAs Site-specific planned
obligations are entered directly into CERCLIS in the appropriate event record for the site. At this time,
the planned obligation date, amount, contractor vehicle, budget source and priority funding status are
to be entered. The regional other remedial AOA is the total of the approved site specific or non-site
specific planned obligations in CERCLIS and CERHELP with a budget source code of "R". When the
other remedial allowance is issued a ceiling will be placed on the funds that can be obligated for new
and ongoing RI/FS projects. This ceiling cannot be raised without HQ approval. HQ will monitor the
status of planned and actual RI/FS obligations on a monthly basis. CERCLIS will automatically
aggregate the site-specific and non-site specific planned obligations for the purpose of developing and
issuing the AOA and establishing the RI/FS ceiling.
Unlike the RI/FS, the Office of the Comptroller issues the AOA for RD and RA activities on a
site-specific basis. The AOAs for RD and RA are pulled directly from the approved site-specific
planned obligations in CERCLIS and are issued by site name, site/spill identifier and dollar amount
A region will not receive funds above its annual regional budget unless a SCAP amendment
and change request has been approved by HQ. Each quarter the actual and approved planned
obligations and actual commitments must be less than or equal to the annual regional
budget and the RI/FS ceiling or the AOA will not be issued.
If a region receives funds in their AOA which were not obligated during the quarter received,
the relevant planned obligation data in CERCLIS must be changed At the end of each quarter HQ will
review the AOA funds remaining, commitments and obligations made and planned obligation data. If
VI-12
-------
OSWER Directive 9200 3-01B
AOA funds were not committed or obligated and the planned obligation data were not changed, HQ
will take the following actions:
* Reduce the next quarter's AOA for other remedial funds by the amount that was not
committed or obligated; or
Request that regions follow the Office of the Comptroller's change request procedures
to return RD or RA funds to HQ.
The Financial Summary Report (SCAP-15) will be used to evaluate the status of the other remedial,
RD and removal allowances. The Projected Fund-Financed Remedial Projects Report (SCAP - 3) will
be used for the RA allowance.
To the maximum extent practicable, regions should plan for mixed funding requirements pnor
to the development of the annual regional budget However, if a request for pre-authonzation is
received and funds are required during the current fiscal year, regions must identify the source of the
requested funds from within their annual budget Since the authority to obligate Fund monies to mixed
funding activities has not been delegated to the regions, the change request procedures will have to be
followed to return approved pre-authonzed funds to HQ and the budget source for the planned
obligation will have to be revised in CERCLIS
Removal Financial Planning for AOA
Five weeks prior to the start of the SCAP current year quarter, the region prepares a plan for
the upcoming quarter using the quarterly regional budget as a guide. This plan serves as the basis for
issuing die Removal AOA. This plan includes new actions scheduled to begin during the upcoming
quarter as well as ongoing actions where additional funds are needed The region then has to decide,
in the context of its remaining budget for the year, how much it can afford to do during the quarter
The region must also plan, in the non-site/mcident portion of CERCLIS, an adequate contingency for
emergency actions.
OWPE CASE BUDGET PROCESS
This section describes the Case Budget (CB) strategy, financial planning requirements,
budget/AOA, allocations, contract mechanisms including delegations, activities/pricing factors and
integration of CERCLIS and Technical Enforcement Support Work Assignment Tracking System
(TESWATS) for FY89. Exhibit VI-7 shows the interaction between the regional and HQ
responsibilities for CB data flow
The Case Budget Allocation
The CB allocation is the approved funding for enforcement activities/events identified in
CERCLIS or CERHELP as having a Financial Budget Source "E" or "N". The allocation is
composed of three Budget/AOA types 1) TES 3 & 4,2) Non-TES, and 3) TES 5-K The TES 3 & 4
type is a budget whose funding remains in HQ for obligation and is available to the regions based on
an allocation of contract capacity (Financial Budget Source "N") The Non-TES and TES 5+ types are
an AOA transferred to the region for obligation (Financial Budget Source "E").
VM3
-------
OSWER Directive 92003-01B
EXHIBIT VL7
CASE BUDGET DATA FLOW
-MAY
ac
$
i
I
JULY/
AUG
g
M
3
U
REGIONAL
RESPONSIBILITIES
SCAP CASE
BUDGET
REQUEST
- TES 3*4
- NON-TES
- TES 5+
NEGOTIATIONS
ENTER "APR"
FOR DOLLARS
WITHIN
ALLOCATION,
"ALT" FOR ALL
ENTRY OF
NON-TES
OBLIGATIONS
(C Am, IAG*,POs,
REM, ETC.)
1
ADJUSTMENT
OF CASE
BUDGET PLANS
HEADQUARTERS
RESPONSIBILITIES
C
E
R
C
L
I
S
SCAP/SPMS
TARGETS
MEASURES
PRICING
FACTORS
USED TO
CALCULATE
ALLOCATIONS
TO REGIONS
REVIEW OF
REGIONAL
REQUEST,
POSSIBLE
ADJUSTMENT TO
DOLLARS AND/OR i
CONTRACT
MECHANISM
NEGOTIATIONS
NOTIFICATION TO
REGIONS OF:
- NON-TESLAOA (Ğent to\
- TES 5+ J Regions)
- TES 3 & 3-Funding
Level (Held
at
VI-14
-------
OSWER Directive 92003-01B
Financial Planning Requirements
The following guidance is provided to assist the region in fulfilling the CB strategy and to
identify needs not addressed by the average pricing factors. Financial planning data will be entered in
both the CERCLIS and CERHELP data bases
There is a growing disparity between the amount of dollars the regions have obligated/tasked
and the amount that has been disbursed (outlayed). There are many factors that have contributed to
this problem; progress of response by PRPs, obligating/tasking amounts in excess of requirements for
the current fiscal year (i e., not adhering to quarterly funding methodology), and obligating/tasking
oversight assignments pnor to the signing of settlement documents These actions have contributed to
both a contract capacity problem and the realtime disbursement (utilization) of CB funding
The region must review the financial status of each ongoing Work Assignment (WA) (i.e,
approved budget hours/dollars and expected outlays by the end of FY88) pnor to requesting additional
incremental funding for FY89 The total carryover needs for FY89 for TES 3 and 4 (i e., total WAs
issued in FY88 [approved budgets] - total estimated outlays in FY88 = total carryover for FY89) will
be posted in the non-site specific data base as a first quarter planned amount. The carryover will be
entered as an "Other" activity (Financial Budget Source "N"), using the financial comment field to
identify the record as TES 3 or 4 carryover In addition, new start activities must be analyzed to
determine whether quarterly (incremental) or full funding is appropriate, depending on the type of
assignment
It is acknowledged that there are sues where, due to their complexity or size, the application of
average pricing factors results in a substantial underestimation of required resources. To address this
issue in the budget process, die region will identify events/activities that are expected to exceed the
pricing factor by greater than 100% (i e, 2x the pricing factor) Two financial records must be created,
one record will contain the dollars above the pncmg factor coded as "ALT' in the financial funding
status, a second record will contain the pncmg factor dollars coded as "APR" in the financial funding
status The rules for full or quarterly funding also apply here
There are some events/activities, such as a second PRP search, which are not captured in the
target/pricing factor methodology. To address this issue, the region will create one financial record
containing the estimated dollars coded as "ALT" in the financial funding status
Dollars coded as "ALT" will remain in that status until one of two things occurs: 1) The regions
CB allocation will support those needs, or 2) additional funds are received by OWPE and allocated to
the regions
Regions that use "TBDs" to target activities/events must create a financial record with the
appropriate CB planned dollars.
The non-site data base, CERHELP, can be used for CB planning for activities that are non-site-
specific. Examples of these are administrative records (backlog), state enforcement management
assistance, PNRS, records management, and training Records that apply to more than one sue must
indicate the number of sites. Those activities where there is a change in lead, state, financial planned
quarter, or financial vehicle will require multiple activities records
It is imperative that the region complete an entry for the Contract Vehicle (contract mechanism)
on each record where there is a request for CB dollars TES 3 or 4 must be identified TES 5+ will be
identified as 'TES" until the new contracts are awarded. lAGs will be identified for a specific agency
in the financial notes field until agency-specific codes are reestablished as a funding vehicle
VI-15
-------
OSWER Directive 92003-01B
Fiscal Delegation/Management
In FY88 the fiscal responsibilities and contracts management functions were delegated to the
regions, making them responsible for obligating funds for all actions except generic obligations to TES
3 and TES 4. This includes mechanisms such as CAs, contracts, and lAGs (e.g., small purchases,
ARCS, regional contracts, TES 5+ contracts, and REM)) The region must request a quarterly AOA
from OWPE four weeks pnor to the start of the quarter for all contract mechanisms (funding vehicles)
other than TES 3 and TES 4 CTES 3 will expire on June 30,1989 and TES 4 on September 30,1989).
These requests should coincide with the planned budgets in the Budget/AOA portion of the non-site
specific data base maintained by HQ. A quarter's AOA will be subject to adjustment based on the
funds remaining in the regional AOA.
If a regional non-TES obligation is made and is not going to be expended in that year, the
funds can be deobligated and will revert back to that region's AOA If the deobligation occurs after the
fiscal year, the funds become part of the national carry-over Efforts should be made to deobligate
funds, if necessary, within the same fiscal year
Contract Management Delegation
For all TES contracts, Project Officer (PO) approval authority for WAs has been delegated to
the Regional POs (RPO) With respect to the SCAP process, this involves two items. First, the
regions are responsible for assuring that all required information is completed correctly to track the
transaction in TESWATS and CERCLIS The WA form, produced by TESWATS, has been designed
to provide fields for EPA ID#, Event and Enforcement activity codes, and OU #.
Secondly, the regions will be given a combined budget for TES 3 & 4 contracts. The budget
break down between TES 3 and 4 will be transmitted by memorandum to the regions Decisions must
be made within the regions on which projects should be completed by TES 3 & 4 contractors and
which through Non-TES or TES 5+ means, without exceeding their total Case Budget allocation. Any
changes must also be made in CERCLIS WA numbers will be issued in the regions when the WA is
originated These numbers are critical in matching obligations Regional extramural technical case
support taken under Department of Justice (DOT) LAG will be subtracted from the regional budget
Interagency Agreements
The regions were delegated general Interagency Agreements (IAG) obligation and Project
Officer (PO) authority in FY88 In addition, HQ maintains a national IAG with the Department of
Justice (DOJ), the U.S Army Corps of Engineers (USAGE), the U S. Geological Survey (USGS)
and the U S. Fish and Wildlife Service (USFWS). The HQ lAGs with the USAGE, USGS, and
USFWS will be closed out at the end of FY89
Interagencv Agreements for Technical Assistance
Final draft guidance was sent to the regions on Interagency Agreements (lAGs) for
technical assistance in February 1988 This guidance detailed processes and
procedures for obtaining technical assistance from the USAGE, USGS, and USFWS.
This guidance will become final on October 1,1988, in a joint document with OERR
entitled "Regional Processing of Superfund lAGs". Technical assistance from these
agencies will be provided through a site-specific IAG. The EPA RPM will plan for
USAGE, USGS, and USFWS support through the site specific data base of
CERCLIS, under the appropriate event or enforcement activity Upon receipt of the
VI-16
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OSWER Directive 92003 018
signed IAG, the actual obhgations and their corresponding AN and DCN must be
entered into CERCLIS lAGs that support enforcement activities will have to post the
AN and DCN in the financial notes until CERCLIS is modified.
Interagencv A greements for Preliminary Natural Resources Survey
Final draft guidance for Preliminary Natural Resource Survey (PNRS) lAGs was sent
to the regions in February 1988 This guidance detailed process and procedures for
initiating PNRS with the National Oceanic and Atmospheric Administration (NOAA)
and/or the Department of the Interior (DOI) This guidance will become final on
October 1,1988 in a joint document with OERR entitled "Regional Processing of
Superfund lAGs". PNRS with these agencies will be provided through a generic IAG.
Planning for these activities is through the non-site specific data base of CERCLIS If
the region expects to conduct surveys with both DOI and NOAA, then two planning
records will be required in the CERHELP data base Actual obhgations will be posted
in the non-site specific data base The region should use $6K per site to estimate
funding requirements
Department of Justice
EPA HQ maintains a national agreement with the DOJ/Land and Natural Resources
Division (LNRD) to provide legal representation and associated support services on
behalf of EPA for all matters arising from or related to CERCLA and SARA Support
services are defined as expert witness and automated litigation services. DOJ/LNRD
maintains a base level budget for legal representation services. The purpose of this
section is to provide the regions with a forward planning process that will identify
needs for these services EPA HQ will transfer funding to DOJ based on those
estimates The region's Non-TES budget will be reduced by HQ in the amount
transferred to DOJ. The region will delete their planned financial records when they are
notified by HQ that the transfer has been complete
DOJ will provide expert witness (EW) for referred cases The regions will coordinate
the planning for expert witness with the Office of Regional Counsel (ORC) and
DOJ/LNRD. The region should plan for the experts under the appropriate enforcement
activity (i e.t Section 106, Section 107) The funding vehicle would be IAG and DOJ,
"EW" must be posted in the financial notes field
DOJ may provide automated litigation support (ALS) for referred cases This support
and use of EPA regional funds is discretionary and is based on the requirements for a
particular case. The regions must coordinate the planning for ALS with the ORC and
DOJ/LNRD. The region should plan for the ALS under the appropriate enforcement
activity (Sections 106, Section 107) The funding vehicle would be IAG and DOJ, ALS
must be posted in the financial notes field
EPA HQ will pull this planning data on October 29,1988 and on Apnl 29,1989
Those funds will be transferred to DOJ and the region's Non-TES budget will be
reduced by an equivalent amount. The Director OWPE CERCLA Enforcement
Division will manage this account
VI-17
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OSWER Directive 9200 3-01B
8fa) Contracts
Regions are encouraged to use 8(a) minority contractors whenever alternatives to TES or other
contracts are needed. Historically, 8(a) contractors have been used primarily for PRP searches. They
can, however, be used for oversight support, records management, sampling and other activities. Use
of 8(a) contractors is not limited to any particular type or activity.
Funding for 8(a) requests will be included in the regional AOA, which will cover all non-TES
3 and 4 CB needs. Requests for 8(a) contract dollars should be made through the usual SCAP
process, i e., they should be entered into CERCLIS site-specifically using 8(a) contract spending,
though requests should fall within the appropriate activity pricing factors.
Activity/Event Budget Pricing Factors
PRP Search/Non-Binding Allocation of Responsibility
These two line items are meant to capture the notice letter support, financial assessment,
record compilation, title search, de minirms determination, and Non Binding Allocation
of Responsibility (NBAR) allocations The PRP search for remedial activities is
budgeted at $50K The PRP searches for large removals are estimated to cost $13K.
For small removals where the owner or operator is known or where cost recovery
litigation is a low priority, the PRP search dollars may be closer to $1 3K.
The CERCLIS Enforcement Activity Code 'RP* should be used for removal searches
Enforcement Activity Code 'NS1 should be used for remedial search activities
Regions are encouraged to initiate PRP searches using 'NS' when the initial scoring
predicts the site to be listed on the NPL Continuing PRP search activities, after the
PRP search has formerly been designated as completed should be coded as a second
PRP search NBAR should be used for allocation type categories (i e., NBAR, Non-
Binding Preliminary Allocation Responsibility (NPAR), de mimmis) The lead for
these activities should be designated as RP or SE
RI/FS Negotiations
These dollars represent the funds for negotiations including support for negotiation
meetings and developing negotiation support documents (e g., a detailed scope of
work, forward planning and records compilation) and the issuance of administrative or
consent orders The dollars allocated to this category are generally limited to $50K
These funds are not expected to support the entire scoping activities and workplan
development of a Fund-financed RI/FS In addition, separate WAs must be initiated
for the RI/FS Negotiation (FMS Activity Code "B") and one for the Oversight of a PRP
RI/FS (FMS Activity Code "P"), to allow for the tracking and cost recovery of the
oversight costs.
Oversight
The FY89 budget pricing factors for PRP oversight are as follows: $50K for removal,
and $200K for RI/FS Oversight of PRP RD and RA will be funded by the Response
program through the AOA process in FY89 These projects should be given a budget
source code (C3229) of "R" An exception to this is ongoing PRP RD or RA oversight
using TES 3 and 4 contracts. Planned obligations under these contracts should be
VI-18
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OSWER Directive 9200 3-01B
given a budget source code of "N" (HQ Enforcement). The pncmg factors are
expected to provide oversight support for the duration of the activity. RI/FS are
budgeted to be ongoing for ten quarters, RAs for ten quarters, and RDs for three
quarters It is important to note that oversight costs vary from project to project and
these pricing factors represent an average. TES WAs or other funding vehicles should
not be processed until the settlement document is signed (consent order by PRPs and
regions, CD by DOJ) to avoid having funds and contract capacity tied up for anticipated
rather than actual needs Dollars should not be put into the ROD line item.
Enforcement support during the ROD preparation should be included in the RI/FS event
for PRP lead sites or with the RD/RA negotiations activity for other leads
For PRP removal oversight, TES capacity needs should be listed on the non-site
specific portion of SCAP Generic assignments can be submitted to the CO in advance
for emergency removals only Advance submission will allow the assignment to be
activated immediately after the order is signed. The CO will hold the assignment until
the regional PO notifies the CO that the order has been signed by EPA. To activate the
assignment they will need the site name and the 12 digit EPA ID#, the site/spill ID#,
CERCLJS event code and OU#
RD/RA Negotiations
The pricing factor for RD/RA negotiations for FY89 is $30K. Review of a PRP
remedy or PRP comments to a recommended remedy, is generally included in the
response to public comments in the RI/FS budget This category is mainly for
negotiation sessions and responses to additional PRP inquiries Any cost associated
with issuing unilateral AOs at these sites is also included in the $30K pncmg factor. In
addition, separate WAs must be initiated for the RD/RA Negotiation (FMS Activity
Code "B"), one for the oversight of PRP RD (FMS Activity Code "P"), and one for the
oversight of the RA (FMS Activity Code "P") to allow for the tracking and cost
recovery of the oversight costs.
Operation and Maintenance/Lori? Term Response (O&MILTR). Deletion
The budget for O&M/LTR for FY89 is $40K per year per site The CB for deletion of
PRP lead activities is combined with the activity preceding deletion
Section 106 Judicial Litigation without Settlement
There is a $20K budget for case development and $246K for litigation support for
cases referred to DOJ For planning purposes it is assumed that litigation will be
ongoing for 3 years. The $246K is for the 3 year penod.
Section 107
Cost recovery is a budget activity for FY89. Costs are estimated at $12K for
administrative recovery and $113K over 3 years for judicial cost recovery per new sue
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OSWER Directive 92003-01B
Community Relations
The CB is used to pay for Community Relations (CR) for removal and other remedial
events when a PRP-lead is expected for the response. The community relations plan
should be funded concurrently with negotiations. Funds for a community relations
plan can be combined with the TES WA funding the negotiations, or it can be a
separate funding action CR implementation should be funded concurrently with the
oversight of PRP response and, again, can be combined with the oversight funding in
one WA, or funded separately.
CR funding may be requested either site-specifically or non-site specifically. CR
obligations, however, must be made site-specifically If funding is requested non-site
specifically, the requested amount must be reduced as site-specific obligations occur.
Separate CR records are always entered into CERCLIS as Events. Those associated
with remedial response activities are entered as "CR." Those associated with removal
response activities are entered as "RC." Specific elements of CR work (e g., CR plan,
CR implementation, revised CR plan, etc.) which used to be funded individually, are
not entered as separate events, but are considered subevents to the CR or RC record.
Funds cannot be specified for subevents The enforcement CB does not fund CR
activities at Federal, State, or FE lead sites The lead for CR funded by the CB should
be "RP".
State Activities
The FY89 OWPE CB includes $5 million to support enforcement Cooperative
Agreements (CAs) with States. This money is intended to: 1) fund State support
activities during EPA-lead enforcement actions; and 2) conduct State-lead enforcement
actions (SE-lead) or oversight (PS-lead) These resources will be distributed to each
region through the OWPE Advice of Allowance Specifically, state enforcement CAs
should be used to fund the following state activities*
PRP search and notice;
Negotiations;
Administrative or judicial enforcement;
Oversight of PRP response (Rl/FS, RD, RA), and
Participation in site specific activities where EPA has reached a settlement
agreement with the PRPs
Funds for state enforcement CAs are not intended to provide states with resources to:
Conduct state-lead RI/FS, RDs, or RAs Dollars for these events are allocated
byOERR;
Oversee PRPs at Federal-lead sites. Dollars for oversight of PRP response are
generally allocated from the TES contracts, or
ğ A ward CR technical assistance grants. Funds for these are allocated by OERR.
Three priorities have been established to help guide the regions in planning enforcement
CA resource needs in FY89. The priorities are consistent with EPA's responsibility to
meet statutory RA start requirements and with the Agency's pokey of encouraging state
involvement m CERCLA enforcement activities. Accordingly, the regions should,
when possible, use CAs to fund state management assistance and state-lead
enforcement activities at sites in each of the following categories:
VI-20
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OSWER Directive 9200 3-01B
Sites counting toward the 175 RA start mandate;
Sites counting toward the 200 RA start mandate, and
* Sites in which states have shown strong enforcement interest (primarily state-
lead sites)
While the first two categories represent the highest funding priorities, all states are
eligible for CA funding even if they do not contain sites that contribute to the RA start
mandates Regions with either state-lead enforcement sites that will not contribute to
the mandate or with states actively interested in participating in CERCLA enforcement
as the lead for an NPL site should attempt to use state enforcement CAs. Regions with
sites that will contribute to the RA mandates are encouraged to use CAs that fall into the
third category as well.
Funding requests for state management assistance during Federal lead enforcement
activities should be made non-site specifically A separate non-site specific record
should be entered to show total management assistance requests by state Funding
requests for all state-lead enforcement activities or oversight should be made site-
specifically
Federal Facilities
The Federal Facility Hazardous Waste Compliance Office ("Federal Facilities Task Force")
within OWPE manages the Federal Facility compliance and enforcement program. The program is
charged with developing and implementing enforcement policy for Superfund sites that are Federal
Facilities. The issues surrounding Federal Facilities are highly complex and generally have not been
addressed before by OWPE. Many aspects of OWPE Federal Facilities policy, therefore, are uncertain
and will take considerable time to resolve. The following guidance for using CB resources for Federal
Facility enforcement activities is consistent with that for other sites, but may be revised as the fiscal
year progresses and OWPE Federal Facility policies and priorities continue to develop.
The Federal Facility budget in FY89 is $4 6 million nationally. This money is to be divided
into two categories, consistent with the priorities of the Federal Facility program, as follows:
* Technical oversight and related activities $3 9 million This includes funding for
oversight of RI/FS, RDs and RAs at both NPL and non-NPL sites, as well as funding
of negotiations of enforceable lAGs (preferably under Section 120) through which
Federal agencies perform those activities
Implementation of the Federal Facilities Compliance Docket and related activities
$700K This includes both docket development as well as maintaining existing docket
facilities
In FY89, FTE resources will be distributed based on the NPL universe (including proposed
facilities) The FY89 budget contains 27 FTE for IAG negotiations and technical oversight at NPL and
priority sites and ten FTE for docket and related Federal facility activities. All requests for CB funding
at Federal Facilities will be handled through the normal CB process, i e, requests will be reviewed to
ensure that the national budget for Federal Facilities is not exceeded. Oversight of Federal Facility
RI/FS, RD and RA response activities will be funded by the enforcement budget in FY89 These
projects should be given a budget source code of "E" An exception to this is ongoing Federal Facility
RI/FS, RD or RA oversight using TES 3 and 4 contracts Planned obligations under these contracts
should be given a budget source code of "N" (HQ Enforcement). There is no pre-determmed limit on
a region's Federal Facility funding. HQ will negotiate appropriate adjustments with the regions to stay
VI-21
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OSWER Directive 9200 3-01B
within the $3 9M and $700K funding levels described above. HQ will also review regional requests
for consistency with the pricing factor for the activity.
All requests must be reflected appropriately in CERCLIS, with both dollar amounts and
contract mechanism specified. Funding requests for technical oversight and related activities should be
entered into CERCLIS as planned obligations associated with the appropriate remedial event. There is
no CERCLIS code for docket activities Funding requests for docket activities, therefore, should be
entered as an "OTHER" event, using the event code "OH", with one of the available comment fields
used to specify "Federal Facility docket" If some Federal Facilities needing CB funding cannot be
specified, requests should be made at "TBD" sites in the site-specific portion of the data base
Instructions for entering IDs for TBD sites can be found in Chapter V
SUPERFUND FINANCIAL MANAGEMENT
The purpose of the following section is to assist regional Program Offices in carrying out their
financial management responsibilities
Regional Financial Management Responsibilities
Due to the complexity of the Superfund program, numerous organizational units within the
regional EPA offices have responsibility for Superfund financial management These organizations
and their responsibilities are detailed below
Regional Administrator
Regional Administrators have the authority to.
Approve removal actions up to $2 million per site,
Award Cooperative Agreements (CAs);
Award Interagency Agreements (IAGs),
Enter into Superfund State Contracts (SSCs);
Initiate remedial planning activities,
Grant states credit against their cost share, and
Award Technical Assistance Grants
All of these authorities may be redelegated with the exception of 1) removal actions
deemed to be "nationally significant" and 2) Technical Assistance Grants
Regional Program Office
Overall regional Program Office financial responsibilities include:
Providing technical support to the Contracting Officer in contracts management,
Reviewing vouchers and/or financial reports,
Managing Cooperative Agreements (CA) and Interagency Agreements (IAGs),
Preparing Commitment Notices (CN) and Procurement Requests (PR);
Developing Superfund State Contracts (SSC),
Negotiating CAs with states, political subdivisions and Indian Tnbal
governments;
Either issuing site/spill identifiers (S/S ID) or requesting that they be issued by
the regional Management Division,
VI-22
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OSWER Directive 92003-01B
Managing the region's allowances;
Approving Requests for Proposals or Bids and contracts developed by the
states; and
* Participating in pre-award financial management system reviews.
Within the regional Program Offices, the following staff have specific Superfund
financial management responsibilities:
Qn-Scene Coordinator (QSO. The regional OSC may be an employee of EPA
or of the U S. Coast Guard This employee reacts to hazardous substances
spills and releases or threats of release by initiating and managing the removal
process. The OSCs financial management responsibilities include preparing
site budgets and contract action requests; completing Action Memoranda;
preparing delivery orders and PRs for contracts; establishing and maintaining
official removal site files; reviewing and approving the removal cleanup
contractors' charges on a daily basis; tracking site costs against the established
site ceiling; and approving removal contractors' invoices. The OSC must be
aware of, in control of and responsible for all removal site charges and for
ensuring that costs are reasonable and necessary.
Ordering Officer. All Ordering Officers must have a written "Delegation of
Procurement Authority" signed by a Senior Procurement Manager prior to
performing their duties The Ordering Officer, who typically is an OSC, may
initially obligate up to a maximum of $250,000 for removals at a specific site by
issuing a Delivery Order under an existing contract. This person also develops
the statement of work and cost ceiling for removals.
* Remedial Project Manager (RPM). The RPM, in coordination with the state
program personnel, is responsible for managing remedial and enforcement costs
and activities on a site-specific basis and for establishing and maintaining the
official site files
Regional Proiect Officer (RPOVDeputv Proiect Officer (DPQV TheRPOis
responsible for overall remedial and enforcement contract management
functions including identification of regional and site-specific contract
requirements, reviewing and certifying invoices, and financial monitoring of the
contract. The DPO is responsible for overall removal and general site support
contract management functions. The RPO/DPO evaluates and designates
contractor award fees, monitors contractors' activities, and reviews monthly
contractor reports and site-specific attachments.
The RPM or the RPO may initiate work assignments (WAs), CAs, lAGs and contracts,
and approve site-specific IAG invoices
Administrative Support Unit (ASLD Administrative Support Units may be
established in each regional Program Office The purpose of these ASUs is to
assist the OSC/RPM in performing their administrative duties, thus allowing the
OSC/RPM to concentrate their efforts on their technical site management
activities. These units are designed to perform at least four important functions
Provide administrative support to OSC/RPM on site;
Provide the OSC/RPM with administrative support in the regional
Program Offices,
VI-23
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OSWER Directive 9200 3-01B
Provide kaison between the OSC/RPM and other groups involved in
administrative matters, and
Provide support to the regional remedial and removal program
management
Specific examples of the kind of administrative and financial management
support the ASUs may provide to the OSC/RPM are as follows:
Assist in developing removal site budgets and preparing Action
Memoranda;
Assist in daily cost monitoring via daily contractor reports;
Maintain the Removal Cost Management System;
Set up and maintain active remedial and removal site files;
Complete PRs and CNs, and
Request and review reports generated by Software Package for Unique
Reports (SPUR) for purposes of monitoring site costs.
The ASUs may be staffed with EPA staff or the non-government functions may
be contracted out. Additional information on the model of an ASU is found in
the Report of the Workgroup on Management Support for Superfund's On-
Scene Coordinators, dated March 1987.
Resionnl Mancisement Division
For purposes of this document, the regional Management Division is the organization in
which financial management, budgetary, accounting, planning, and assistance
agreements administration functions are earned out. The regional Servicing Finance
Office (SFO), the Alternative Remedial Contracting Strategy (ARCS) and the
Emergency Response Cleanup Services (mim-ERCS) Contracting Officers are
considered to be a part of this division In most regions, the regional Management
Division:
Assigns account numbers (AN) and Document Control Numbers (DCN) to all
commitment and regional obligating documents;
* Controls the regional allowance, maintains the Document Control Register
(DCR), and reconciles transactions,
Generally issues S/S IDs for non-Coast Guard-lead sites;
Sets up regional account numbers in FMS (new obligational authority only);
Processes all PRs for national contracts and enters commitments into the
Financial Management System (FMS),
Processes CNs for lAGs and enters commitments into FMS;
Processes CAs, assigns CA identification numbers, enters CA commitments,
obligations and drawdowns into FMS,
* Assists the regional Program Office in the negotiation or pre-apphcanon phases
of the CA development,
Processes all Letter of Credit increases and monitors drawdowns;
Receives and reviews financial reports required by the CAs;
Maintains Superfund original and site-specific document files on all regional
costs and supports the regional Program Offices in preparing cost summaries
and documentation for cost recovery purposes;
Maintains accounts receivable for cost recovery and SSC cost share, and
maintains billing and collection system;
VI-24
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OSWER Directive 9200 3-01B
Provides regional Program Office with financial data;
Obligates contracts and modifications for the ARCS and mim-ERCS contracts,
and
Reviews invoices and monthly financial reports for the ARCS and mmi-ERCS
contracts
HO Financial Management Responsibilities
Selected Superfund financial management responsibilities of certain HQ divisions with whom
the regional Program Office may come in contact are highlighted below
Financial Management Division/Office of the Comptroller
This Office, which monitors the financial aspects of the Superfund program through
four of its branches, performs many Superfund-related functions, including the
following-
Collects HQ's Superfund cost documentation for cost recovery;
Oversees monthly and annual site-specific reporting processes;
Issues financial policies and procedures;
Provides general accounting support,
Records transfer allocations,
Notifies Trust Fund to invest cost recoveries, fines and penalties,
Establishes Superfund account numbers in FMS.
Financial and Administrative Management Section/Office of Emergency and Remedial
Response (FAMSlOERR}
FAMS provides financial management and accounting support and guidance to OERR
and the regional Program Offices As one of HQ's Superfund Allowance Holders,
FAMS' responsibilities include:
Maintains the OERR DCR and controls the HQ allowances;
Commits funds for HQ OERR contracts and lAGs,
Assigns accounting data to monthly site-specific invoices;
Processes and monitors HQ OERR lAGs
FAMS' responsibilities in relation to the regional Program Office are as follows:
Maintains the central S/S ID system and assigns S/S IDs to Coast Guard-lead
removal sites,
Coordinates issuance of regional allowances and processes change requests,
Provides liaison with regional Program Offices regarding OERR financial
issues, and
Provides financial policies to regional Program Offices.
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OSWER Directive 9200 3-01B
Contracts Enforcement Section/Office of Waste Programs Enforcement
Like FAMS, the Contracts Enforcement Section provides financial management and
accounting support and guidance to OWPE and the regional Program Offices.
Responsibilities include.
Obligates funds for the TES contracts,
Processes and monitors WAs in TESWATS,
Processes and monitors OWPE lAGs,
Processes invoices for TES contracts,
Coordinates issuance of regional allowances and processes change requests;
Provides liaison with regional Program Offices on OWPE financial issues; and
Provides OWPE financial policies to regional Program Offices
Procurement and Contracts Management DivisionlOffice of Administration (P&CMD)
P&CMD conducts the Superfund contracting program This involves negotiating,
awarding, monitoring, modifying, and terminating contracts and providing technical
guidance on contract administration. P&CMD also provides cost and price analysis for
Superfund contracts.
Grants Administration Division/Office of Administration
This division issues policy, regulations and guidance for the processing, award and
administrative management of financial assistance agreements and lAGs; issues
identification numbers for all lAGs; and processes and awards HQ lAGs.
Budget Division/Office of the Comptroller
This division allocates the Superfund allowances among the HQ and regional offices,
monitors obligations against regular and site allowances on a weekly basis, processes
transfer allocations, processes change requests, and reprograms allowances, as
necessary.
Cincinnati Financial Management Center
The Servicing Finance Office in Cincinnati is responsible for providing accounting
support for all Superfund lAGs The Office processes disbursement requests from
other agencies, processes the billing for reimbursable activities and enters IAG
obligations and disbursements into FMS
Office of Administration/Research Triangle Park
This Servicing Finance Office (SFO) is responsible for providing accounting support
for all Superfund contracts. The Office enters contract award data and obligations into
FMS, processes contractor invoices, and enters payments into FMS.
Vl-26
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OSWER Directive 9200 3-01B
Financial Management Tools and Systems
Account Number
To manage the Superfund program effectively, and to recover cleanup costs, EPA must
carefully document and record its direct and indirect costs for each cleanup action and
track the costs through its Financial Management System (FMS) To this end, EPA has
defined specific uses of the last four positions of the Agency's standard ten-digit
Headquarters account number for the Superfund program An example of the
Superfund account number is illustrated in Exhibit VI-8.
Approprianon^Year The first field of the account number is the last number of
the year for which the funds were appropriated, e g., a "7" would stand for
Fiscal Year 1987.
Prograrnjilejnent The second, third and fourth fields consist of three letters
representing the first three positions of the six-position Superfund program
elements used for budget development The program element for the pre-
remedial, remedial and removal programs is TFA The program element for
enforcement is TGB.
Allowance jjojder. The fifth and sixth field of the account number represent the
Allowance Holder and the type of allowance (site or regular) The Allowance
Holder is the entity, either the HQ program offices or the regions, which receive
theAOA.
Site/Spill Identifier. The ninth and tenth fields are used for identifying the site
associated with the particular financial transaction Procedures for assignment
of this number are detailed later in this section
Responsibility Center For regional Allowance Holders, the seventh field of the
account number identifies the responsibility center, as assigned by the region
The responsibility center is generally the regional division or office which has
the responsibility for managing the funds in the AOA.
Activity Cod.cs. The eighth field contains a number or letter representing
different remedial, removal, and enforcement activities. A list of these codes is
included in Exhibit VI-9
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OSWER Directive 92003-01B
EXHIBIT VI-8
HYPOTHETICAL SUPERFUND ACCOUNTING DATA
Superfund Document Control Number
A
6
RESPONSI-
BILITY
CENTER
(DIVISION)
0004
BRANCH
0004
NEXT
CONSECtmVE
NUMBER
Superfund Regional Office Account Number
8
TFA
07
M
L
A8
APPROPRIA-
TION
YEAR
V
TFA
PROGRAM
ELEMENT
0?
\LLOWANCI
HOLDER
M
RESPONSI-
BILITY
CENTER
ACTIVITY
CODE
Al
SITE/SPILL
IDENTIFIER
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OSWER Directive 92003-01B
EXHIBIT VI-9
SUPERFMND ACTIVITY CODES
REMEDIAL PROGRAM
J - Pro-Remedial - Extramural only (1)
L - RI/FS - Extramural only (2)
N - RD - Extramural only (3)
P - Oversight of Responsible Party - Extramural (3)
R - RA (including operation and maintenance) - Extramural only (3)
Z - Technical Assistance Grants - Extramural only (2)
9 - Remedial Support and Management - Extra and Intramural (1)
REMOVAL PROGRAM
E - Removal Actions - Extramural only (3)
W - Expedited Response Actions - Extramural only (3)
Y - Removal TAT Activities-Extramural only (1)
8 - Removal Support and Management - Extra and Intramural (1)
ENFORCEMENT PROGRAM
B - Pre-enforcement Activity - Extramural only (1)
P - Oversight of Responsible Party - Extramural (3)
2 - Judicial Enforcement - Extramural only (3)
3 - State/Federal Facility Liaison - Extramural only (1)
4 - General Enforcement - Extra and Intramural (1)
5 - Removal Enforcement - Intramural only (2)
6 - Remedial Enforcement - Intramural only (2)
OTHER CODES
7 - General Support and Management - Extra and Intramural (1)
U - Laboratory Analysis - Extra and Intramural (1)
0 - Research and Development (Numeric 0) - Extra and Intramural (4)
Notes:
(1) Can only be used with non-site specific, site specific and "ZZ" account numbers
(2) Can only be used with sue specific account numbers (mcludes"ZZ" account numbers)
(3) Can only be used with site specific account numbers (excludes "ZZ" account numbers)
(4) Account numbers with 0 as the activity will always be considered as non-site specific
VI-29
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OSWER Directive 9200 3-01B
Document Control Number (DCN)
The DCN is a six digit number assigned by the regional SFO to Procurement Requests
(PRs) and Commitment Notices (CNs) as a control number This same number is
carried over from the PR or CN to the obligating document An example of the DCN is
found in Exhibit VI-8.
Financial Monapemsnt System (FMS}
The FMS is the Agency's official automated accounting, funds control and monitoring
system. It encompasses all of the Agency's financial systems for planning, budget
formulation and execution, program and administrative accounting; and audit. FMS is
maintained by the Administrative Systems Division of the Office of Information
Resources Management. The Financial Systems Branch of the Financial Management
Division, Office of the Comptroller, provides FMS user support
SPUR. Through FMS's Software Package for Unique Reports (SPUR), an
FMS user can run specialized reports from FMS, showing only the information
selected SPUR can select any data elements maintained in FMS, arrange those
elements in any desired format, and print a report The regional Program Office
staff may request SPUR reports from the regional Servicing Finance Office
(SFO) These reports are especially useful for determining the status of
commitments and obligations and payments for a given site.
Regional FMS Responsibility Though each region is organized somewhat
differently, in most regions the SFO enters commitments into FMS for contracts
and Interagency Agreements (lAGs). For Cooperative Agreements, the SFO
enters not only commitments, but obligations and drawdowns as well At the
request of the regional Program Office, the SFO sets up regional account
numbers in FMS S mce the Agency does not officially recognize commitments
or obligations until they appear m FMS, it is imperative that the regional
Program Office forward all commitment and obligating documents to the SFO
as expeditiously as possible for entry into FMS
Document Control Register (OCR)
The DCR is the Allowance Holder's mechanism for maintaining a running balance of
all funds available to the Allowance Holder The DCR can be manual or automated
(Automated DCR, or ADCR) and is generally maintained in the SFO
Checking the OCR's balance is part of the Funds Certifying Officer's (FCO)
certification of funds availability Once the FCO certifies that funds are available and
that the appropriate funds are being used, the FCO assigns to the action a DCN and
records it in the DCR. This number uniquely identifies the spending action in the
Agency's FMS, just as a check number identifies a check.
An office using an ADCR system which automatically transmits commitment data to
FMS should keep the commitment copy of the spending document If an office does
not use such a system, it may use the Financial Information Register Satellite Terminal
Usefs Package (FIRSTUP) to transmit commitments electronically to FMS. If an
office does not use FIRSTUP or an ADCR, it should send the commitment copy to the
proper SFO.
VT-30
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OSWER Directive 9200 3-01B
Site/Soill Identifiers fS/S IDs}
The ninth and tenth fields of the Superfund account number, which are used to identify
costs associated with a specific site, contain the site/spill identifier (S/S ID) code. S/S
IDs are established by the regional offices, with the exception of Coast Guard
responses which are provided through the OERR FAMS Each regional office has one
or more persons responsible for assigning S/S IDs and communicating updated S/S ID
information to HQ This is usually done by calling or sending an updated copy of the
regional S/S ID list to the S/S ID contact in HQ
Before assigning an S/S ID, an EPA ID must exist in the CERCLIS data base. The
EPA ID is a 12-character unique identifier which is used to identify a hazardous waste
site or an unanticipated removal m the CERCLIS inventory This ID is based on the
Facility Index System (FINDS) An EPA ID mujfl be established prior to assignment of
an S/S ID In addition, there can only be one S/S ID for each EPA ID
Because of the limited number of site codes available for each region, it is important to
refrain from issuing S/S IDs until they are actually needed to establish account numbers
for the commitment and obligation of funds Before establishing a new S/S ID, a
thorough check should be made to ensure that the site is not already listed under another
name. Removal sites should receive identifiers as soon as it appears that more than
approximately $5,000 will be spent on removal work at the sue Remedial sites should
receive identifiers when the Hazard Ranking System score for the site indicates it will
be proposed for die NPL and an account number is needed for the obligation of funds
Dioxin sites do not have to be on the NPL in order to establish an ID Enforcement
sites receive identifiers when costs for an enforcement activity are expected to exceed
24 workhours per pay period, and when a cost recovery action is likely
The codes to be assigned follow a set pattern When the S/S ID exceeds 99, the next
nine sites will be identified as A1 to A9, the following nine, Bl to B9, and so on
After site Z9, the sequence will continue with 1A to 9A, then IB to 9B, and so on.
After site 9Z, the sequence will continue with double alpha characters (example AA,
AB through AZ and then continue with BA, BB, and so on) The letters I or O are not
used, since they may be easily confused with "ones" and "zeros". In addition, the
letters U, V and W in the ninth field are reserved for U.S. Coast Guard responses
Financial Management and Funding Processes
Regional financial authority consists of three distinct, but interrelated, parts approval,
commitment and obligation Exhibit VI-10 indicates the process by which the regions commit and
obligate funds These funding processes are outlined below
Approvals
Authority to approve pre-remedial, removal, remedial and enforcement activities is
contained in the Superfund delegations package An approval by the Assistant
Administrator of the Office of Solid Waste and Emergency Response or Regional
Administrator, as appropriate, is an authorization to undertake a CERCLA-funded
response action. Examples of these approvals include Removal Action Memoranda,
SCAP submissions, etc A site/activity must be approved before any commitments can
be made.
VI-31
-------
OSWER Directive 9200 3-01B
EXHIBIT VI-10
HANDLING FINANCIAL DATA TN THK CERCLIS ENVIRONMENT
Bunding Document prepared"
by Program Officer in appropriate
tarea (Pre-Remedial,Remedial, Removal,^
Enforcement)
Approval of Funding Document
Financial Management Officer
reviews the Funding Document,
assigns a unique Account Number
and Document Control Number
(AN/DCN) pair and enters
information into FMS.
Funds are now committed
Regional IMC or designee assigns Operable
Unit and Event Codes, Non-Site/Incident
Activity Type and TES work assignment
number, if necessary, to the funding document
and enters this information into CERCLIS
and TESWATS
CAs signed by
Regional Administrator
lAGs signed^ by
Participating Parties
Contracts signed
bv Contracting Officer
unds are now obligate
Regions enter obligation data into CERCLIS. Regions
or HQ enter obligation data into FMS or TESWATS
VI-32
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OSWER Directive 92003-01B
The following paragraphs highlight the region's financial management authority and
responsibility in the removal program'
* Approval Authority In accordance with Delegation 14-1-A, the Regional
Administrator has the authority to approve removal actions costing up to
$2,000,000 at National Priorities List (NPL) sites or non-NPL sites and may
grant exemptions to the twelve-month statutory limit In addition, Regional
Administrators may redelegate to the On-Scene Coordinators (OSCs) the
authority to approve actions costing up to $50,000 in emergency situations
where an expeditious response is required.
* Action Memorandum. Except in emergency situations, before a removal action
can begin, an Action Memorandum must be approved. The Action
Memorandum must document that the release meets the criteria of CERCLA, as
amended, and the National Contingency Plan (NCP) In addition to the
technical data, the Action Memorandum, must include, to the extent practicable,
an estimated total project ceiling The OSC uses the estimate of the duration and
cost of the removal actions in order to determine the proper approval authority
The OSCs or other Ordering Officers are responsible for obtaining all necessary
Regional Office approvals and signatures
Generally, the Action Memorandum is prepared prior to initiating response
activities. In extreme emergencies, however, the OSC may initiate activities
under his or her $50,000 authority without preparing the necessary
documentation in advance In these circumstances OSCs must document their
decision within 24 hours of initiating response.
The following paragraphs highlight the region's financial management authority and
responsibility in the remedial and enforcement programs:
Financial Approval Mechanism, Planning of remedial and enforcement
program activities is accomplished by means of the SCAP. Funds cannot be
committed or obligated for a remedial or enforcement activity unless it is
included in the SCAP
Record of Decision f RQD1 A ROD is required for all RD and RA activities.
The ROD, signed by either the Regional Administrator or the AA SWER,
documents the Agency's remedial alternative decision- making process and
demonstrates that the requirements of CERCLA, as amended, and the NCP
have been met The ROD also provides the basis for future cost recovery
actions that may be taken
VI-33
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OSWER Directive 9200 3-01B
Commitments
Once the regional Funds Certifying Officer certifies the availability of funds, a spending
action becomes a commitment, which is a reservation of funds but not a legal promise
to pay a supplier. Commitments which have not yet been processed are called open
commitments until they become obligations.
There are two types of commitment documents: the Procurement Request (PR) and the
Commitment Notice (CN) The PR is used to commit funds for contracts; the CN is
used to commit funds for Cooperative Agreements (CAs) and reimbursable Interagency
Agreements (lAGs)
Obligations
Unlike a commitment, an obligation legally binds the government to pay a supplier for
delivery of goods or services. Thus, once funds are obligated, the region may no
longer release the funds for another purpose
A contractor, another agency or state cannot start work until the funds have been
obligated In addition funds may only be used for the purpose for which they were
obligated under the contract, IAG or CA, and may not be transferred to another activity
and/or site within the contract, LAG or CA without first being deobhgated.
Obligating documents must be processed in accordance with guidance issued by the
Procurement and Contracts Management Division (P&CMD), the Grants
Administration Division, and the Financial Management Division. The majority of the
contracts are currently awarded by P&CMD and entered into FMS by the Servicing
Finance Office/Research Triangle Park (SFO/RTP) Plans are underway to decentralize
the contracting function to the regions Obligations for CAs are entered into FMS by
the regions, for lAGs, by the Cincinnati Financial Management Center.
Payments
Each contractor/supplier submits an invoice to the proper SFO for payment. Before the
SFO may pay the contractor/supplier, it must have an obligating document and a
receiving report (sent by the originating office) to verify that the work was completed or
the goods were received satisfactorily Unpaid obligations are not removed from FMS
at the end of the fiscal year Rather, they remain in the system until paid or until the
Allowance Holder or obligating official notifies the SFO that no further payments will
be made against the obligation
VI-34
-------
OSWER Directive 9200 3-0IB
De-obligations
The de-obligation of funds is handled similarly to the obligation of funds. The same
commitment and obligation documents and procedures are used, except that the dollar
amount indicated is a reduction rather than an addition. The availability of funds after
de-obligation has taken place depends on when the funds initially had been obligated.
Current fiscal year funds are available for reuse within the allowance as soon as the de-
obligation is effective Prior fiscal year funds that are de-obligated revert back to HQ
for redistribution. In order to reuse the pnor year funds, allowance holders must
request a recerofication of the funds to their allowance from the Office of the
Comptroller in coordination with the Office of Solid Waste and Emergency Response
(OSWER).
Financial Management Funding Mechanisms
EPA uses a variety of funding mechanisms to cany out CERCLA-funded response actions
Included in these are the following*
Contracts
Superfund contracts are awarded through standard procurement procedures (see the
Office of the Comptroller's Resources Management Directives Systems 2550C Chapter
2 and the EPA Contracts Management Manual or refer directly to the directives prepared
for each contract) Exhibit VI-11 contains information on the procurement forms used
for most Superfund contracts The unique aspect of Superfund contract processing and
financial tracking stems primarily from the need to associate contractor costs incurred
with specific Superfund sites in order to assist in the cost recovery process Cost
recovery negotiations with PRPs or court actions require careful documentation of
Federal costs incurred at each site/spill The following paragraphs descnbe key
financial management processes for each of the primary categones of Superfund
contracts.
Site-Specific Removal Contracts Site-specific removal contracts are obligated
and tracked on a site-specific basis in the Agency's FMS. Removal cleanup
contracts may be awaitied on a zone-, region- or site-specific basis These
include the Emergency Response Cleanup Services (ERCS) and mim-ERCS
contracts.
Commitment of Funds. The Procurement Request (PR) is used to
commit funds for contracts OSCs or other Ordering Officers prepare
the PR for the site portion of the contract and obtain all necessary
regional office approvals and signatures. They send the document to the
SFO for certification of funds and addition of accounting information
(account number, appropriation number and document control
number) The SFO must also check that the action has been approved
The regional SFO enters the commitment into the Automated Document
Control Register (ADCR) and FMS
VI-35
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OSWER Directive 9200 3-01B
EXHIBIT VI-11
EPA FORMS COMMONLY USED FOR SUPERFUND PROCUREMENTS
EPA FORM NO. FORM NAME
1900 8
19004
190IM9
1900-56
1900-59
Purchase Order
Order for Services-
to Hazardous Substance
Release
Note to Proceed with
Emergency Response to
Hazardous Substance Release
LeHer contact for State,
Indian Tribal Governments,
or Local Government Response
to Emergency Hazardous
Substances Release
Delivery Ocdcr for Emergency
Response Cleanup Services
PURPOSE
COMMENTS
The Agency's basic form for requesting This form B lie basis for entering a
commdmaitiFMS. TbeFMO
to commit funds before obligating funds
on any of these documents. Muslbe
certiJied by funds commitmenl clerk.
Used by On-Sane Coordnnhn (OSCs)
(up to $2400) hmammeraal ferns
or a state or local government (if site not
Wi
a release.
Used by OSC to autonze a contractor to
begm work on an emergency response
(up to $10,000 per modem). Negotiation
of definitive contract and any modifkanons
performed by HQ Contacting Officer
Used by OSC to procure services from a
state, local or Indian tnbal government to
begm work wan emergency response
(up to $10,000 per undent) if site was
not owned by slate or subdivision at tone
of(kfininvecontiadandanynğdificanoos
performed by HQ Contracting Officer.
Used by OSCs to order services (up to
$250,000) from the ERCS contactor to
respond to a release. AD modifications
and obhgaoias over $250,000 will be
processed by me HQ ConUactag Officer.
recavmg a contract document or
purchase order
Results in a firm, fixed-price
contract No pnce adjustment may
be made for work stated in contract
Contractor may submit only one
invoice. FMO will process contract
A preliminary contractual instrument
that must be made final by a
designated Contraclmg Officer m HQ
FMO wiH process nonce as an
Results in a cost reimbursement type
agreement with a Stale, local or
ffldiaotibal government Its a
preAfflioary fraternal mstaimtf
that must be made final by a
Contracting Officer nHQ. The
appropriate FMO will process a letter
contract as an obligation.
Has line and material provisions,
im
ERCScon&act. Order most be nude
final by a designated Contracting
Officer ID HQ FMO will process
orders as an obligation.
VI-36
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OSWER Directive 9200 3-OJB
Obligation of Funds. Site-specific removal cleanup contracts are
obligated by the regional Ordering Officer (generally the OSC), the
mim-ERCS Contracting Officer or at HQ. Obhganonal authority is
determined by the type and amount of the contract Although a PR is
generally prepared in advance of the obligating document for removals,
these documents may be processed simultaneously or out of sequence,
due to the urgent nature of removals. OSCs have the contractual
authority to obligate up to $250,000 via a Delivery Order under an
existing contract; however, regions have limited this authority to
$50,000 For contract amounts over this authority, the OSC forwards
the obligating document to the Regional Administrator for approval and
to Procurement and Contracts Management Division (P&CMD) or the
mini-ERCS Contracting Officer for obligation and processing The
SFO/Research Triangle Park (RTF) enters the obligation into FMS for
all contracts
Invoice Processing The OSC or Deputy Project Officer reviews the site
portion of contractor invoices and signs a statement indicating that the
services for which the contractor is invoicing have been provided The
OSC forwards the certified copy of the invoice within five days to the
SFO/RTP for processing and payment
If the OSC disallows any charges, copies of the invoice should be sent
to the Contracting Officer, along with an explanation for disallowing the
costs When a disputed charge cannot be settled with the contractor, the
OSC prepares a memo/letter with a copy of the voucher and sends them
to the Contracting Officer The OSC sends the original voucher with a
copy of the letter to RTP Additional guidance for processing site-
specific contractor invoices are included in the "Removal Cost
Management Manual," "Superfund Removal Procedures" manual and
the "ERCS Users Manual"
Site-Specific Remedial Contracts Site-specific remedial contracts refer to those
which are obligated site-specifically Remedial contractors provide site-specific
support for remedial investigations/ feasibility studies, remedial designs and
remedial actions at individual NPL sites, as well as general management support
to EPA HQ and regions Both large, national contracts as well as smaller,
region-specific contracts, e g Alternative Remedial Contracting Strategy
(ARCS) contracts are in place Site-specific remedial contracts are obligated
and tracked on a site-specific basis in the Agency's FMS
Commitment of Fjndj To commit funds, the regional Program Office
prepares the PR for site-specific activities, obtains all necessary regional
Program Office approvals and signatures, and forwards the approved
document to the regional SFO for certification of funds availability and
the addition of accounting information (account number and DCN) The
Regional SFO enters the commitment into FMS. For region-specific
contracts, e.g., ARCS contracts, the basic contract is prepared in HQ
and contract modifications are processed in the regions.
Obligation of Funds. Site-specific remedial contracts are obligated by
P&CMD in HQ or the ARCS Contracting Officer in the regions These
obligations represent contract modifications which must be processed in
accordance with guidance issued by P&CMD P&CMD or the ARCS
VI-37
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OSWER Directive 9200 3-01B
Contracting Officer distributes the processed obligating document, and
the SFO/RTP enters the obligation into FMS,
Invoice Processing Site-specific remedial contractors will provide
copies of their monthly invoice or voucher for payment to the
Contracting Officer and the regions for review For HQ contracts,
RPOs have five days to review the invoice. If the invoice accurately
reflects contractor activities, the RPO will certify that the voucher is
consistent with the service provided and forward the certification to the
SFO/RTP for processing and payment. If the RPO identifies a problem,
it should be reported to the appropriate HQ Project Officer for
resolution. The HQ Project Officer will resolve any problems, certify
that the voucher is consistent with the services provided, and forward
the certification to the SFO/RTP for processing and payment
In the case of region-specific contracts, e g ARCS, the RPO is
responsible for processing the invoices, resolving any problems and
forwarding the invoices to RTP.
General Site Support Contracts This category includes contracts which are not
obligated on a site-specific basis. These contracts create a pool of contract labor
capable of providing broad technical and planning support to any removal, pre-
remedial, remedial or enforcement site on an "as needed" basis Examples of
this type of contract include, but are not limited to the Field Investigation
Team, Technical Assistance Team, Contract Laboratory Program, and the
Environmental Services Assistance Team. Because these types of contracts are
administered by HQ, they will not be discussed in detail in mis document
General site support contractors must submit with each invoice a site-specific
attachment, which details the costs incurred at each site with an EPA S/S ID
The site-specific attachment must include the invoiced costs for each of the
following categories
Each site with an EPA S/S ID
All other sues, i e, those without an EPA S/S ID, on one line item per
region
Program management
Base and award fees
Non-site activities, identified separately, such as training of state
personnel or coordination of regional activities
Non-Superfund costs, as applicable, on one line item per appropriation
The contractors submit original invoices to RTP and advance copies to the HQ
Project Officer simultaneously. The Project Officer reviews the invoice and the
site-specific attachment for reasonableness of the site-specific charges. In some
cases, the regional DPOs will conduct a concurrent review of the invoice.
Enforcement Contracts The Technical Enforcement Support contracts are a
combination of the general site support contracts and the site-specific
removal/remedial contracts The TES contracts are not obligated on a site-
specific basis, however, the regions issue work assignments against the
contract labor pool on a site-specific basis. Site-specific work assignments are
not entered into FMS
VI-38
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OSWER Directive 9200 3-01B
Commitment of Funds. The RPM in the region prepares the work
assignment for site and non-site specific activities, obtains all the
necessary regional Program Office approvals and signatures and
forwards the approved document to the regional RPO for processing.
The regional RPO enters the work assignment into TESWATS
Obligation of Funds In TES 5+, the regions are provided funds within
their Advice of Allowance which are obligated non-site specifically
against the contract to provide capacity for technical and planning
support HQ performs this function for the TES 3 and 4 contracts
After the regional RPO processes the site-specific work assignment it is
approved by the HQ Contracting Officer in OWPE Approved work
assignments are entered into TESWATS.
Invoice Processing. TES contractors provide copies of their monthly
invoice to the regions for review. The invoice must be submitted with a
site-specific attachment, similar to the general site support contracts,
which details the costs incurred at each site For TES 3 and 4, if the
invoice is correct, the regional RPO certifies that the invoice is
consistent with the services provided and forward the certification to
OWPE for processing and payment If the RPO identifies a problem, it
should be reported to the appropriate HQ official in OPWE for
resolution. Under the TES 5+ contracts the RPO is responsible for
processing the invoices and resolving any problems.
General Program Support Cpn tracts. This group of contracts provides general
program management support to HQ and regional Program Offices These
contracts are not for site-specific work and are not obligated site-specifically.
They are administered totally by HQ and will not be discussed in this document
Interagency Agreements
An Interagency Agreement (IAG) is a written agreement between Federal agencies
under which goods and services are provided. The Superfund program uses
Disbursement lAGs and Allocation Transfer lAGs to request that certain Federal
agencies assist with site cleanups and associated activities and provide ongoing support
or services. The IAG specifies the services required and identifies the method of
payment
Disbursement Interagency Agreements (LAGs) Disbursement lAGs are
agreements in which another Federal agency provides goods or services to
EPA. This category of IAG is similar m concept to obtaining goods or services
from a contractor. Superfund program staff prepare lAGs to pay other agencies
for work performed at a specific Superfund removal, remedial or enforcement
site and for non-site specific activities EPA pays the other agency either by
advance payment or by payment following work performance (repayment).
The regional Program Office initiates and manages site-specific lAGs The
Assistance Administration Unit (AAU) in the regional Management Division
typically approves and awards site-specific LAGs The exception is U S. Coast
Guard-lead removal LAGs, which are negotiated, approved, awarded, and
managed at HQ
VI-39
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OSWER Directive 92003-01B
Commitment of Funds. The regional Program Office determines
whether assistance from another Federal agency is needed The regional
SFO determines the availability of funds, upon request from the regional
Program Office The regional Program Office then prepares the IAG
funding package, consisting of a Commitment Notice (CN), a
transmittal memorandum, EPA Form 1610-1, which is the IAG itself,
and a Decision Memorandum, which verifies legal authority for the
IAG. The Decision Official in the regional Program Office reviews and
approves the IAG. The staff of the AAU then conducts an
administrative review of the funding package. The SFO adds
accounting data and enters the commitment in the Document Control
Register (DCR) as well as into FMS The regional Program Office
establishes and maintains the official site file(s). The AAU establishes
and maintains the official financial file.
Obligation of Funds. Following prevahdaaon of the commitment, the
AAU obtains an IAG number from Headquarters Grants Administration
Division (GAD) by E-Mail. The Action Official (the Regional
Administrator or his/her designee) signs the IAG. The AAU then sends
the signed IAG to the other agency for signature An obligation is
created when the LAG has been signed by both agencies. The AAU
distributes the executed IAG to the regional program office, the GAD,
and the Cincinnati Financial Management Center (CFMC), where the
obligation is recorded in FMS
Payment^ If the performing agency does not have OMB-approved
reimbursable authority, the CFMC pays that agency for EPA pnor to
execution of the agreement activities For those agencies that do not
require advances, the regional Program Office certifies that charges are
accurate following execution of the activities There are three ways in
which EPA accomplishes exchange of funds for lAGs the Simplified
Interagency Billings and Collection system (SIBAQ, the On-line
Payment and Collections system (OPAC), and check payments. When
the OPAC or SIBAC system is used, funds exchange occurs prior to
regional Program Office certification; however, the regional Program
Office may request adjustments when necessary. For payment by
check, the performing agency submits vouchers to the CFMC, who
forwards them to the regional Program Office. The regional Program
Office reviews and certifies the vouchers and then returns both the
voucher and the certification form to CFMC for processing and
payment.
Close
-------
OSWER Directive 92003-01B
certified, the regional Program Office prepares a written closeout request
and sends it to the AAU The AAU then determines from CFMC that
the IAG is financially closed out and closes out the IAG by sending a
closeout letter to the other agency and notifying the regional Program
Office and GAD Both the regional Program Office and the AAU then
remove the appropriate files from active status and retain them a
minimum of six years Disposal of the files is subject to regional
Program Office approval
When applicable, within thirty days of completion of work under the
agreement, the regional Program Office prepares, or obtains from the
other agency, a final inventory and disposition recommendations for
non-expendable property. The regional Program Office forwards a
copy of this report to the appropriate property management office in the
regional Management Division
Allocation Transfer lAGs Allocation Transfer lAGs transfer obhgabonal
authority from EPA to the designated agency at the appropriation level. The
funds are transferred to the other agency from an EPA allowance via EPA's
Transfer Allocation account This IAG mechanism is similar to the Comptroller
providing allowances to EPA Program Offices to carry out specific functions;
however, transfers occur at the appropriation level Obligations and payments
are made by the other agency and are reported monthly to EPA
Interagency agreements with FEMA for permanent or temporary relocations are
allocation transfer lAGs. The regional Program Office, in conjunction with the
AAU in the regional Management Division, typically initiates, approves,
awards, and manages site-specific Allocation Transfer lAGs Implementation
of an allocation transfer IAG must be in accordance with Department of
Treasury procedures and can only be used with prior approval from the Office
of the Comptroller
Initiating the IAG. The regional Program Office initiates the IAG After
developing a preliminary cost estimate with the other agency, the
regional Program Office prepares the funding package which includes
EPA Form 1610-1, a transmittal memorandum, and the Decision
Memorandum. The Decision Official in the regional Program Office
reviews and approves the funding package and submits it to the AAU
The AAU obtains an IAG number from GAD by E-Mail and conducts
an administrative review The GAD enters IAG data from the E-Mail
request into the Grants Information Control Systems (GICS). The
Action Official (the Regional Administrator or his/her designee)
conducts a final review and signs the IAG package. The AAU submits
the IAG to the other agency for signature The AAU distributes the
executed IAG to the regional Program Office, to the GAD, and to the
Office of Comptroller Upon initiation of the IAG, the regional
Program Office submits a change request to the Budget Formulation and
Control Branch in the Office of the Comptroller, so that the funds can be
set aside m a HQ transfer account The appropriate program's
allowance is then reduced to reflect the transfer to the receiving agency
Transfer of Funds The executed IAG serves to transfer obligational
authority to the other agency Once the IAG is signed, and upon receipt
of a change request from the regional Program Office, the Budget
VI-41
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OSWER Directive 92003-01B
Division in the Office of the Comptroller withdraws funds from the
region's allowance and transfers the funds to the EPA Transfer
Allocation account for future transfer to the designated agency. The
Financial Reports and Analysis Branch executes the transfer from EPA
to the performing agency
Financial Monitoring. The performing agency is required to submit: 1)
monthly reports via SF133, "Budget Execution," on obligations and
expenditures during the period to EPA's Financial Management Division
and 2) periodic status reports to the regional Program Office and the
HQ Superfund Budget Branch. The IAG also requires the other agency
to maintain records and documentation by site and submit them to EPA
upon request The regional Program Office reviews progress reports
and acts on them as necessary.
Closeout. The regional Program Office closeout procedures for an
Allocation Transfer IAG are the same as those for Disbursement lAGs
Since there are no billing transactions, outstanding invoices or payments
are not a concern, however, to determine that the IAG may be financially
closed out by the Office of the Comptroller, the AAU asks the EPA
Inspector General to request the other agency's Inspector General to
determine the financial status of the LAG. Both the regional Program
Office and the AAU then remove the appropriate files for that IAG from
active status and retain them a minimum of six years. Disposal of the
files is subject to regional Program Office approval
For further information on Regional lAGs, see the Regional Processing of Superfund
Interagencv Agreements handbook. DRAFT, July 1987.
CoopqrQt\ve Agreements (CA)
A CA is the instrument EPA uses to provide assistance to states, political subdivisions
or Indian Tribal governments in conducting pre-remedial, remedial, removal,
enforcement and program and project support activities CAs provide funding
assistance to the state, political subdivision, or Indian Tnbal governments, documents
responsibilities and obtains state assurances. CAs must be approved by the Regional
Administrator or designee. The steps for developing and managing the financial
aspects of a CA in the region are outlined below.
Commitments The regional Program Office prepares the CN and obtains all
necessary program approvals and signatures to commit funds for the CA. The
regional Management Division certifies the availability of funds, assigns the
accounting data, sets aside the required funds on the DCR and enters the
commitment into the FMS The regional AAU assigns the CA identification
number
Obligations The signature of the Regional Administrator, or his/her designee,
obligates CAs The regional Management Division is responsible for
processing obligations in accordance with the guidance issued by P&CMD,
GAD and FMD, and for entering the obligations into the DCR and FMS.
VI-42
-------
OSWER Directive 92003-01B
Letter of Credit If a state environmental agency, political subdivision or Indian
Tnbal government does not have an established consolidated Letter of Credit
(LOG) with EPA, one should be established. The LOG is the preferred method
for providing Superfund payment assistance to states, political subdivisions or
Indian Tribal governments. The CA recipient "draws down" funds from the
appropriate credit account at the Federal Reserve Bank to cover EPA's share of
immediate cash needs for each activity approved in the CA.
The state, political subdivision or Indian Tnbal government may only draw
down funds from the LOG for work authorized for specific sites and/or
activities. The total drawdown may not exceed the amount obligated for each
activity and/or site in the CA Drawdowns must be made proportionally to the
amount of work completed, and may only be made for the EPA share of project
costs. If funds obligated for a specific site or activity have been exhausted, the
recipient may not draw down from another account number within the
consolidated LOC
Hie regional Management Division reviews drawdowns on a monthly basis and
determines whether the account structure established in the CA is being
followed and that the drawdowns are only large enough to cover immediate
(usually one month) cash needs The account from which drawdowns were
made, identified in the FMS Outlay Report or state quarterly report, must match
the activities being undertaken
Financial Monitoring On a regular basis, the RPM should review the FMS
Outlay Report and the quarterly progress report prepared by the state, political
subdivision or Indian Tnbal government The review should determine that
drawdowns at the sue correspond to technical progress.
De-obligations De-obligations of funds are handled similarly to obligations of
funds. The same commitment and obligation documents and procedures are
used, except that the dollar amount indicated is a reduction rather than an
addition. The availability of funds following de-obligation depends on when
the funds were obligated initially Current fiscal year funds are available for
reuse within the allowance as soon as the de-obhgation is effective Prior fiscal
year funds that are de-obligated revert to HQ for redistribution.
In order to reuse pnor fiscal year funds.
The Allowance Holders must submit a request to recertify the funds to
their allowances,
OERR will evaluate the request based on the approved SCAP and will
recommend distribution of funds;
The Office of the Comptroller must approve the request; and
The request must be approved and a reappornonment obtained from the
Office of Management and Budget
Transfer of Funds. Under a multi-site CA funds can be transferred from one
site to another site This transaction is called a 'transwitch' and requires a
formal CA amendment CA funds can also be transferred from one remedial
response phase to another remedial response phase at the same site. Again, a
formal CA amendment is required
VI-43
-------
OSWER Directive 92003-018
For additional information on the financial management of CAs, refer to the Resources
Management Directives Systems 2550D. Chapter 9, and the State Participation in the
Superfund Program guidance, Chapters 7 and 10.
Superfund State Contracts (SSCs)
When EPA or a political subdivision has the lead for a remedial action, the instrument
used to describe the state's role is a Superfund State Contract (SSC). An SSC is a
legally binding agreement that provides the mechanism for obtaining required state cost
share and other assurances, outlines the statement of work for the response action and
also documents responsibilities for remedial implementation at a site When a political
subdivision has the lead for a remedial action, die SSC is signed by EPA, the state and
the political subdivision. The SSC does not obligate funds; funds for Federal-lead
projects must be obligated through an EPA procurement contract with a contractor or an
Interagency Agreement with another agency. Funds for political subdivision response
actions are provided through the CA
SSC Requirements An SSC is required to be in place before EPA or the
political subdivision can begin a remedial action funded by the Superfund An
SSC must contain several state assurances One is that the state will pay its cost
share for response actions The state cost share is ten percent for privately
operated sites For publicly operated sites, the state cost share is 50 percent and
is required for prior removal, RI/FS and RD activities as well as the RA In
addition to cost share assurances, SSCs must contain state program assurances
and must also include a tentative payment schedule.
SSC Development The SSC is developed by the regional Program Office.
The RPM/RPO must insure that, in addition to program assurances, the
financial cost share requirements and payment schedule are included in the
SSC
Accounts Receivable Like a CA, an SSC requires state cost share. To cover
its share of remedial costs under an SSC, the state may be required to provide
cash payments to EPA Following execution of the SSC, the RPM/RPO must
immediately forward a copy of the executed SSC to the regional Management
Division for necessary accounts receivable processing. The RPM/RPO is also
responsible for forwarding immediately to the regional Management Division
any SSC modifications that may affect the payment schedule.
Payment Schedule. The state cost share must be received and recorded in FMS
before EPA will pay for the work to which the state is contributing funds.
Therefore, state payments should be scheduled approximately two weeks ahead
of the anticipated outlay date to allow for administrative processing. If a
remedial action occurs in several phases the payments may be spread out
accordingly. In this situation, the SSC will schedule the respective state
payments to ensure deposit in the Treasury and recordation in the FMS no later
than EPA's obligation of funds for each phase.
* Billing Thirty days prior to the date on the SSC payment schedule, the
regional Management Division will send to the state a notice of the amount
required and the due date The SSC, and any invoice to the state requesting
payment, must include the requirement that payments be sent to the regional
Superfund lockbox address. The regional Management Division will reference
VI-44
-------
OSWER Directive 92003-01B
the SSC, including the EPA site name and identifier, on the invoice. Hie
Division will also require the state to include a copy of the invoice with any
remittance sent to the regional Superfund lockbox address
Receipt of Payment If EPA does not receive the requested funds by the date on
the payment schedule, the regional Management Division will notify the
RPM/RPO immediately. The RPM/RPO is responsible for follow-up with the
state and will keep the regional Management Division advised. No interest will
accrue on the invoiced amount, because the state cost share is not a debt to the
Agency, but rather an advance payment The region deposits its cost share in
the Trust Fund and receives in return a reimbursable allowance.
Closeout The RPM/RPO is responsible for notifying the regional Management
Division when it is time to close out the specific remedial action. The regional
Management Division will reconcile the financial data on the Federal-lead
action
For additional information on financial management responsibilities related to SSCs,
refer to the Resources Management Directives Systems 255QD. Chapter 9 and State
Participation in the Superfund Program guidance, Chapter 7.
Cost Recovery/Cost Documentation
CERCLA, as amended, imposes liability on responsible parties for the cost of
responding to releases or threatened releases of hazardous substances from hazardous
waste sites or spills When these PRPs fail to clean up sites on their own, EPA may
perform the cleanup and later attempt to recover the clean-up costs from the parties.
Obtaining reimbursement for these costs through judicial action is one of the chief goals
of the Superfund program
Cost recovery documentation is performed by a case development team comprised of
representatives from the Office of Regional Counsel (ORC), the regional Program
office and the regional Servicing Finance Office Exhibit VI-12 provides an overview
of the cost recovery documentation process This flow chart identifies the key activities
performed, the regional and HQ offices responsible, and the sequence of activities from
initiation through completion of the documentation process The involvement and
distribution of responsibilities of each of these offices during the cost recovery process
does vary within each region The flow chart and sequence of activities is provided as
a guide. The cost recovery process, which is typically completed within a six week
time frame, is briefly described below
Initiation of Cost Recovery Process The regional Program Office prepares and
submits the Cost Recovery Checklist to OWPE through the Regional Cost
Recovery Coordinator (RCRC) to inmate the HQ documentation process. The
checklist is also submitted to the regional SFO to begin the documentation
process for regional Superfund site-specific costs. Among other things, the
checklist prescribes the date through which costs are to be documented and the
date documentation is required by the Case Development Team
The RCRC obtains the cost documentation package from OWPE and the SFO
and prepares a "merged" cost summary (if this is not done by the regional
SFO) The RCRC also requests site-specific Software Package for Unique
VI-45
-------
OSWER Directive 9200 3-01B
Reports (SPUR) from the SFO which provide the cost basis for negotiations
with potentially responsible parties
Cost Documentation and Reconciliation Cost documentation and reconciliation
involve collecting and reviewing required documentation to ensure that
accounting and cost information are recorded correctly, that costs are properly
chargeable, that account numbers refer to the appropriate site, and that costs on
the documents are reflected accurately in FMS. The regional SFO documents
regional Superfund site-specific costs and prepares the regional office cost
summary; computes indirect costs, provides expert and factual financial witness
testimony; provides assistance to legal and program staff interpreting financial
documents and SPUR reports, and provides CA cost documentation.
The Office of Regional Counsel reviews the final cost summary and
documentation package in preparation for litigation and takes appropriate actions
pursuant to the Privacy Act and regulations concerning Confidential Business
Information to ensure that protected information is not released.
Site File Maintenance Diligent maintenance of the site files is crucial to cost
recovery and is the responsibility of the regions Site-specific financial files
should be maintained by the Financial Management Officer until such time as
cost recovery action is initiated or a minimum of six years. The cost recovery
case file should be maintained by the RCRC until this cost documentation is
required by the litigation team
VI-46
-------
COST RECOVERY DOCUMENTATION PROCESS
ORGANIZATION
Office of
Regional
Camel
Regional
Superfund
FrofFKU
Office
Regional
Financial
Management
Office (FMO)
Office of
Waste
* .
programs
Enforcement
(DWPE)
Suoertund
Accounting
Branch (SAB)
Office of
Enforcement
and Compliance
Moutmai
(OECM)
AcnviTY
Piepaie A
Transmit
the Co*
Recovery
Checklist
*
-ğ
Collect, Review
* Reconcile
Regional Con
Documentationl
Request HQ
Cost
from SAB
ft>
ğ>
Colled, Review
A Reconcile
Can
Documentation'
Collect, Renew
A Reconcile
HQCoet
Documenutionl
Prepare A transmit
Coit Documentation
Package A Refuxul
CoaSwmury 3
i
ntpaicA
Tramnit
HQCott
Docurocntauon
Pickife to
OWPE
/
k
v_
Prepare A Tnnenut
HQcttt
( Documenuuoo
. Packife A Summary
Program Office
Picprn*
Tranonl
OvenUCoct
Suiumy4
*
Receive
Refloat! Cott
. SiBuniry for
DĞU Collecuan
A Repomoj
PurpMa
Review
* R?r
Sumary
Review II
^ Project Co* II
Pack**!? 1
1
Review
Ovenll
fc * Co*
Summary6
fl
s
3
<
FMO* and SAB generate SPUR reports through the "coiii through" data luted on the checklist. SAB will generate SPUR reporu u thoae Regional FMOt who recjuon mmaact.
SPUR reporu serve at the basw for the COM to be documented by these office*.
OWPE collects documentation to tupport contractor costs that have not been billed aile specific (e g.. Contract Lab and TES Contracts)
Financial office* will retain anginal documents in site specific files Die regional FMO transmits the regional cost lummary and the completed con documentation package to
the regional Superfund Program Office Copia of the tummary are transmitted to SAB and OWPE
Regional Superfimd Program Office will either (end the entire documentation package to Regional Counsel or retain the documentation and send the cost summary only
The Overall summary will be die bati* for the iiutial litigation referral done by Regional Counsel. Privacy Act, Confidential Business Information and reference* to work
performed on other CRECLA sites or RCRA facilities are protected before the documents are released during discovery or at Inal
OECM review la nude to determine if the case should be referred u> the Department of Justice for litigation or back to Regional Counsel.
-------
OSWER Directive 9200 3-0IB
HANDLING FINANCIAL DATA IN THE CERCLIS ENVIRONMENT
Entering Remedial/Removal Data into CERCLIS
A key step in the handling of financial data is the placement of the EPA identification number,
OU, event and event sequence numbers or non-site incident/activity type codes on the funding
document by the IMC or designee These data are the first step m establishing the financial transaction
link between FMS and CERCLIS or CERHELP Since placement of this information on the funding
document is such a key step in the CERCLIS process, the regional IMC must be included in the
funding document concurrence process.
Under normal operating conditions, CERCLIS or CERHELP will already contain certain
planning information related to the event(s) or non-site incident/activities listed on the funding
document During the SCAP process, the region will have identified various events for planned
obligations and entered the EPA ID, OU, event and sequence number or non-site/incident activity type
codes and contract vehicle into CERCLIS or CERHELP In these instances, the planned financial
information must be replaced by the commitment or obligation financial data The "P" in the financial
type field in CERCLIS must be changed to a "C" (commitment) or an "A" (actual obligation) and the
AN/DCN entered into CERCLIS If a region wants to maintain the planned financial data, the "P" in
the financial type field in CERCLIS must be changed to a regional code of "X", "Y", or "Z" In any
event, the "P" must not remain in the system once the funds are committed or obligated
For some unanticipated events (e g, emergency removals) or for decommitments or
deobligations, the funding document may be the first notification to the IMC of a pending financial
transaction for a particular event or non-site incident/activity. In these instances, the EPA ED, OU,
event and sequence number or non-site activity type codes will not exist within CERCLIS or
CERHELP Therefore, these data and the AN/DCN must be entered into CERCLIS or CERHELP.
The EPA ID, OU, event and sequence number or non-site incident/activity type codes, the AN
and DCN need to be recorded and entered into CERCLIS or CERHELP in order to link FMS financial
data with CERCLIS or CERHELP The IMC must ensure that each unique pair of AN and DCN
related to a specific event or non-site activity is entered into CERCLIS or CERHELP
At this time, certain data are optional for entry into CERCLIS or CERHELP by the regions
These include commitment/decommitment or obhgation/deobkgation date and amount, financial type
and contractor name Regions are not required to enter outlay or credit information into CERCLIS
Entering Enforcement Case Budget Data into CERCLIS
The region will be responsible for entenng obligations/tasking (WAs issued) into CERCLIS.
For lAGs that support enforcement activities, regions will have to post the AN/DCN in the financial
notes. For all TES actions, TESWATS will produce a weekly report listing actual WAs issued (CO
sign off) This information is to be posted into the current year obligation field in the CERCLIS
financial field record. Each transaction for each WA will be entered into CERCLIS as a separate
record. It is expected that TESWATS will provide an automated upload to CERCLIS sometime in
FY89 All regional transactions should be entered on a realtime basis or, at a minimum, by the 7th of
the following month. The regions are responsible for verifying the information m FMS and CERCLIS
for obligations or deobligations and outlays incurred
To ensure that all appropriate financial data are reflected in CERCLIS, the following
information should appear on obligation documents. EPA ID number, site/spill ID number, CERCLIS
Event or Enforcement activity codes and OU number, WA number, and dollars.
VI-48
-------
OSWER Directive 9200 3-01B
A crosswalk is provided in Appendix C displaying the relationship between CERCLIS
Enforcement activities, Remedies and Events and their corresponding codes.
ANs must be established for each transaction before commitment and obligation. A CA is
considered obligated when it is signed by the Regional Administrator An IAG is considered obligated
when it is signed by the other agency Contracts are considered obligated when the CO signs the
obligating document or, in the case of a TES WA, when the CO signs the WA. Regions are also
responsible for reviewing and recommending payment of the invoice/voucher (outlays) for these
mechanisms. Once invoices are paid, these dollars are entered into FMS If the obligation was genenc
and the invoice is site specific, FMS shows the funds deobhgated from the genenc account and
obligated and disbursed from the site specific account It is expected that a down load of Enforcement
FMS data will occur sometime in FY89 for all obligations except TES and PNRS In preparation for
the FMS download, each region must post the AN and DCN in the financial notes for the appropriate
enforcement activity. The regions will need to verify that the outlay data are accurate and downloaded
from FMS into the correct place in CERCLIS.
FMS to CERCLIS Financial Data Transfer
On Thursday of each week, an automated transfer of selected financial data from FMS to
CERCLIS and CERHELP will take place Exhibit VI-13 indicates the removal and remedial financial
data to be transferred.
EXHIBIT VM3
REMOVAL AND REMEDIAL FINANCIAL DATA
TO BE TRANSFERRED FROM FMS
Commitments and decommitments
Obligations and deobligations
Funding vehicle
Outlays and credits (funding type and amount)
Obligating document number
Document control number
During the transfer, an automated matching process will occur linking the FMS AN/DCN with
the identical unique AN/DCN pair in CERCLIS or CERHELP If the necessary financial information
has not been entered into CERCLIS, the FMS/CERCLIS link will not be established and the automated
transfer process for that AN/DCN transaction will not occur In cases where the link cannot be
established, CERCLIS will generate an error report noting the problem areas.
It is important for the regions to note that they are ultimately responsible for the accuracy of the
CERCLIS or CERHELP data bases Regions will have to ensure that both the planned data entered as
part of the SCAP process and the actual data transferred from FMS are accurate and current Since
FMS is the Agency's official source of financial data, data transferred from FMS will ovemde
CERCLIS data entered by the regions A weekly exception report is used to aid in identifying errors
or differences between FMS and CERCLIS Errors that have been earned over from FMS must be
corrected in both FMS and CERCLIS
VI-49
-------
OSWER Directive 9200 3-01B
Correcting Financial Data
The region's FMS administrator is the only person authorized to make changes in the FMS data
base The IMC or designee should work with the regional FMO on a regular basis to make sure that
all FMS errors are corrected. The IMC can request, on a regular basis, a report from die regional
Financial Office which contains all Superfund financial transactions in FMS. The information in this
report can be compared with the funding documents and CERCLIS Upon determining that the data
on the source document was correct and were correctly entered into CERCLIS, the IMC should give
the regional FMO a copy of the funding document, and any other relevant documentation, showing
that the FMS data are in error.
The Office of the Comptroller has issued standard procedures for correcting FMS data. There
are three kinds of corrections which may be needed on financial information m FMS as shown in
Exhibit VI-14
EXHIBIT Vf-14
CORRECTIONS TO FINANCIAL INFORMATION
IN FMS
Data entry errors in FMS.
Changing account numbers or document control
numbers that were initially entered into FMS.
Correcting errors in the source funding document
or making other amendments to existing
commitments or obligations.
FMS data entry errors are resolved by the FMO Errors in AN/DCN, or other information on
the original funding document can only be corrected by the same process used to initially create the
financial record (by a contract/PR or by amendment of the IAG or CA)
VI-50
-------
OSWER Directive 92003 01B
CHAPTER VII - PROGRAM MANAGEMENT AND ASSESSMENT
This chapter establishes procedures that assess the accomplishments of the Superfund Program
and prescribes steps for focusing on slipping targets. The Superfund management and assessment
strategy has the components shown in Exhibit VII-1, which are defined in detail in this chapter
EXHIBIT VIM
MANAGEMENT/ASSESSMENT
STRATEGY
Assistant Administrator monthly
progress reviews
Quarterly reviews with mid-year and
end-of-year assessment and the
development of action strategies for
slipping targets
OSWER reviews, which include regional
self-evaluations and on-site review
Special studies
Together these components give management the opportunity to recognize, and to capitalize on,
high performance by moving resources to regions that can assist in meeting national program
priorities, and provide technical assistance to regions that are experiencing difficulties
HQIREGIONAL RESPONSIBILITIES
Both HQ and the regions have assessment and implementation responsibilities as shown in
Exhibit VII-2 on the following page.
HOW EVALUATION FITS IN
Superfund goal setting, planning, resource allocation, and evaluation are all intended to work
together to accomplish program goals The evaluation process gives program managers regular
opportunities, after the formal planning process has ended, to
Initiate changes in program operations or reallocate resources to influence program
objectives;
Examine program accomplishments, and
* Raise issues that have an impact on performance.
VH-1
-------
OSWER Directive 92003 01B
EXHIBIT VII-2
IMPLEMENTATION RESPONSIBILITIES
REGIONAL HEADQUARTERS
RESPONSIBILITIES RESPONSIBILITIES
Meet quarterly SCAP and SPMS targets and Provide guidance to the regions for preparing
solve performance problems when they arise. the quarterly review, and the OSWER
On-Site Review
Provide quarterly SCAP and SPMS data to HQ
through CERCLIS. Review regional Self-Evaluation and participate
in OSWER On-Site Reviews
Maintain CERCLIS data quality at high levels
for Superfund program and project management Review quarterly data reported by the
regions
Prepare Self-Evaluations and participate in
OSWER On-Site Reviews. Negotiate action strategies with regions for
recouping slipping targets.
Provide input to the development of qualitative
measures for Self-Evaluations Recommend resource re-allocations based on
regional needs and performance.
Negotiate performance standards that provide
individual accountability for quarterly targets Implement and report on follow-up action
items from the OSWER On-Site Review,
Develop action strategy to recoup slipping Superfund quarterly reviews and mid-year
targets. assessment and track regional implementation
Assure that all staff are informed of the
results of quarterly reporting and OSWER
reviews
Evaluation allows program managers to influence program performance by providing
information on regional activities and offenng solutions See Exhibit VH-3 on the following page.
VH-2
-------
OSWER Directive 92003-01B
QUARTERLY
REVIEW
AND
MID-YEAR
ASSESSMENT
OSWER
REVIEWS
* Generate
Qualitative
Themes
* Self-Evaluation
* On-Site Review
SPECIAL
STUDIES
* High Priority
Management
Reviews
* Other Studies
* Responses to
GAO/IG Reports
EXHIBIT VIf-3
EVALUATION INFLUENCES ON
PROGRAM PERFORMANCE
INFLUENCE
PROGRAM
THROUGH
Debriefing
Tracking
Performance
Standards
Resource
Reallocation
Headquarters
Assistance
RESULTS IN:
* High
Performance
* Problems
Solved
* National
Goals
Accomplished
QUARTERLY REVIEWS
The quarterly review process is intended to
Track regional progress towards quarterly and end-of-year SCAP and SPMS targets,
Resolve problems, and
Develop strategies to recoup slipping targets.
Quarterly reviews, including the mid-year and end-of-year assessment, provide a vehicle for
monitoring regional progress toward negotiated program output levels (Exhibit VII-4). The quarterly
review process establishes a forum for discussing issues impacting performance as well as innovative
regional techniques for achieving targets. On a national scale, the process allows HQ management to
identify trends in program performance and adjust program management strategies accordingly
VQ-3
-------
OSWER Directive 9200 3-OIB
EXHIBIT VII-4
THE QUARTERLY REVIEW PROCESS
1ST QUARTER
REVIEW
* Evaluate Program
Status
* Brief Senior
Management
2nd QUARTER
MID-YEAR
ASSESSMENT
* Evaluate Program
Status
* Develop Action
Strategy to
Meet Slipping
Targets
* Bnef Senior
Management
3RD QUARTER
REVIEW
* Evaluate Program
Status
* Report on Progress
of Ac Don Strategy
to Meet Slipping
Targets
* Bnef Senior
Management
4tfi QUARTER
ENTX)F-YEAR
ASSESSMENT
* Evaluate Program
Status
* Evaluate Annual
Performance and
Produce National
Progress Report
* Provide Input into
Next FY Resource
Allocation Process
* Report on Progress
of Strategy to meet
Sbpptng Targets
* Bnef Senior
Management
Quarterly reviews follow the same schedule for each quarter (Exhibit Vn-5).
EXHIBIT VII-S
QUARTERLY REVIEW SCHEDULE
The quarterly review schedule begins twelve business days before
the end of a quarter with an OPM memorandum and an OMSE evaluation
schedule sent to the regions On the fifth working day following the
end of the quarter Headquarters pulls the accomplishment
data from CERCLIS
Eight to fifteen working days following the end of the quarter the
regions, in conjunction with the appropriate Headquarters program office,
venfy the data in the OMSE system Approximately fifteen business
days after the quarter ends, the SPMS numbers become final.
VH-4
-------
OSWER Directive 9200 3-OIB
During the quarterly evaluation process, HQ is responsible for reviewing:
SCAP/SPMS Targets and Accomplishments Report; and
Additional data from CERCLIS that have been generated either by HQ or by the region
Regions are responsible for
* Analyzing preliminary SCAP and SPMS data to assess the likelihood of slippage and
regional potential to meet or exceed annual targets, and
Implementing action items that result from the review.
It should be stressed that the regions are responsible for data entry and data quality If data are
not entered into CERCLIS, performance accomplishments will not be captured in the data pull nor will
they be entered into die OMSE SPMS system.
Once the numbers are final, HQ and regional Division Directors, OERR and OWPE Office
Directors, the AA SWER, and the EPA Deputy Administrator are bnefed individually on regional
performance. This occurs 15 - 30 business days following the end of the quarter.
The Mid-Year Assessment
During the second quarter, a mid-year assessment is conducted of regional progress toward
annual SCAP and SPMS targets. The mid-year assessment begins in February when the regions begin
examining their progress toward end-of-year targets in preparation for the second quarter negotiations
If regions feel they can exceed annual targets, they should identify if further progress can be made and
what resources are needed. HQ and regional responsibilities for the mid-year assessment are the same
as those under the regular quarterly review process
The outcome of the mid-year assessment is a set of agreements between HQ and the regions on
actions taken to recoup slipping targets or exceed end-of-year targets. The results of the mid-year
assessment can influence resource allocations for the next fiscal year. It will be completed at the same
time as preliminary targets and FTE allocations are being developed.
Regions may be visited as part of the mid-year assessment HQ Division Directors will
recommend regions to visit to the OSWER Office Directors On-site assessments are expected to last
between two and three days and will be combined with negotiations HQ participants for the review
will be Section and/or Branch chiefs.
The End-of-Year Assessment
In October and November, after the end of the fourth quarter, there is an end-of-year
assessment This assessment will produce an integrated analysis of program performance activities for
that year, emphasizing pipeline issues and noting regional variation as appropriate. It will also review
progress toward implementing mid-year action strategies and identify any regions that might require
additional assistance as the fiscal year begins
The results of the end-of-year assessment will be available prior to development of the next
fiscal year's workload model m December. The end-of-year assessment will be one of the items
considered by HQ when the "straw" model is developed in mid-December
VH-5
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OSWER Directive 9200 3-01B
OSWER REVIEW
The OSWER review integrates the concerns of OERR, OWPE, OSW, and the AA's staff on a
regional basis Each region is reviewed once every 18 to 24 months.
The OSWER review serves five basic purposes:
Ğ To assess regional performance;
To gam regional perspectives on important implementation issues;
To help solve regional problems by identifying actions to be taken by HQ or the
regions;
To facilitate technology transfer and communication among regions; and
To discuss the relationship among OSWER programs
The OSWER review has five steps (Exhibit VTI-6)
EXHIBIT VII-6
PREPARING
THE
PRELIMINARY!
AGENDA
THE OSWER REVIEW PROCESS
PREPARING
THE
SELF-
EVALUATION
FINAL
PREPARATIONS
FOR THE
VISIT
Preparing the Preliminary Agenda
The development of the preliminary agenda begins approximately 12 weeks before an OSWER
review is due to take place The preliminary agenda is composed of issues related to:
Specific performance expectations denved from Annual Operating Guidance, major
regulations (e g., the NCP), and other important guidance documents;
Region specific issues related to regional performance, and
Program concerns and priorities.
The preliminary agenda is intended to focus regional Self-Evaluations and ensure that regions
address issues of interest to HQ senior management, individual programs, and program-wide
performance expectations.
VH-6
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OSWER Directive 9200 3-01B
Performance expectations will be identified from the Annual Operating Guidance and other goal
setting documents (e.g, major regulations, policy statements, other guidance). Performance
expectations are intended to focus the region on important program-wide issues and establish a senes
of expectations about program activities. Performance expectations will be identified annually and
updated as changes in program goals or priorities occur
Approximately 12 weeks before each OSWER review, OWPE and OERR management will
identify region and program specific issues These issues should reflect program concerns about that
region's performance in the areas related to their responsibility and concerns and priorities related to
the operation and accomplishments of the program as a whole. These issues arc then combined,
performance expectations are added, redundancies are eliminated, and the preliminary agenda is sent to
the region The final product will consist of a small number of focused questions and performance
expectations.
At the same time as the preliminary agenda is developed, HQ will identify potential review
issues and potential team members for the review Team members should be upper management to
assure knowledge of the program and the authority to commit program resources to specific actions
agreed upon during the review.
Preparing the Self-Evaluation
The regional Self-Evaluation is one of several tools used by the regions and HQ to prepare for
the OSWER review.
Self-Evaluations allow HQ to focus its preparation for an OSWER review on those areas that
the region perceives to be important
Through the Self-Evaluation, regions
Present their perspective on the Superfund program;
* Assess their performance to date, identify problems and propose solutions, and
Respond directly to qualitative measures provided by HQ
What Should the Evaluation Cover
The regional Self-Evaluation should be bnef and should follow a highly structured format so
that HQ personnel can easily delegate sections to the appropriate programs for review HQ will issue
guidance to regions to help organize the Self-Evaluations Generally, Self-Evaluations should focus
on broad program issues that are vital to the long-term effectiveness of the program Other issues that
could be addressed include.
Systemic problems that frustrate regional attempts to meet annual targets;
Problems that the region feels HQ needs to remedy;
Areas where the region needs technical assistance, and
* Ideas or proposals the region has for improving the success of the program
Self-Evaluations prepared between April and September 30 should discuss progress made in
implementing the action strategies negotiated during the mid-year assessments and in accomplishing
year-end targets.
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OSWER Directive 9200 3-01B
Self-Evaluations should not:
Discuss SCAP and SPMS targets. The quarterly review process provides sufficient
attention to them. However, general discussion of program performance would be
appropriate, and
Address day-to-day issues or problems that could be effectively dealt with through
normal HQ-regional channels.
When the Self-Evaluation is returned, the team will review it in the context of the issues raised
in the preliminary agenda. CERCLIS data will be made available for comparison with other regions
and to explore other dimensions of regional performance The comments from the team are then given
to the Program Area Team Leader to produce the final program agenda. The final agenda is sent to the
region two weeks pnor to the review
EXHIBIT VII-7
WHEN SHOULD THE
SELF-EVALUATION
BE PREPARED?
Approximately ten weeks pnor to the
OSWER Review, HQ sends the region
the preliminary agenda and a sample
Self-Evaluation. The region has
approximately four weeks to prepare
the Self-Evaluation.
In the Region
The review consists of a three- to four- day series of management level discussions in the
region on issues identified in the detailed agenda. After an introductory briefing, concurrent breakout
sessions are held on individual program or policy areas. A series of subsequent meetings are then held
to discuss issues brought up at these meetings in more detail If necessary, file reviews may be
performed to verify information.
After each day's meetings, Review Team Leaders are responsible for documenting the results
of their individual sessions. This information is then incorporated into the Implementation Report
The visit concludes with a senior management session at which agreement is reached on further steps
to be taken by HQ and the region
Follow-Up
The final step of the review consists of implementing actions agreed to during the site visit and
monitoring their implementation. Immediately after the visit is completed, the region's comments on
the implementation review report are submitted to and reviewed by the program offices. Program
office and regional comments are then sent to the AA SWER After the comments have been
reviewed, and necessary revisions made, the final Implementation Review Report is sent to the region
VH-8
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OSWER Directive 92003-01B
The follow-up action items are put into the OSWER tracking system. Six months after the
OSWER review has occurred, responsible Divisions at HQ and in the regions must report progress on
implementing follow-up items to die Management and Evaluation Section (MES).
EXHIBIT VTT-K
PRODUCTS OF THE OSWER ON-SITE REVIEW
BRIEFING POINTS Briefing points are developed from
individual program sessions They are a series of bullet
points that summarize the key issues and responses.
They are used to brief the Program Director at the HQ
Team Meeting on the final day of the review
IMPLEMENTATION REVIEW REPORT The
implementation review report is prepared on-site
during the review It includes all of the findings
resulting from the review A preliminary report
is filed with the region for comment prior to the
departure of the HQ review team
FOLLOW-UP ACTION ITEMS' The follow-up action
items are actions agreed to by both HQ and the regions
to remedy some of the problems raised during the review.
Each action item is assigned to either a regional or HQ
division It is that division's responsibility to implement
the action designated in that action item and to track
regional items
SPECIAL STUDIES
Each year resources will be set aside for 3-5 high priority management studies These studies
will satisfy FMFIA requirements as well as the Program's need for evaluation information Divisions
and the regions will be solicited for issues that may be the focus of the high priority studies A
candidate list of studies will be produced for the OERR and OWPE Directors' use in selecting final
studies. These studies will be determined by early March to satisfy FMFIA workplan requirements
*tl S GOVENRHENT PRINTING OFFICE 1988617-003/84268
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