540R89011
3CAP for fiscal Ysar :-G
Superfund Comprehensix
Accomplishments Plan
Manual - Volume 2
> Appendix A - Fiscal Year 1990
Methodologies
Appendix B - Applicability of
the Freedom of Information Act
Appendix C - Crosswalk for
Enforcement Activities and Remt
> Appendix D - Definitions
Appendix E - CERCLiS Select Lo<
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OSWER Directive 9200 3-01B
APPENDIX A
SCAP/SPMS METHODOLOGIES FOR TARGETS AND
MEASURES
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OSWER Directive 92003-01B
APPENDIX A
This appendix represents the FY90 methodologies for deriving each of the
SCAP/SPMS targets and projection measures. If the application of the methodologies
result in preliminary targets above the national budget, a proportional calibration back to
budget will be applied. This appendix should be used as a tool for understanding the initial
SCAP targets/measures issued to each region by Headquarters
For all activities, final targets and projection measures will be established after
Headquarters/regional negotiations
If there are any questions as to applicability of a particular activity to a
target/measure, please refer to SCAP/SPMS Activity Definitions Also note that all tables
in this appendix are hypothetical and used for demonstration purposes only.
A-2
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OSWER Directive 92003-01B
APPENDIX A
FY90 METHODOLOGIES
TABLE OF CONTENTS
PRE-REMEDIAL METHODOLOGIES A-5
PA Completions . A-5
SSI Completions . . A-5
LSIStarts. ... A-6
REMEDIAL METHODOLOGIES . A-7
REMEDIAL mVESTIGATION/FEASmiLrrY STUDY (RI/FS) A-7
First RVFS Starts A-7
Subsequent RI/FS Starts A-7
RI/FS To Public A-7
First RI/FS Completion (ROD) A-8
Subsequent RI/FS Completion (ROD) A-8
Final RI/FS Completion (ROD) A-8
REMEDIAL DESIGN (RD) A-8
First RD Starts. . A-8
Subsequent RD Starts., . . . . A-9
Final RD Starts.. . A-9
RD Completions .. .... A-9
REMEDIAL ACTION (RA) . . A-9
First RA Starts .. .... A-9
Subsequent RA Starts . A-9
Final RA Starts. .... A-10
NPL Sites with RA Starts Post-SARA .... A-10
RA Completions... A-10
Final RA Completions . ... . A-10
NPL Deletion Initiation A-10
REMOVAL METHODOLOGIES . .. A-11
NPL SITES . . . A-ll
First Removal Start at NPL Sites . . A-ll
Subsequent NPL Removal Starts . A-ll
Removal Completions at NPL Sites A-12
Removal Completions at NPL Sues that Lead to Deletion A-12
NON-NPL SITES .. A-12
Non-NPL Removal Starts. . ... A-12
Non-NPL Removal Completions.. A-12
ENFORCEMENT METHODOLOGIES A-13
PRP SEARCHES/NEGOTIATIONS A-13
PRP Search Start at NPL Sues A-13
Completed PRP Search at NPL Sites A-13
Completed PRP Search at Non-NPL Sues.. A-13
RI/FS Negotiation Starts A-13
RI/FS Negotiation Completions A-13
Start of RD/RA Negotiations... A-14
A-3
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OSWER Directive 9200 3-0IB
Conclusion of RD/RA Negotiations A-14
SETTLEMENTS AND REFERRALS A-14
Section 106/107 Case Resolution/Cost Recovery Judicial Settlement A-14
Section 106 RD/RA Referral /Orders . A-14
Administration Cost Recovery Settlements A-15
Cost Recovery Cases Referred to DOJ or HQ >$200K
(Includes Section 107 Removal, RI/FS, and RD) A-15
Cost Recovery Cases Referred to DOJ or HQ >200K
(RAs et. all) .A-16
Cost Recovery Cases Referred to DOJ or HQ >200K
(§106/§107 Removal, RI/FS, and RD/RA) A-17
Cost Recovery Cases referred to DOJ or HQ >200K
(§106/§107 for Remedial Action) A-17
Administrative Order for Removal Actions . A-17
FEDERAL FACILITY METHODOLOGIES . A-18
PRE-REMEDIAL . A-18
PA/SIReview A-18
REMEDIAL INVESTIGATION/FEASIBILITY STUDIES (RI/FS) A-18
Federal Facility RI/FS Completion (ROD) A-18
REMEDIAL ACTION (RA) . A-18
RA Starts Post-SARA at NPL Sites. . . A-18
ENFORCEMENT .... ... A-18
Signed Interagency Agreements at NPL Sites A-18
OIL SPILL PROGRAM METHODOLOGIES . A-19
Oil Spills Cleaned Up Using Clean Water Act (CWA) Funds A-19
On-Scene Monitoring of Responses to Oil Spills A-19
SPCC Inspections/Reviews A-19
A-4
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OSWER Dtrecuve92003-OIB
PRE-REMEDIAL METHODOLOGIES
PA Completions
METHODOLOGY: The national PA completion target for FY90 reflects the
number of expected PA completions in the budget The budget figure was denved
by combining the number of sites expected to be added to CERCLIS during FY89
with the RCRA sites expected to be investigated under the Agency's Environmental
Priorities Initiative (EPI)
A PA completion target for a particular region is established through the following
procedures:
Determine the number of sites in CERCLIS where a PA has not been
conducted as of December 31,1988
Determine each region's percentage of the total CERCLIS sites which have
not had a PA as of December 31,1988
Multiply this percentage by the national budget target to determine each
region's CERCLIS PA target
* Determine each region's percentage of the total EPI sites identified.
Multiply that percentage by the national EPI budget target to determine the
region's EPI target.
» Add the region's CERCLIS PA target and EPI target to obtain the overall
PA target.
DIFFERENCE FY89-FY90
SI Completions
METHODOLOGY- The national SSI completion target for FY90 was established
as a reasonable goal given the Agency's program priorities and implements the
second year of a two year strategy to eliminate the SSI backlog in regions 6-10
Regional SSI completion targets are denved through the following procedures
Determine the number of sites in CERCLIS as of 12/31/88
Subtract 1) die sites which have an SSI recorded in CERCLIS, 2) those
sites with a PA which results in a low priority SSI, and 3) those with a final
disposition of NFRAP
* Determine the number of sites which meet this criteria in regions 6-10
These are the targets for these regions
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OSWER Directive 92003-01B
Subtract the targets for regions 6-10 from the national budget target and
from the CERCLIS sites identified.
Determine regions 1-5 percentage of the remaining CERCLIS sites
identified.
Multiply this percentage by the remaining national budget target. These are
the targets for regions 1-5
DIFFERENCE FY89-FY9Q-
LSI Starts
METHODOLOGY. The national LSI start target for FY90 reflects the number of
expected LSIs in the budget The regional LSI starffefget is established through the
following procedures- ^ oe
Determine the number of sites in CERCLIS in each region as of December
31,1988 which have had an SSI and do not have a final disposition of
NFRAP.
Add up the regional totals to obtain a national total of sites recommended for
LSIs
* Determine the region's percentage of the total national number of sites
recommended for LSIs
Apply this percentage to the national target for LSI starts.
DIFFERENCE FY89-FY90. In FY89, the LSI target was based on the estimated
number of SSIs that lead to NPL site additions.
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OSWER Directive 9200 3 OlB
REMEDIAL METHODOLOGIES
REMEDIAL INVESTIGATION/FEASIBILITY STUDY
(RI/FS}
First RI/FS Starts Program and PRP Lead
METHODOLOGY: The national target for first RI/FS starts is based on the FY90
budget The regional targets are established through the following methodology:
Determine the number of first RODs signed in FY88 and planned in FY89
for each region.
Calculate each region's percentage of national first RODs in FY88 and
FY89.
Multiply this percentage by the national target for first RI/FS starts in FY90
First RI/FS stan totals will be broken down based on the FY90 budget number to
reflect Program and PRP lead RI/FS activities.
DIFFERENCE FY89-FY90: Targets are based entirely on the number of RODs
signed
Subsequent RI/FS starts Program and PRP Lead
METHODOLOGY: The national candidate list for subsequent RI/FS starts is based
on projected subsequent starts in CERCLIS All RI/FS starts following the first
RI/FS are used to determine the subsequent RI/FS stan candidate list
The regional subsequent RI/FS start list is determined by projects identified in
CERCLIS.
DIFFERENCE FY89-FY90-
RI/FS To Public Program and PRP lead
METHODOLOGY: The overall annual target for RI/FS to public is determined by
adding together the number of RODs planned to be signed between second quarter
FY90 and first quarter FY91.
The initial targets for regional RI/FS to public are determined in the same manner as
the national targets.
DIFFERENCE FY89-FY9Q: New methodology for FY90.
A-7
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OSWER Directive 9200 3-01B
First RI/FS Completion (ROD) -- Program and PRP Lead
METHODOLOGY: The annual target for first RI/FS completions are determined
by adding together the total number of projected first RODs for all regions in FY90
as identified in CERCLIS.
The initial target for regional first RI/FS completions are based on projections in
CERCLIS for Program and PRP lead first RODs.
DIFFERENCE FY89-FY90
Subsequent RI/FS Completion fROD) -- Program and PRP Lead
METHODOLOGY: The national and regional targets for subsequent RJ/FS
completions are described by determining the scheduled subsequent RODs in FY90
in CERCLIS.
DIFFERENCE FY89-FY90:
Final RI/FS Completion (ROD) - Program and PRP Lead
METHODOLOGY The annual target for final RI/FS completions are determined
by adding together the total number of projected final RODs for all regions in FY90
as identified in CERCLIS
The initial target for regional final RODs are based on projections in CERCLIS for
Program and PRP lead final RODs
DIFFERENCE FY89-FY90 New methodology for FY90.
REMEDIAL DESIGN
First RD Starts Program and PRP Lead
METHODOLOGY: The national target for first RD starts is based on the regions'
projected first Rp starts in CERCLIS
The methodology used to derive the first regional RD start targets is as follows:
* Initial first RD candidate list for each region is determined from CERCLIS
* Regions identify which of the RD candidates they plan to start, which sites
are to be Fund-financed, and which are to be RP lead.
Sites with Fund-financed RI/FS that appear to be good candidates for RP
lead RDs during FY90 should be listed as PRP lead or as an alternate for
FY90 funding. Twenty to tweny-five percent of the Fund RI/FS should
result in PRP RDs.
A-8
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OSWER Directive 9200 3-01B
HQ and regions hold negotiations based on the regional submittal and final
targets are established.
DIFFERENCE FY89-FY9Q:
Subsequent RD Starts Program and PRP Lead
METHODOLOGY The national target for subsequent RD starts is based on the
region's projected subsequent RD starts as identified in CERCLIS.
The initial target for regional subsequent RD starts are based on projections in
CERCLIS for Program and PRP lead subsequent RDs.
DIFFERENCE FY89-FY90
Final RD Starts Program and PRP Lead
METHODOLOGY: The national and regional targets for final RD starts are derived
by determining the scheduled final RD starts for FY90 in CERCLIS
DIFFERENCE FY89-FY9Q- New methodology for FY90
RD Completions Program and PRP Lead
METHODOLOGY: The initial national and regional targets for RD completions is
based on projected RD completions in FY90 from CERCLIS
DIFFERENCE FY89-FY90
REMEDIAL ACTION (RA)
First RA Starts Program and PRP Lead
METHODOLOGY. The initial national target for first RA starts is based on 100%
of the regions' projected first RA starts in CERCLIS All sites in CERCLIS as first
RAs are used to determine the RA candidate list.
The methodology used to derive the regional first RA start targets is as follows
* Initial RA candidate list for each region is based on the number of scheduled
first RA starts in FY90.
Regions identify which of the RA candidates are to be Fund-financed and
which are to be RP lead.
* Sites with Fund-financed RI/FS or RD that appear to be good candidates for
RP lead RAs during FY90 should be listed as RP lead or as an alternate for
FY90 funding.
A-9
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OSWER Directive 9200 3-01B
DIFFERENCE FY89-FY90.
Suhseauent RA Starts Proeratn and PRP Lead
METHODOLOGY: The national and regional targets for subsequent RA starts are
derived by determining the scheduled subsequent RA starts in FY90 in CERCLIS.
DIFFERENCE FY89-FY90-
Final RA Starts Program and PRP Lead
METHODOLOGY: The national and regional targets are established by
determining the number of final RA starts identified in CERCLIS in FY90.
DIFFERENCE FY89-FY9Q New methodology for FY90
NPL Sites with RA Starts Post-SARA Program and PRP Lead
METHODOLOGY' The national and regional targets for post-S ARA RA starts is
derived by determining the scheduled post-SARA RA starts in CERCLIS.
DIFFERENCE FY89-FY90 New methodology for FY90
RA Completions Program and PRP Lead
METHODOLOGY The initial national and regional targets for RA completions is
based on 100% of the candidate sites for first or subsequent RA completions
recorded in CERCLIS. Final targets are set after negotiations
: FY89-FY90:
Final RA Completions
METHODOLOGY: The national and regional targets for final RA completions are
derived by determining the scheduled final RA completions in FY90 in CERCLIS.
DIFFERENCE FY89-FY90: New methodology for FY90.
NPL Deletion Initiation
METHODOLOGY; National and regional targets for NPL deletion initiation are
based on FY90 projected deletions in CERCLIS.
DIFFERENCE FY89-FY90:
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OSWER Directive 92003-01B
REMOVAL METHODOLOGIES
NPL SITES
First Removal Start at NPL Sites Program and PRP Lead
METHODOLOGY: The national target for first NPL removal activity includes
Fund-financed and PRP removal actions taken under CERCLA. The PRP target is
based on an historical evaluation of orders issued for removal actions. Historically
25 percent of the removals were performed by the PRPs under the terms of an
Administrative Order on consent or a unilateral order. For initial targets each region
will have at least one PRP lead NPL removal first start
The initial regional Fund-financed and PRP lead NPL removals target methodology
is as follows:
Determine each region's percentage of the historical (FY85-FY88) first NPL
removals
* Multiply this percentage by the irmal NPL first start removal target to get the
preliminary regional target
* Multiply the regional removal target by 25 to derive the PRP target
DIFFERENCE FY88-FY90:
Subsequent NPL Removal Sjafls^Program and PRP Lead
METHODOLOGY. The national SPMS/SCAP target for subsequent NPL removal
activities is based on the Fund budget target and historical averages. The initial
regional Fund-financed and PRP lead subsequent NPL removal starts is as follows:
Determine each region's percentage of the historical (FY85-FY88)
subsequent NPL removals
Multiply this percentage by the national subsequent removal start target to
get the preliminary regional target.
Multiply the Fund subsequent removal target by 33 to derive the PRP
target
DIFFERENCE FY89-FY9Q- The percentage for PRP removals was changed from
25 to 33.
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OSWER Directive 9200 3-01B
Removal Completions at NPL Sites -- Program and PRP Lead
METHODOLOGY: The initial national target for NPL removal completions is
based on projected FY90 completions from the regions. This target is very flexible,
and final SCAP and SPMS targets for NPL removal completions will be determined
only after extensive discussions with the regions
Regional targets are determined using the following steps
* Regions submit their projections for NPL removal completions for FY90
through the CERCLIS non-site data base.
Headquarters totals each region's projections. These projections become
the initial completion targets for each region (Completion targets should
coincide to a great extent with the region's start target)
DIFFERENCE FY89-FY90
Removal Completions at NPL Sites that Lead to Deletion Program and PRP Lead
METHODOLOGY: The initial national target for NPL removal completions that
lead to deletion is based on projected FY90 completions from the regions. Regions
submit their projections for NPL completions that lead to deletion for FY90 through
the CERCLIS non-site data base.
DIFFERENCE FY89-FY9Q- New methodology for FY90.
NON-NPL SITES
Non-NPL Removal Starts Program and PRP Lead
METHODOLOGY
Determine each region's percentage of the historical non-NPL removal
starts.
* Multiply this percentage by the national non-NPL removal target to obtain
the region's target
Multiply the Fund target by 33 to determine the Fund vs PRP split Each
region will have at least one PRP lead non-NPL removal start
DIFFERENCE FY89-9Q- The percentage of PRP removals has increased.
Non-NPL Removal Completions -- Program and PRP Lead
METHODOLOGY. The determination of the initial national and regional non-NPL
removal completion targets follows the NPL removal completion targets.
DIFFERENCE FY89-FY9Q:
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OSWER Directive 92003 0IB
ENFORCEMENT METHODOLOGIES
PRP SEARCHES/NEGOTIATIONS
PRP Search Start at NPL Sites
METHODOLOGY: National and regional projections are based on projections of
site additions to the NPL.
DIFFERENCE FY89-FY90 New methodology for FY90.
Completed PRP Search at NPL Sites
METHODOLOGY: National and regional projections are based on the number of
sites in each region expected to be added to the NPL between July 1989 and June
1990.
DIFFERENCE FY89-FY90 A umeframe for the updates was added.
Completed PRP Search at Non-NPL Sites
METHODOLOGY: The national and regional projections for PRP searches at non-
NPL removal sites is determined by summing the regional targets for removal starts
at non-NPL sites.
DIFFERENCE FY89-9Q-
RI/FS Negotiation Starts
METHODOLOGY: The national and regional projections are based on 90% of a
region's targets for RI/FS starts from second quarter FY90 through first quarter
FY91. This projection is based on the assumption that RI/FS negotiations begin the
quarter prior to the planned RI/FS start and PRPs will exist at 90% of the sites
(historical average).
DIFFERENCE FY89-FY9Q- New methodology for FY90
RI/FS Negotiation Completions
METHODOLOGY: The national and regional projections are based on 90% of a
region's targets for RI/FS starts for FY90 It is assumed that viable PRPs will exist
at 90% of the sites (historical average)
DIFFERENCE FY89-FY90: New methodology for FY90
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OSWER Directive 9200 3-01B
Start of RD/RA Negotiations.
METHODOLOGY: The national and regional FY90 targets for RD/RA negotiation
starts is based on adding the RODs scheduled for second quarter FY90 through first
quarter FY91. This methodology is based on the assumption that RD/RA
negotiations begin one quarter prior to the ROD.
;FY89-FY90r New methodology for FY90.
Conclusion of RD/RA Negotiations
METHODOLOGY: The national and regional FY90 targets for RD/RA negotiations
are calculated by adding the number of RODs scheduled to complete between the
third quarter of FY89 and the second quarter of FY90. This methodology is based
on the assumption that RD/RA negotiations will begin one quarter prior to the
signature of the ROD and complete two quarters post ROD
DIFFERENCE FY89-FY90
SETTLEMENTS AND REFERRALS
Section 106/107 Case Resolunon//Cost Recovery JudiqaJ Settlement
METHODOLOGY The national and regional targets are based on referred
§ 106/1107 cases that have not been fully settled that will be in their fourth year of
litigation (i.e., 12 or more quarters) This includes those cases where a full trial has
not begun when the targets are set or where the original claim has not been settled
or withdrawn. A separate target is set for §106 and §107.
DIFFERENCE FY89-FY90- The timeframe for how long litigation has been
ongoing has been added.
Section 106 RD/RA Referrals/Orders
METHODOLOGY: The regional and national targets are based on historical
averages. Historically 25% of the Fund-financed RI/FS and 95% of PRP RODs
have led to settlements for RD/RA. These targets are determined by taking the
Fund and PRP lead RODs that are expected to be signed between the second quarter
of FY89 through the first quarter of FY90 and applying these percentages.
DIFFERENCE FY89-FY9Q- New methodology for FY90
A-14
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OSWER Directive 92003 01B
Administration Cost Recovery Settlements
METHODOLOGY: The following steps outline the methodology for determining
national and regional targets:
An initial universe of possible administrative settlement candidates is
identified. Those candidates were based on the following selection criteria
consistent with current cost recovery guidance and focus on all completed
removals or ERAs which cost less than $200,000
Regional percentages of the universe are determined;
Each region's percent of the universe is applied to the national
budget number.
DIFFERENCE FY89-FY90 Candidate sites are identified in FY90.
Cost Recovery Cases Referred to DQJ or HO >$200K (Includes Section 107 Removal,
RI/FS, and RD)
METHODOLOGY: The following steps outline the methodology for determining
national and regional targets:
* An initial universe of § 107 Removal, RI/FS, and RD candidates is
identified. It is based on:
All sites with a completed removal costing greater than $200K
where there is no further remedial work planned.
All sites with a completed removal facing statute of limitations,
Ail sites with a completed RI/FS where the RA is scheduled to begin
more than 10 quarters after the ROD, and u-.^.
All sites with a completed RD where the RA is not scheduled to
begin within 10 quarters (RA work delayed due to budget
constraints).
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OSWER Directive 9200 3-01B
From the initial universe, subtract cases identified for no further action due
to:
1) Non-viable PRPs,
2) No PRPs identified,
3) Questionable evidence;
4) Questionable legal case; and
5) Other reason.
* Exclude sites with §106/§ 107 referrals The remaining total provides
potential universe.
Apply each region's percentage to the national budget target for § 107
removals to get initial target
DIFFERENCE FY89-FY9Q.The split in the types nf activities being referred for
cost recovery has caused new methodologies to be developed for FY90
Cost Recovery Cases Referred to DOJ or HO >20QK (RAs et all)
METHODOLOGY: The following steps outline the methodology for determining
national and regional targets:
An initial universe is determined. It is based on:
All sites where remedial action has commenced and there is no prior
§107 referral or §106/§107 referral.
From this universe, subtract cases where regions have identified that no
further action is advised due to:
1) Non-viable PRPs;
2) No PRPs identified;
3) Questionable evidence,
4) Questionable legal case; and
5) Other reason
This provides the potential universe of candidates
Determine regional percentages of potential universe
* Apply regional percentages to the national budget number for § 107 referrals
for RAs
DIFFERENCE FY89-Y9Q: The split in the types of activities being referred for
cost recovery has caused new methodologies to be developed for FY90.
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OSWER DIRECTIVE 9200 3-01B
Cost Recovery Cases Referred to DOJ or HO >2QQK (§ 106/§107 Removal, RI/FS, and RD/RA)
METHODOLOGY: The following steps outline the methodology for determining national and
regional targets:
* An initial universe of § 106/§ 107 removal, Rl/FS, and RD/RA candidates is identified.
It is based on sites where-
There will be a § 106/§ 107 action for removal where the §107 count is pursuing
past costs >200K,
There will be a § 106/§ 107 for RI/FS where the § 107 count is pursuing past
costs >200K, and
There will be a § 106/§ 107 for RD/RA where the § 107 count is pursuing past
costs >200K (RD/RA referrals)
* The total number of these cases is the initial projection for this measure.
DIFFERENCE FY89-FY9Q- New methodology for FY90
Cost Recovery Cases referred to DOJ or HO >2QOK (§ 106/§ 107 for Remedial Action)
METHODOLOGY. The initial projection is based on sites where there is to be a PRP RA but
there was no previous PRP work and past costs total >200K
DIFFERENCE FY8Q-FY9Q- The split m the types of activities being referred for cost recovery
has caused new methodologies to be developed for FY90
Administrative Order for Removal Actions
METHODOLOGY The national projection for administrative orders (unilateral or consent) for
removals is determined by summing the Fund-financed regional targets for first NPL and non-
NPL removal starts and dividing that total by three (Historically PRP removals have been 1/3
of Fund removals).
Regional projections are based on targets for first NPL and non-NPL removal starts.
DIFFERENCE FY89-FY90*
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OSWER DIRECTIVE 9200 3-01B
FEDERAL FACILITY METHODOLOGIES
PRE-REMEDIAL
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OSWER Directive 9200 3-01B
APPENDIX B
APPLICABILITY OF THE FREEDOM OF INFORMATION ACT TO SCAP
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OSWER Directive 92003-01B
APPLICABILITY OF THE FREEDOM OF INFORMATION ACT TO SCAP
PUBLIC SCAP REPORTS
Public SCAP reports consist of a set of CERCLIS-generated reports that have had all sensitive
material (records or information that are protected under FOIA and cannot be released to the public)
removed. Public SCAP reports are SCAP 11 (Public SCAP NPL Site Summary) and SCAP 12
(Public SCAP Non-NPL Site Summary) on the CERCLIS reports menu These CERCLIS reports
should be referred to while reading through the following discussion
SENSITIVE SCAP-RELATED INFORMATION
FOIA is intended as a disclosure law, not a withholding law In handling all FOIA requests,
there should be a presumption in favor of releasing information There are certain types of
information, however, that have been designated as restricted and therefore not releasable to the public
because disclosure could cause significant harm to the Agency. The following information fits into
this category
Section 106 and 107 Litigation and all related information where the planning
information indicate that the action has or will be referred to HQ or to DOJ If the case
is filed, the information may be released
PRP lead RI/FS and all related information where only planning data exist
RD/RA-AO/CD and all related information where only planning data exist
* Planned obligation amounts related to case budget activity associated with the following
activities'
Removal negotiations;
PRP-search negotiations,
RI/FS negotiations,
RD/RA negotiations, and
Cost recovery negotiations
RD and RA planned events where the lead is the RP with no actual starts
* RI/FS and RD/RA negotiations planned start and completion dates
* Compliance code and status indicator
Planned removal/remedial obligations
All planned activities for sites that have not been designated as final or proposed NPL
sites in the Federal Register
Information on the viability of the case on PRPs
This information is protected from mandatory disclosure by the following FOIA exemptions
and provisions:
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OSWER Directive 92003-01B
* Information falling under numbers 1-8 EXEMPTION 7- Records or information
compiled for law enforcement purposes. Specifically, EXEMPTION 7 (a) - Could
reasonably be expected to interfere with enforcement proceedings.
Information falling under number 9 EXEMPTIONS Privileged Interagency or Intra-
Agency Memoranda Specifically, EXEMPTION 5, Privilege 4 - Government
Commercial Information Privilege
Information falling under number 10 EXEMPTIONS Privileged Interagency or
Intra-Agency Memoranda Specifically, EXEMPTION 5, Privilege 1- Deliberative
Process Privilege
Because of modifications to Exemption 7 resulting from the 1986 Amendments to FOIA -
changes to the general coverage and the withholding standard language - the Agency has more
flexibility in withholding enforcement activity information
The sensitive information listed in numbers 1-10 above covers the information restricted from
public disclosure as of the compilation of this manual Additional information may be added to this
category and information may be restricted in specific instances (though the pnor disclosure rule must
be adhered to) If requested information is potentially able to be restricted under a FOIA provision (in
this case, under Exemptions 5, or 7), the official receiving the request should contact the appropnate
FOIA office to determine whether the information should be restricted.
AD HOC REPORTING
In general, all regional requests for ad hoc reporting - a special request for records or
information that is not part of the approved Public SCAP Reports ~ should be referred to HQ
immediately The regional official receiving the request should inform the requestor of this policy and
advise the requestor to contact HQ for a decision on whether this information may be released. If the
requested information is only available from a specific region, and HQ has decided to release this
information, HQ will inform the responsible region that the information should be compiled and
disclosed to the requestor.
s
Ad hoc reporting requests should be treated like a FOIA request This includes the following
If the information is protected under one of the FOIA exemptions, the information will
not be disclosed (except in cases of discretionary release)
Absent FOIA exemption protection, the information will be disclosed if it can be
compiled or obtained in a reasonable amount of time by an Agency employee familiar
with the subject area.
* Fees for ad hoc reporting requests will be charged in accordance with the fee structure
used for FOIA requests
Depending on the complexity of the request, Agency personnel will not have to undertake the
specific logging and routing procedures required for FOIA requests However, the request should be
kept on file in a designated ad hoc reporting request file
If a request is very complex or compilation of the requested information would be very time-
consuming, the request should be denied If the requestor appeals this determination, the requestor
should be informed that the request must be formulated into an official FOIA request (a written request
for specific records citing FOIA) and must be sent to the FOIA office
B-3
-------
-------
OSWER Directive 92003-01B
APPENDIX C
CERCLIS CROSSWALK FOR ENFORCEMENT
ACTIVITIES AND REMEDIES
-------
APPENDIX C
CERCLIS CROSSWALK FOR
ENFORCEMENT ACTIVITIES AND REMEDIES
ENFORCEMENT
ACTIVITIES fC170I)
1 Litigation Activities
Claim in Bankruptcy
Preliminary injunction
Section 106 Litigation
Section 106/107
Litigation
Section 107 Litigation
Temporary Restraining
Older
CERCLIS
Activity
Code
CB
PI
SX
CL
SV
TE
REMEDIES (Sought or Achieved
by Enforcement Activities) (C2731)
-N/A
-N/A
- Document Exchange
- Expedited Response Action
Feasibility Study
- Initial Remedial Measure
(historical only)
- Interest
- Lien on Property
- Long Term Response
- Operations & Maintenance
- Other
- Permanent Relocation
- Premium
- Remedial Design
* Remedial Action
- Remedial Investigation
- Removal Action
RI/FS
- Site Access
- Temporary Relocation
- Same as Section 106
Litigation, plus
- Cost Recovery Oversight
- Cost Recovery of RA
- Cost Recovery of RD
- Cost Recovery of Removal
- Cost Recovery of RI/FS
- Cost Recovery Oversight
- Cost Recovery of RA
- Cost Recovery of RD
- Cost Recovery of Removal
- Cost Recovery of RI/FS
-N/A
CERCLIS
Remedy
Code
DH
ER
FS
IM
IN
LP
LR
OM
OH
RE
PR
RD
RA
Rl
RV
CO
SB
TR
VS
VA
VD
VM
VD
VS
VA
VD
VM
VD
EVENTS (C2101)
CERCLIS RP-Lead
Event Generated
By This Remedy?
No
No
No
Yes
Yes
Yes
No
No
Yes
Yes
Yes
Yes
No
Yes
Yes
Yes
Yes
Yes
No
Yes
No
No
No
No
No
No
No
No
No
No
No
CERCLIS
Event
Code
-
-
-
ER
FS
IM
-
-
LR
OM
OH
RE
-
RD
RA
RI
RV
CO
-
TR
-
-
-
-
_
.
.
.
-
-
C-2
-------
APPENDIX C
CERCLIS CROSSWALK FOR
ENFORCEMENT ACTIVITIES AND REMEDIES
ENFORCEMENT
ACTIVITIES (C1701)
2 Negotiation Activity
Cost Recovery
Negotiation
RD/RA Negotiation*
Removal Negotiations
RI/FS Negotiation
^ NflllGC lifif'cr Activities
Notice Letters Issued
4 Order Activities
Administrative Order
> on Consent
t
CERCLIS
Activity
Code
ME
AN
RN
FN
MI
AC
REMEDIES (Sought or Achieved
by Enforcement Activities) (C2731)
- Cost Recovery Oversight
Cost Recovery of RA
- Cost Recovery of RD
- Cost Recovery of Removal
- Cost Recovery of RI/FS
- Remedial Design
- Remedial Action
Expedited Response Action
- Removal Action
Site Access
- Temporary Relocation
- Feasabihty Study
* Remedial Invesigations
- RI/FS
-N/A
- Cost Recovery Oversight
- Cost Recovery of RA
- Cost Recovery of RD
- Cost Recovery of Removal
Cost Recovery of RI/FS
Document Exchange
* Expedited Response Action
Feasibility Study
Initial Remedial Measure
(historical only)
Interest
Long Term Response
Operations &, Maintenance
Other
Permanent Relocation
Premium
Remedial Design
Remedial Action
Remedial Investigation
Removal Action
RI/FS
Site Access
Temporary Relocation
CERCLIS
Remedy
Code
VS
VA
VD
VM
VO
RD
RA
ER
RV
SE
TR
FS
RI
CO
-
VS
VA
VD
VM
VO
DE
ER
FS
IM
IN
LR
CM
OH
RE
PR
RD
RA
RI
RV
CO
SE
TR
EVENTS (C2101)
CERCLIS RP-Lead
Event Generated
By This Remedy?
No
No
No
No
No
No
No
No
No
No
Yes
No
No
No
NO
No
No
No
No
No
No
Yes
Yes
Yes
No
Yes
Yes
Yes
Yes
No
Yes
Yes
Yes
Yes
Yes
No
Yes
CERCLIS
Event
Code
-
-
-
-
-
m
-
_
.
TR
.
-
-
-
-
-
-
- -
-
-
ER
FS
IM
-
LR
OM
OH
RE
-
RD
RA
RI
RV
CO
-
TR
C-3
-------
APPENDIX C
CERCLIS CROSSWALK FOR
ENFORCEMENT ACTIVITIES AND REMEDIES
ENFORCEMENT
ACTIVITIES C170I
CERCLI
Activity
Code
4 Order Activities (Com )
Unilateral UA
Administrative
Order
5 RP Search/Other
Activities
Non-NPL Removal RP RP
Search
NPL RP Search NS
Issue Cost Recovery DD
Decision Document
REMEDIES (Sought or Achieved
b Enforcement Activities C2731
EVENTS (C2101)
. Same as AO on Consent
- N/A
- N/A
- N/A
CERCLIS CERCLIS RP-Le»d
Remedy Event Generated
Code By This Remedy?
Same as AO on
Consent
CERCLIS
Event
Code
No
No
No
Issue Demand Letter
Issue Information
Request Letter
Issue Notice of
Section 122 Waiver
DL - Cost Recovery Oversight
- Cost Recovery of RA
Cost Recovery of RD
- Cost Recovery of Removal
- Cost Recovery of RI/FS
IL - N/A
NW - N/A
VS
VA
VD
VM
VD
No
No
No
No
No
No
No
Issue Special Notice SN - N/A
Prepare Cost PC - N/A
Documentation Package
No
No
6 Settlement Activities
Administrative/
Voluntary Cost Rec
AV
Cost Recovery Oversight
Cost Recovery of RA
Cost Recovery of RD
Cost Recovery of Removal
Cost Recovery of RI/FS
VS
VA
VD
VM
VD
No
No
No
No
No
C-4
-------
APPENDIX C
CERCLIS CROSSWALK FOR
ENFORCEMENT ACTIVITIES AND REMEDIES
ENFORCEMENT
ACTIVITIES (C1701)
1 Settlement Activities
(Cent }
Consent Decree
Consent Agreement
Federal Compliance
Agreement
Federal Interagency
Agreement
Federal Memorandum of
Agreement
Federal Memorandum of
Understanding
Judgement
CERCLIS
Activity
Code
CD
CA
FC
FI
FA
FU
JO
REMEDIES (Sought or Achieved
by Enforcement Activities) (C2731)
- Cost Recovery Oversight
- Cost Recovery of RA
- Cost Recovery of RD
- Cost Recovery of Removal
- Cost Recovery of RI/FS
- Document Exchange
- Expedited Response Action
- Feasibility Study
- Initial Remedial Measure
(historical only)
Interest
- Lien on Property
Long Term Response
- Operations & Maintenance
- Other
- Permanent Relocation
- Premium
- Remedial Design
- Remedial Action
- Remedial Investigation
- Removal Action
- RI/FS
- Site Access
- Temporary Relocation
Same as Consent Decree,
except no Lien on Property
Same as Consent Decree,
except no Lien on Property
Same as Consent Decree.
except no Lien on Property
Same as Consent Decree,
except no Lien on Property
Same as Consent Decree.
except no Lien on Property
Same as Consent Decree.
except no Lien on Property
CERCLIS
Remedy
Code
VS
VA
VD
VM
VD
DE
ER
FS
IM
IN
LP
LR
OM
OH
RE
PR
RD
RA
RI
RV
CO
SE
TR
EVENTS (C2101)
CERCLIS RP-Lead
Event Generated
By This Remedy?
No
No
No
No
No
No
Yes
Yes
Yes
No
No
Yes
Yes
Yes
Yes
No
Yes
Yes
Yes
Yes
Yes
No
Yes
Same as Consent
Decree
Same as Consent
Decree
Same as Consent
Decree
Same as Consent
Decree
Same as Consent
Decree
Same as Consent
Decree
CERCLIS
Event
Code
-
-
-
-
-
-
ER
FS
IM
-
-
LR
OM
CH
RE
-
RD
RA
RI
RV
CO
-
TR
c-s
-------
-------
OSWER Directive 9200 3-01B
APPENDIX D
SCAP/SPMS TECHNICAL DEFINITIONS
-------
OSWER Directive 9200 3-01B
Section I
SCAP/SPMS DEFINITIONS FOR TARGETS AND MEASURES
The definitions contained in this Appendix are those that were available at the tune the
Manual went to the printer
Every effort has been made to ensure that the definitions
contained herein for SCAP and SPMS targets and measures were
consistent. If there are inconsistencies, the SPMS definition is the
official definition If SPMS definitions are revised during the year, an addendum to the
SGAP Manual will be published
D-2
-------
OSWER Directive 9200 3-OIB
APPENDIX D
SCAP/SPMS TECHNICAL DEFINITIONS
TABLE OF CONTENTS
PRE-REMEDIAL PROGRAM DEFINITIONS . ... 5
INTRODUCTION. 5
*PA Completions . 5
*SSI Completions 6
*LSI Starts ... .6
PRE-REMEDIAL PROGRAM DEFINITIONS CHART .... 7
REMEDIAL PROGRAM DEFINITIONS 8
INTRODUCTION . 8
PROJECT SUPPORT 44
Community Relations . 44
Design Assistance ... . 44
Forward Planning 45
Long Term Response (LTR) 45
Management Assistance . 46
Operation and Maintenance (O&M) 46
Technical Assistance . 47
Technical Assistance Grants ... 47
REMEDIAL INVESTIGATION/FEASIBILITY STUDIES (RI/FS) ... .8
*RI/FS Start - First and Subsequent 8
*R1/FS to Public. 9
*RI/FS Completion -- First, Subsequent, and Final .... . .. 10
RI/FS PROGRAM DEFINITIONS CHART 11
REMEDIAL DESIGN (RD). 12
*RD Starts -- First, Subsequent, and Final 12
*RD Completions 13
REMEDIAL DESIGN PROGRAM DEFINITIONS CHART 14
REMEDIAL ACTION (RA) 15
*RA Start -- First, Subsequent, and Final 15
*RA Starts Post-SARA at NPL Sues 16
*RA Completion-First, Subsequent and Final 16
*NPL Deletion Imoaoon . ... . . 17
REMEDIAL ACTION PROGRAM DEFINITIONS CHART 18
REMOVAL PROGRAM DEFINITIONS ... . 19
INTRODUCTION 19
HAZARDOUS SUBSTANCES RELEASE 49
Hazardous Substances Release Notification . . 49
Hazardous Substances Release Investigations .... .49
On-Scene Monitoring of Responses to Hazardous Substance
Releases .... ... 49
NPL SITES 19
Expedited Response Action (ERA) . 48
*Removal Starts at NPL Sites -- First and Subsequent 20
*Removal Completions at NPL Sites . . 21
* Targets and Measures D-3
-------
OSWER Directive 9200 3-01B
"Removal Completions at NPL Sites that lead to Deletion 21
NPL REMOVAL PROGRAM DEFINITIONS CHART 22
NON-NPLSITES 23
*Non-NPL Removal Starts 23
*Non-NPL Removal Completions 23
NON-NPL REMOVAL PROGRAM DEFINITIONS CHART 24
ENFORCEMENT DEFINITIONS 25
INTRODUCTION . .. . 25
PRP SEARCHES AND NEGOTIATIONS 25
*Start of PRP Search 25
*Completed PRP Search 26
*Stait of RI/FS Negotiations 26
^Conclusion of RI/FS Negotiations 27
*Start of RD/RA Negotiations 27
*Conclusion of RD/RA Negotiations 28
ENFORCEMENT SEARCHES AND NEGOTIATIONS PROGRAM
SEARCHES AND NEGOTIATIONS DEFINITIONS CHART 29
SETTLEMENTS AND REFERRALS 30
*Section 106 Case Resolution 30
*Section 107 Cost Recovery Judicial Settlement 30
*Sectipn 106 RD/RA Referrals/Orders 31
*Admimstrative Cost Recovery Settlements 31
*Cost Recovery Cases Referred to DOJ or HQ (>$200K) 32
*Administrative Order for Removal Actions 33
ENFORCEMENT SETTLEMENTS AND REFERRALS PROGRAM
SETTLEMENTS AND REFERRALS DEFINITIONS CHART 34
FEDERAL FACILITY DEFINITIONS 36
INTRODUCTION 36
PRE-REMEDIAL 36
*PA Completions . 36
*SI Completions 36
REMEDIAL 37
RI/FS Starts 51
*Federal Facility RI/FS Completion . 37
RD Starts 51
RD Completion 51
RA Starts 52
RA Completion 52
*RA Starts Post-SARA at NPL Sites 37
ENFORCEMENT 38
*Signed Interagency Agreements at NPL Sites 38
FEDERAL FACILITY PROGRAM DEFINITIONS CHART 39
OIL SPILL ACTIVITY DEFINITIONS 40
INTRODUCTION 40
*Oil Spills Cleaned up Using Clean Water Act (CWA) Funds 40
*On-Scene Monitoring of Responses to Oil Spills 40
*Spill Prevention Control and Countermeasure (SPCQ
"Inspections/Reviews 41
OIL SPILL ACTIVITY PROGRAM DEFINITIONS CHART 42
* Targets and Measures D-4
-------
OSWER Directive 9200 3-01B
SCAP/SPMS DEFINITIONS FOR TARGETS AND MEASURES
PRE-REMEDIAL PROGRAM DEFINITIONS
INTRODUCTION
The pre-remedial targets/measures track the initial events at Superfund sites. Three
pre-remedial events are projected and tracked through the SCAP process:
Preliminary Assessment (PA) Completions;
* Screening Site Inspection (SSI) Completions, and
* Listing Site Inspection (LSI) Starts
PA and SSI completions are SPMS and SCAP targets. LSI starts are SCAP targets
only; no corresponding SPMS target or measure is set PA and SSI completion targets are
set on a quarterly basis. LSI starts are established on an annual basis Targets for all pre-
remedial activities are recorded in the CERHELP non-site/incident data system Funds for
pre-remedial activities are included in the other remedial AOA
ACTIVITY PA Completions
DEFINITION: A preliminary assessment is the first stage of site assessment which
determines whether a site should be recommended for further CERCLA action.
Federal, State, and local government files, geological and hydrological data, and
data concerning site practices are reviewed to complete the PA report
DEFINITION OF ACCOMPLISHMENT A PA is complete when the report is
reviewed and approved by the region and the PA completion date and decision on
further activities is entered into CERCLIS Although a site can have multiple PAs,
only the first completed PA with an'S' or 'F lead counts toward the target
CHANGES IN DEFINITION FY88-FY89 In order for the region to receive credit
for the completion, the date and the decision on further activities must be entered in
CERCLIS.
SPECIAL PLANNING REQUIREMENTS Commitments are made based on the
sum of the EPA/FIT and State conducted PAs. However, for budget and resource
allocations, separate projections must be made for EPA/FIT vs State PA
completions. Separate commitments are also made for sites which are being
assessed under CERCLA as part of the Environmental Priorities Initiative.
Commitments are placed in the Targets and Accomplishments portion of the
CERHELP non-site data system. Accomplishments are reported in the site-specific
CERCLIS data system.
D-5
-------
OSWER Directive 9200 3-01B
PRE-REMEDIAL PROGRAM DEFINITIONS
ACTIVITY: SSI Completions
The screening site inspection involves collection of field data from a
hazardous substance site for the purpose of characterizing the magnitude and
severity of the hazard posed by the site and/or to support enforcement An SSI
should provide adequate data to determine the site's Hazard Ranking System (MRS)
score
DEFINITION OF ACCOMPLISHMENT: An SSI is complete when the SSI is
reviewed and approved by the region and the SSI completion date and decision on
further activities is entered into CERCLIS. Although a site can have multiple SSIs,
only the first completed SSI with an 'S' or 'F lead counts toward the target.
CHANGES IN DEFINITION FY88-FY89: In order for the region to receive credit
for the completion, the date and the decision on further activities must be entered in
CERCLIS.
SPECIAL PLANNING REQUIREMENTS: Commitments are made based on the
sum of the EPA/FIT and State conducted SSIs. However, for budget and resource
allocations, separate projections must be made for EPA/FIT vs State SSI
completions. Separate commitments are made for sites that are being investigated
under CERCLA under the Environmental Priorities Initiative Commitments are
placed in the Targets and Accomplishments portion of the CERHELP non-site data
system. Accomplishments are reported in the site-specific CERCLIS data system.
ACTIVITY- LSI Starts
DEFINITION' Listing site inspections involve the collection and analysis of
additional site data including information pertinent to hazardous waste resources,
migration pathways, and receptors The data collected is generally beyond that
required for HRS scoring and will expedite the remedial investigation/feasibility
study (RI/FS) project planning phase at NPL sues. The LSI starts are dependent
upon the date the new HRS is final.
DEFINITION OF ACCOMPLISHMENT An LSI start is credited when EPA
approves the workplan for the LSI.
CHANGES IK DEFINITION FY88-FY89- LSIs are SCAP measures for FY89.
SPECIAL PLANNING REQUIREMENTS: Planned obligations must be
associated with those candidate sites where state conducted LSIs are expected.
Commitments are placed in the Targets and Accomplishments portion of the
CERHELP non-site data system. Accomplishments are reported in the site-specific
CERCLIS data system.
D-6
-------
OSWER Directive 92003-01B
PRE-REMEDIAL PROGRAM DEFINITIONS
PLANNING REQUIREMENTS
SPMS COMMITMENT'
SCAP COMMITMENT?
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET?
QUARTERLY TARGETS/MEASURES
SET?
PRIOR
TOFY
PRIOR
TOFY
IF YES, WHEN?
PLANNED SITE SPECIFICALLY'
PRIOR
TOFY
IF YES, WHEN'
WHOLE
SITE
WHOLE
SITE
WHOLE
SITE
PLANNED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS'
SITE-
SPECIFIC
SITE-
SPECIFIC
SITE-
SPECIFIC
OTHER
REMEDIAL
OTHER
REMEDIAL
OTHER
REMEDIAL
AOA CATEGORY?
NON-SITE
PLANS
NON-SITE
PLANS
SITE SPEC
PLANS
BASIS FOR AOA?
D-7
-------
OSWER Djrecttve 92003-01B
REMEDIAL PROGRAM DEFINITIONS
INTRODUCTION
The remedial program consists of on-site remedial activities beginning with the first
RI/FS and proceeding through RD/RA to eventual deletion of the site from die NPL. All
remedial activities are planned site specifically with quarterly and annual targets set pnor to
the beginning of the fiscal year. Remedial activities at sites are program or PRP.
REMEDIAL INVESTIGATION/FEASIBILITY STUDIES fRI/FS I
Following are the six SCAP and SPMS activities tracked for RI/FS.
First RI/FS Starts
Subsequent RI/FS Starts,
RI/FS to Public;
First RI/FS Completion (ROD),
Subsequent RI/FS Completion (ROD), and
Final RI/FS Completion (ROD).
First and subsequent RI/FS starts and first and final RI/FS completions (RODs) are
SPMS and SCAP targets. RI/FS to public and subsequent RODs are SCAP targets. All
commitments are made on a combined Fund and PRP financed basis. Separate Fund-
financed and PRP goals for RI/FS starts are set pnor to the FY and there is a limit on the
number of Fund-financed RI/FS starts dunng the FY The commitment for RI/FS
completion is also based on combined leads All RI/FS activities are planned on a site-
specific basis and entered into CERCLIS. Funds for RI/FS projects are in the other
remedial AOA.
Although regions may change activity leads without affecting SCAP or SPMS
targets, care should be taken when substituting a program lead RI/FS for a PRP lead
project.
For the definitions below, first and subsequent RI/FS starts have been combined,
as have first, subsequent, and final RI/FS completion.
X
ACTIVITY: RI/FS Start First and Subsequent
DEFINITION The intent of an RI/FS is to present carefully scoped solutions to a
contamination problem. An RI/FS start involves the development of plans for
sampling, operations, quality assurance, health and safety, and community
relations. In order for the RI/FS to be counted as a first start it must not have a
prior CERCLA settlement for an RI/FS or pnor Fund obligation for RI, FS, or
RI/FS. Forward planning, community relations and/or other support activities do
not constitute an RI/FS start
D-8
-------
OSWER Directive 92003-01B
REMEDIAL PROGRAM DEFINITIONS
DEFINITION OF ACCOMPLISHMENT:
Fund-financed (Including F, S, SE, and EP lead events.) A Fund RI/FS start is
counted when funds are obligated. Funds are obligated when: 1) A contract has
been signed by the contracting officer, an Interagency Agreement has been signed
by the other Federal Agency, or a cooperative agreement has been signed by the
Regional Administrator or his designee to conduct an RI/FS, and 2) Obligations
have been recorded in CERCLIS
PRP-financed (Including RP and PS lead events) A PRP-lead RI/FS counts when
1) An administrative order is signed by the last appropriate official or party or 2)
The date the consent decree for RI/FS is referred by the region to DOJ or HQ. If
the RI/FS is a PS lead, credit will be given on the day the State order is signed by
die last appropriate official or party The appropriate dates must be entered into
CERCLIS.
EP-lead An EP-lead RI/FS counts when the region begins preparation of the
workplans following the initial scoping meeting
CHANGES IN DEFINITION FY88-FY89 Sites with SE, EP, or PS lead events
have been added.
SPECIAL PLANNING REQUIREMENTS Commitments are made based on
combined Fund and PRP financed RI/FS starts Fund-financed and PRP lead
RI/FS start goals will be established separately pnor to the FY. A limit will be
placed on the number of Fund-financed RI/FS that can be started during the FY.
Targets are established site specifically For first RI/FS starts, "to be determined"
sites are allowed
ACTIVITY: RI/FS to Public
DEFINITION: The RI/FS is released to the public when the contamination at the
site has been characterized and alternatives for remediation have been evaluated.
DEFINITION OF ACCOMPLISHMENT: An RI/FS is complete the date the public
comment period on the RI/FS report begins and the proposed plan is available to the
public. This date must be recorded in CERCLIS under subevent code "CF"
CHANGES IN DEFINITIONS FY88-FY89* This is a new activity for FY89
SPECIAL PLANNING REQUIREMENTS Commitments are made based on
first, subsequent and final RI/FS released to the public regardless of lead.
D-9
-------
OSWER Directive 92003-01B
REMEDIAL PROGRAM DEFINITIONS
ACTIVITY: RI/FS Completion -- First. Subsequent, and Final
DEFINITION: A RI/FS completion is defined as the signature of the Record of
Decision (ROD) A ROD is the document prepared after completion of the public
comment penod on the RI/FS which identifies the Agency's selected remedy for a
site.
DEFINITION OF ACCOMPLISHMENT: The date the ROD is signed by the
Regional Administrator or the Assistant Administrator for OSWER is the
completion date. This date must be entered in CERCLIS
CHANGES IN DEFINITION FY88-FY89: Final RI/FS completion is a new
activity for FY89
SPECIAL PLANNING REQUIREMENTS' Commitments are made based on
PODs that result from F, S, SE, FE, RP, or PS lead RI/FS
D-10
-------
OSWER Directive 92003-01B
REMEDIAL PROGRAM DEFINITIONS
Remedial Investigation/Feasibility Studies
WANNINf BFniHB*MFNT
-------
OSWER Directive 92003-01B
REMEDIAL DESIGN (RD)
RD activities have planning requirements that are similar to Rl/FS requirements.
Four separate SCAP and SPMS activities are tracked:
First RD Start;
Subsequent RD Start;
* Final RD Start; and
RD Completion
First and final RD starts are SCAP and SPMS targets. Subsequent RD starts is a
SCAP target. These three definitions have been combined below RD completion is a
SCAP measure. All commitments are made on a combined Fund and PRP financed basis.
Separate Fund and PRP goals for RD starts are established pnor to the FY. Like the RI/FS
starts there is a limit on the number of Fund-financed RDs that can be started during the
FY. Projections for RD completions are set prior to the FY and are used for resource
allocation only. RD completion projections are made on a combined first, subsequent, final
and all lead basis. RDs are planned on a site-specific basis and entered into CERCLIS.
Initial schedules for RD are established when the RI/FS for the site is initiated
These initial schedules should be updated in CERCLIS as better planning data becomes
available. The funds for program lead RDs are pulled directly from CERCLIS and are
allocated site-specifically in the RD Advice of Allowance
ACnVITY RD Starts -- First. Subsequent, and Final
DEFINITION: An RD is the process of developing plans and specifications for the
selected remedy. Design assistance or technical assistance do not constitute an RD
start. Under certain circumstances, RD-type activities may be conducted using
RI/FS funds or pnor to the signature of a ROD (i e., treatability or pilot studies), an
RD may be prepared by other parties (i e, water lines where the city already
prepared plans and specifications), or the plans developed for one site may be used
at a similar site. Subsequent and final RD starts occur at NPL sites where previous
RD activity has already taken place.
DEFINITION OF ACCOMPLISHMENT
Fund-financed (Includes F, S,SE and EP lead events.) The date of the RD
obligation is considered the definition of accomplishment An obligation is made
when the contracting officer signs the procurement request, a cooperative agreement
is signed by die Regional Administrator or his designee or an IAG is signed by the
other Federal Agency. In those instances where RI/FS funds are used to perform
RD activities, or RD activities are conducted pnor to ROD signature, the start of RD
is defined as the approval of the workplan to conduct these activities. When an RD
already exists that can be used for the site, the RD start is defined the same as the
RA start.
D-12
-------
OSWER Directive 92003 01B
REMEDIAL PROGRAM DEFINITIONS
PRP-financed (Includes MR, RP, and PS lead events) The date the RD contract is
awarded by the PRPs for RD or RD/RA work or, for PS lead events, the date the
state order for RD is signed or the date the state gives the PRPs notice to proceed
with RD. The appropriate award date must be entered m CERCLIS. If PRPs are
doing the work "in-house", the start date would be notice to proceed Mixed
funding projects (MR lead) are to be treated as PRP lead.
CHANGES IN DEFINrnoN FY88-FY89- The definition for PRP-financed RD
has changed from the date the consent decree was lodged. Sites with MR or PS
lead events have been added Final RD starts is a new activity for FY89. The
concepts of RD activities dunng Rl/FS and shared or using existing RDs were
added to the definition.
SPECIAL PLANNING REQUIREMENTS. Commitments are made based on
combined Fund and PRP financed RD starts. Separate Fund and PRP financed RD
start goals will be established pnor to the FY A limit will be placed on the number
of Fund-financed RDs that can be started dunng the FY.
ACTIVITY: RD Completions
DEFiNmQN: An RD is complete when the plans and specifications and a RA bid
package for the selected remedy are developed
DEFINrnQN OF ACCOMPLISHMENT
Fund-financed For program lead RD projects, an RD completion is the date that
EPA concurs on or approves and accepts the plans, specifications and RA bid
package.
PRP-financed An RD is complete on the date that EPA concurs on or approves and
accepts the plans, specifications and RA bid package. For PS lead RDs, the RD is
complete when the state concurs on or approves and accepts the plans,
specifications and RA bid package.
For Fund and PRP financed RDs, the state should concur on the design pnor to
EPA concurrence or approval
CHANGES IN DEFINITION FY88-FY89
SPECIAL PLANNING REQUIREMENTS- Commitments are made based on
combined Fund and PRP financed first, subsequent and final RD completions.
D-13
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OSWER Directive 9200 3-OlB
REMEDIAL PROGRAM DEFINITIONS
Remedial Design
FIRST RD SUB. RD FINAL RO
START START START
PLANNING REQUIREMENTS
SPMS COMMITMENT*
SCAP COMMITMENT?
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET>
QUARTERLY TARGETS/MEASURES
SET>
PRIOR
TOFY
PRIOR
TOFY
PRIOR
TOFY
PRIOR
TOFY
IF YES, WHEN'
PLANNED SITE SPECIFICALLY'
PRIOR
TOFY
PRIOR
TOFY
PRIOR
TOFY
PRIOR
TOFY
IF YES, WHEN'
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
PLANNED ON OPERABLE UNIT
OR WHOLE SITE BASIS'
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS'
COMBINED'
COMBINED*
COMBINED"
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS'
SITE-
SPECIFIC
SITE-
SPECIFIC
SITE-
SPECIFIC
SITE-
SPECIFIC
REMEDIAL
DESIGN
REMEDIAL
DESIGN
REMEDIAL
DESIGN
AOA CATEGORY?
SITE SPEC
PLANS
SITE SPEC
PLANS
SITE SPEC.
PLANS
BASIS FOR AOA?
* GOALS ARE ESTABLISHED ON A PROGRAM SPECIFIC BASIS SITES WHERE THE FIRST RD
START IS ALSO A FINAL RD START OR A SUBSEQUENT RD START IS ALSO A FINAL RD
START SHOULD BE REPORTED AS BOTH
D-14
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OSWER Directive 92003-Q1B
REMEDIAL ACTION
Regions must respond to the SCAP/SPMS targets by identifying RA projects on a
site-specific bash and associating planned obligations with these sites. Following are the
seven SCAP and SPMS activities tracked for RA:
First RA Start;
Subsequent RA Start;
Final RA start;
NPL Sites with RA Stan Post-SARA;
RA Completions;
Final RA Completion; and
NPL Deletion Initiation.
RAs are planned site-specifically and reported m CERCLIS Funds are allocated
site specifically in the RA AOA Program specific commitments are made for RA starts.
Post-SARA RA starts, RA completions and deletions are targeted on a combined program
basis. RA completion, except final RA completion, is a SCAP measure and is used for
resource allocation purposes only
In the definitions below, first, subsequent and final RA starts have been combined,
as have RA and final RA completion
ACTIVITY- RA Start -First. Subsequent, and Final
DEFINITION. A remedial action start is the initiation of construction activities of
the selected remedy. A final RA start is the initiation of construction activities for
the selected remedy at the final operable unit
DEFINITION QF ACCOMPLISHMENT
Fund-financed (F or S lead events) Credit for an RA start is given on the date a
contract, IAG or cooperative agreement is awarded and funds are obligated.
PRP-financed Credit for the RA start is given when EPA approves the RD design
package. This includes sites where RD/RA activities were conducted under a
unilateral Administrative Order, Consent Decree, 106 Judicial referral or State order
(for PS lead sites). If the RD was performed by the State or Fund and the PRP
settles or complies with a unilateral Order for Remedial Action, the date that the
Consent Decree is referred to HQ or DOJ or the unilateral AO issued for RA only
constitutes an RA start The appropriate date must be included in CERCLIS
CHANGES IN DEFINITION FY88-FY89 The situations where the RD was
performed by the fund or a unilateral AO issued were added to the definition
SPECIAL PLANNING REQUIREMENTS Separate commitments are made for
program vs. PRP-lead RAs. A limit will be placed on the number of Fund-financed
RAs that can be started during the F In the case of a PRP takeover at a targeted
site, a corresponding PRP target increase and Fund target decrease will occur
automatically
D-15
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OSWER Directive 92003-01B
REMEDIAL PROGRAM DEFINITIONS
ACTIVITY: RA Starts Post-SARA at NPL Sites
DEFINITION: A post-SARA RA start is defined as the initiation of on-site
construction activities after October 16,1986.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed Sites where the EPA, State, USAGE or BUREC has awarded a
contract - as recorded in CERCLIS -- to initiate Fund-financed construction
activities.
PRP-financed Sites, as recorded in CERCLIS, where the PRPs have awarded a
contract for RA work. In the event that the PRPs are responding under a State
order or issued a contract for both RD and RA or are performing the work "in-
house", the start date is the RA notice to proceed which is equivalent to an EPA
contract award.
CHANGES IN DEFINITION FY88-FY89- New activity for FY89
SPECIAL PLANNING REQUIREMENTS Commitments are made based on
combined Fund and PRP financed actions.
ACTIVITY. RA Completion First. Subsequent and Final
DEFINITION A first and subsequent RA is complete when construction activities
are complete, a final inspection has been conducted and an Operable Unit RA
Report has been prepared for the operable unit. A final RA indicates that all
construction for all operable units has been completed, and a final construction
inspection for the site has been conducted. For the final RA, a Superfund Site
Close-Out Report must be prepared which summarizes the site condition and
construction activities and demonstrates the NCP criteria for deletion has been met
or that the only activity remaining is performance monitoring (long term response).
DEFINITION OF ACCOMPLISHMENT The date the Regional Administrator
signs an Operable Unit RA Report is the accomplishment of the RA completion; a
Site Close-Out Report for the final operable unit is required for the final RA
completion. The date the interim or final Superfund Close-Out Report is singed is
considered the date of the fianl completion. The appropriate dates must be recorded
in CERCLIS. .
CHANGES IN DEFINITION FY88-FY89. In FY89 the concepts of an Operable
Unit RA Report and a Site Close-Out Report have been added to the definition of
accomplishment The criteria for completion m FY89 is either the NCP deletion
criteria or the only activity remaining is performance monitoring (long term
response).
SPECIAL PLANNING REQUIREMENTS: Projections are made on a combined
program basis First and subsequent RA completions are combined and included in
this measure for resource allocation purposes.
D-16
-------
OSWER Directive 92003-018
REMEDIAL PEOGEAM DEFINITIONS
ACTIVITY: NFL Deletion Initiation
DfiMiMiTlQNi The deletion process is initiated when performance monitoring of
die completed remedy or remedies for the site has verified the integrity of the action
and it has been determined that no further remedial action is required at the site.
DEMNIilQN OF ACCOMPLISHMENT: The deletion process is credited when a
notice of intent to delete the site is published in the Federal Register.
CHANGES IN DEFINITION PY88-FY89: The target is accomplished when the
notice is placed in the Federal Register.
SPECIAL PLANNING REQUIREMENTS: Projections are made on a program
specific basis for resource allocation purposes.
D-17
-------
OSWER Directive 92003-01B
REMEDIAL PROGRAM DEFINITIONS
Remedial Action
FIRST RA SUB. RA FINAL RA POST SARA RA FINAL RA NPL DEL.
PLANNING REQUIREMENTS START» START* START* START COMPL.* COMPL,* PROC. INIT
SPMS COMMITMENT?
SCAP COMMITMENT?
TARGET OR .MEASURE?
ANNUAL TARGETS/MEASURES SEP
QUARTERLY TARGETS/MEASURES
SET*
IF YES, WHEN?
PLANNED SITE SPECIFICALLY'
IF YES, WHEN?
PLANNED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCL1S?
f.
AOA CATEGORY?
BASIS FOR AOA?
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
PROGRAM
SPECIFIC
SITE-
SPECIFIC
RA
SITE SPEC
PLANS
NO
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
PROGRAM
SPECIFIC
SITE-
SPECIFIC
RA
SITE SPEC
PLANS
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
PROGRAM
SPECIFIC
SITE-
SPECIFIC
RA
SITE SPEC
PLANS
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
COMBINED
SHE-
SPECIFIC
N/A
N/A
NO
YES
MEASURE
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNTT
COMBINED
SITE-
SPECIFIC
N/A
N/A
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
COMBINED
SITE-
SPECIFIC
N/A
N/A
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
WHOLE SHE
COMBINED**
SITE-
SPECIFIC
N/A
N/A
SFTESWHEMTHEFDOTITRSTRA IS AI^ THE FI>WLRA OR WHERE TTO SUBSEQUENT RA
BALSOraEFI>MLRASHOUU)BETARGErBDAM)REPORTCDASB01H.
" PROJECTIONS ARE MADE ON A PROGRAM
SPECIFIC BASIS PRIOR TO THE FY
D-18
-------
OSWER Directive 9200 3-01B
REMOVAL PROGRAM DEFINITIONS
INTRODUCTION
Requirements for the'removal program differ from the remedial program due to the
nature of removal activities. The removal program responds to emergency, time-critical
and non-time-critical situations at NPL and non-NPL sues Since so much of the removal
work cannot be anticipated in advance, the planning horizon of these activities is
significantly shorter than for remedial activities Thus, quarterly commitments are not
required. All SCAP/SPMS targets, however, are established on an annual basis. Targets
are planned site-specifically poor to the quarter the removal is projected to begin Sue
specific removal funding needs are requested in CERCLIS and a removal contingency is
requested in CERHELP the quarter pnor to the expected obligation date. The annual
removal commitments are placed in the Targets and Accomplishments portion of the
CERHELP non-site data system. The removal program definitions have been divided into
NPL and non-NPL sites. Credit will be given for NPL or non-NPL activities depending
on the NPL status recorded in CERCLIS on the date accomplishment reports are pulled
NPL SITES
There are four NPL site removal activities tracked in SCAP and SPMS'
First NPL Removal Starts;
Subsequent NPL Removal Starts,
Removal Completions at NPL Sites; and
Removal Completions at NPL Sues that Lead to Deletion.
First and subsequent NPL removal starts are SPMS targets. Removal completions
at NPL sites is a SPMS reporting measure and a SCAP target and removal completions that
lead to deletion are SPMS reporting measures.
First and subsequent NPL removal start definitions have been combined.
D-19
-------
OSWER Directive 92003-01B
REMOVAL PROGRAM DEFINITIONS
ACTIVITY: Removal Starts at NPL Sites First and Subsequent
DEFINITION! A removal is a response action taken to prevent or mitigate a threat
to public health, welfare or the environment posed by the release or potential release
of a CERCLA hazardous substance, or an imminent or substantial nskposed by a
pollutant or contaminant. The site must be on the proposed or final NFL prior to or
at any time during die conduct of the removal action in order for the region to
receive credit for a NPL start In addition, for the first removal starts, no prior
removal activity under the direction of EPA or through an Administrative Order,
Consent Decree or judgement was conducted.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed A Fund removal counts when 1) The action memo has been
approved by the OSC, RA or AA, 2) A contract has been signed for an EPA or
USCG on-site removal; 3) An obligation for the removal has been recorded in FMS
and CERCLIS or when the OSC activates $50K; and 4) On-site removal work has
begun.
PRP-financed A PRP removal counts when there is on-site removal activity
financed by the PRP in compliance with an administrative order (unilateral or
consent) or judgement. The date the PRPs begin actual on-site work (as entered in
CERCLIS) is the start date. Credit will be withdrawn where a PRP is in substantial
noncompliance with an unilateral order.
CHANGES IN DEFINITION FY88.FY89: The NPL criteria has been changed.
Expedited Response Actions are pot included in the target. The PRP definition was
changed to focus on on-site work.
SPECIAL PLANNING REQUIREMENTS: Commitments are made site
specifically prior to the quarter the removal is expected to begin; "to be determined"
sites are allowed. Annual targets for removals are established in the Targets and
Accomplishments portion of CERHELP data base. Commitments are made based
on a combined Fund and PRP financed removals. Separate Fund and PRP
financed removal goals are established prior to the FY A limit will be placed on the
number of Fund financed removals that can be started during the FY. Regions may
only exceed this limit with HQ approval.
D-20
-------
OSWER Directive 9200 3-0IB
REMOVAL PROGRAM DEFINITIONS
ACTIVITY: Removal Completions at NPL Sites
DEFINrnQNi The definition for removal completion is when the conditions
specified in the Action Memorandum have been met even if the OSC determines that
additional response work may be necessary.
DEFINITION OF ACCOMPLISHMENT;
Fund-financed Completions are counted on the day the clean up contractors) has
demobilized and left the site.
PRP-financed Completions will count when the Region has certified, by entering a
date in CERCLIS, that the potentially responsible parties have completed a removal
action and fully met die terms of an Administrative Order, Consent Decree or
judgement
CHANGES IN DEFINITION FY88-FY89. First and subsequent NPL removal
completions are included in the target.
SPECIAL PLANNING REQUIREMENTS. Measures are reported based on
combined Fund and PRP-financed and first and subsequent NPL removal
completions. Projections on the number of NPL removal completions are placed in
the Targets and Accomplishments portion of the CERHELP non-site data system.
NPL removal completions is a SPMS reporting measure and a SCAP target.
ACTIVITY: Removal Completions at NPL Sites that lead to Delenofl
DEFINITION,: A site is ready for deletion when the conditions specified in the
Action Memorandum or Record of Decision have been met and no further remedial
or removal response actions are necessary
DEFINITION OF ACCOMPLISHMENT.
Fund-financed A site is completed and ready for deletion when the OSC
demobilizes the clean up contractor and conditions specified in die Action
Memorandum have been met Credit is given when a notice of intent to delete the
site is published in the Federal Register.
PRP-financed A site is completed and ready for deletion when the PRP has
completed the removal action under the terms of an Administrative Order (Unilateral
or Consent), Consent Decree or judgment, and the date has been entered into
CERCLIS. Credit is given when a notice of intent to delete the site is published in
the Federal Register.
CHANGES IN DEFINITION FY88-FY89: New measure for FY89.
SPECIAL PLANNING REQUIREMENTS: Measures are reported on combined
Fund and PRP lead removals that lead to deletions.
D-21
-------
OSWER Directive 92003-01B
REMOVAL PROGRAM DEFINITIONS
NPL Sites
FIRST NPL SUBS. NPL NFL REM.
REM. START REM. START COM?
REMOVAL
DELETION
PLANNING REQUIREMENTS
SPMS COMMITMENT?
SCAP COMMITMENT?
MEAS4SPMS)
TARGEITSCAP)
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET?
QUARTERLY TARGETS/MEASURES
SEP
PRIOR
TO QUART
PRIOR
TO QUART
PRIOR
TO QUART
PRIOR
TO QUART
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
PRIOR
TO QUART
PRIOR
TOQUART
PRIOR
TOQUART
PRIOR
TOQUART
IF YES, WHEN?
PLANNED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASS?
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS'
SITE-
SPECIFIC
SHE-
SPECIFIC
SITE-
SPECIFIC
SITE-
SPECIFIC
AOA CATEGORY?
SITE SPEC
PLANS &
SITE SPEC
PLANS
BASIS FOR AOA?
* TO BE DETERMINED" SITES ARE ALLOWED
** SEPARATE PROGRAM SPECIFIC COALS ARE ESTABLISHED PRIOR TO THE FY
A LIMIT IS PLACED ON THE NUMBER OF FUND-FINANCED NPL REMOVAL STARTS
D-22
-------
OSWER Directive 9200 3-01B
REMOVAL PROGRAM DEFINITIONS
NON-NPL SITES
There are two non-NPL removal activities tracked in SCAP. Each of these
activities are annual SCAP targets and planned site-specifically prior to the quarter.
They are reported on a combined program lead in the CERCLIS site-specific data
system.
Non-NPL Removal Start; and
Non-NPL Removal Completion.
ACTIVITY: Non-NPL Removal Starts
DEFINITION: A removal is a response action taken to prevent or mitigate a threat
to public health, welfare or the environment posed by the release or potential release
of a CERCLA hazardous substance, or an imminent or substantial nsk posed by a
pollutant or contaminant The site must not be on the NPL dunng the conduct of
the removal action in order to be included in the non-NPL target The non-NPL
stan commitment will be reduced if the site is proposed for the NPL dunng the
conduct of the removal action and the region does not have a site available for
substitution.
DEFINITION OF ACCOMPLISHMENT- Same as NPL removal starts
CHANGES IN DEFINITION FY88-FY89 The NPL/non-NPL criteria has been
revised The target includes first and subsequent non-NPL removal starts
SPECIAL PLANNING REQUIREMENTS' Same as NPL removal starts. First
and subsequent non-NPL removals are included in this target
ACTIVITY: Non-NPL Removal Completions
DEFINITION' Same as NPL removal completions
DEFINITION OF ACCOMPLISHMENT Same as NPL removal completion.
CHANGES IN DEFINITION FY88-FY89 First and subsequent non-NPL
removal completions are included in the target
SPECIAL PLANNING REQUIREMENTS Targets are established based on
combined Fund and PRP-financed and first and subsequent non-NPL removal
completions. Targets for non-NPL removal completions are placed in the Targets
and Accomplishments portion of the CERHELP non-site data base.
D-23
-------
OSWER Directive 9200 3-01B
REMOVAL PROGRAM DEFINITIONS
Non-NPL Sites
REM. REM. L
PLANNING REQUIREMENTS START COMP. |
SPMS COMMITMENT?
SCAP COMMITMENT?
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET?
QUARTERLY TARGETS/MEASURES
SET?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES, WHEN?
PLANNED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
AOA CATEGORY?
BASIS FOR AOA?
NO
YES
TARGET
YES
YES
PRIOR
TO QUART
YES*
PRIOR
TO QUART.
WHOLE
SITE
COMBINED**
SITE-
SPECIFIC
REMOVAL
SITE-SPEC
PLANS &
OOWTNOENCY
NO
YES I
TARGET 1
YES
YES 1
PRIOR 1
TO QUART |
YES 1
PRIOR I
TO QUART!
WHOLE
SITE
COMBINED!
SITE- I
SPECIFIC
N/A 1
_l
** SEPARATE PROGRAM SPECIFIC GOALS ARE ESTABLISHED PRIOR TO FY
AN ANNUAL UMTT IS PLACED ON THE NUMBER OP FUND-FINANCED
NON-NPL REMOVAL STARTS * "TO BE DETERMINED" SITES ARE ALLOWED.
D-24
-------
OSWER Directive 92003-01B
ENFORCEMENT DEFINITIONS
rNTRODUCTION
The planning requirements for enforcement response activities parallels those used
under the remedial and removal programs. These program requirements are discussed in
the previous sections. In addition, there are enforcement specific targets/measures.
Funding for the enforcement targets/measures are provided through the Case Budget.
Enforcement definitions have been divided into two categories: PRP Searches and
Negotiations, and Settlements and Referrals.
PRP SEARCHES AND NEGOTIATIONS
Following are die search and negotiation activities tracked in SCAP and SPMS:
Start of PRP Search at Non-NPL Sites;
Start of PRP Search at NPL Sites;
Completion of PRP Search at NPL Sites,
Completion of PRP Search at Non-NPL Sites;
Start of RI/FS Negotiations;
Conclusion of RwS Negotiations;
Start of RD/RA Negotiations; and
Conclusion of RD/RA Negotiations.
The definitions for start of PRP search at NPL and non-NPL sites and the
completion of PRP search at NPL and non-NPL sites have been combined.
AdTVTTY: PRP Search
DEFTNTnON: The purpose of the PRP search is to identify PRPs at either NPL or
non-NPL sites. At NPL sites it should be initiated with the listing of the site and it
should be completed in time to send general notice which should be approximately
two months before the special notice date and at least 90 days prior to the obligation
of funds for a RI/FS. At non-NPL sites it should be done prior to the start of the
removal action when possible or very soon after the initiation of the emergency
response.
DEFINITION OF ACCOMPI^jjgHMENJ- If the search is being conducted by a
contractor, die start date is considered to be the date the work assignment is
procured. If it is conducted by EPA, the start date is the day the EPA staff begins
the PRP search activities.
CHANGES IN DEFINITION FY88-FY8Q-! New activity for FY89.
SPECIAL PLANNING REQUIREMENTS! Non-NPL PRP searches are not
planned on a site-specific basis. Funds for non-NPL PRP searches are requested in
the CERHELP Non-Site/Incident data system. PRP searches should be planned for
all sites listed on the NPL and for all removals conducted during die fiscal year.
D-25
-------
OSWER Directive 9200 3-01B
ENFORCEMENT DEFINITIONS
ACTIVITY. Completed PRP Search
DEFINITION: A PRP search is the action taken by the region to identify the
responsible parties at a NPL or non-NPL site.
DEHNmON OF ACCOMPLISHMENT: The PRP search is complete when 1)
The region has gathered information required by the program guidance including
information on generators and necessary information on financial viability, and has
sufficient information to mail special notice letters (names and addresses of PRPs,
volume and nature of substances contributed by each PRP; volumetric ranking)
and, at NPL sites, the classification of the site has been determined or 2) If no
PRPs are found, and the date and the outcome of the search are entered into
CERCLIS
CHANGES IN DEFINITION FY88-FY89-
SPECIAL PLANNING REQUIREMENTS NPL PRP searches are planned on a
site specific basis, non-NPL searches should be planned site-specifically to the
maximum extent possible Projections on the number of NPL PRP searches to be
conducted during the year are placed in the Targets and Accomplishments portion of
the CERHELP non-site data base All targeted non-NPL removal starts should
have an associated projection for a non-NPL PRP search These projections should
be placed in the Targets and Accomplishments portion of the CERHELP non-site
data system. Funds for non-NPL PRP searches are requested in the CERHELP
data system.
ACnVITY. Start of RI/FS Negotiations
DEFINITION RI/FS negotiations are defined as discussions between EPA and the
PRPs on the possibility of a PRP-fmanced RI/FS If a special notice is given to the
PRPs under Section 122 of SARA, the PRPs have 60 days to submit a proposal for
the RI/FS to EPA If a good faith proposal is submitted, the PRPs have 30 days to
reach agreement on a settlement document
DEFINITION OF ACCOMPLISHMENT RI/FS negotiations are started when the
first special notice letter is issued or, m the absence of special nonce, the date of the
Section 122(a) letter or first face-to-face meeting with the PRPs. This date must be
recorded in CERCLIS.
CHANGES IN DEFINITION FY88-FY89 Issuance of the special notice letter
was added.
SPECIAL PLANNING REQUIREMENTS- If the region does not plan to perform
RI/FS negotiations at a site, negotiation dates should not be placed in CERCLIS.
Instead the phrase "no negotiations" should be placed in the comment field of the
RI/FS negotiation activity The start of RI/FS negotiations should be planned sue-
specifically.
D-26
-------
OSWER Directive 92003 01B
ENFORCEMENT DEFINITIONS
ACTIVITY. Conclusion of RI/FS Negotiations
DEFINITION' RI/FS1 negotiations are complete when the region makes a decision
on how to proceed with the RI/FS activities. If a special notice was issued,
negotiations are complete when the moratorium penod expires, or if an extension
has been granted, when the extension penod has run out
DEFINITION OF ACCOMPLISHMENT RI/FS negotiations are complete when
1) An Administrative Order for RI/FS is issued, 2) A signed consent decree for
RI/FS is referred by the region to HQ or DOJ, or 3) A decision is made to proceed
with a Fund-financed RI/FS as indicated by the obligation of RI/FS funds
CHANGES IN DEFINITION FY88-FY89 The definition has been revised such
that the completion date is when a decision is made on how to proceed with the
RI/FS
SPECIAL PLANNING REQUIREMENTS The activity is planned site-
specifically in CERCLIS
ACTIVITY. Start of RD/RA Negotiations
DEFINITION: RD/RA negotiations are defined as discussions between EPA and
the PRPs on the conduct of the design and construction of the selected remedy If
special notice is given to the PRPs under Section 122 of SARA, the PRPs have 60
days to submit a good faith proposal for RD/RA to EPA If a good faith proposal is
submitted, the PRPs have another 60 days to reach agreement on a settlement
document.
DEFINITION OF ACCOMPLISHMENT. RD/RA negotiations are initiated when
the first special notice letter is issued or in the absence of special nonce, the date of
the Section 122(a) letter or the first face-to-face meeting. This date must be
recorded in CERCLIS.
CHANGES IN DEFINmON FY88-FY89 Issuance of special notice was added
to the definition
SPECIAL PLANNING REQUIREMENTS: If the region does not plan to conduct
RD/RA negotiations, dates should not be entered into CERCLIS Instead the
phrase "no negotiations" should be placed in the comment field of CERCLIS for
RD/RA negotiations The start of RD/RA negotiations is planned site-specifically
D-27
-------
OSWER Directive 9200 3-0IB
ENFORCEMENT DEFINITIONS
ACTIVITY: Conclusion of RD/RA Negotiations
DEFINITION: RD/RA negotiations are complete when the region makes a decision
on how to proceed with RD/RA activities. If special notice has been issued RD/RA
negotiations are complete when the moratorium periods in SARA expire; or if
extensions have been granted, when the extensions have expired.
DEFINITION OF ACCOMPLISHMENT: RD/RA negotiations are complete when
1) The signed consent decree for RD/RA and 10 point analysis is referred by the
region to either DOJ or HQj 2) A section 106 judicial referral for RD/RA without
settlement is referred to DOJ or HQ; 3) An Administrative Order (unilateral) for RD
only is issued; or 4) A decision is made to proceed with RD as indicated by die
obligation of RD funds.
CHANGES IN DEFINinQN FY88-FY89: The definition for an accomplishment
is defined as the date the decision is made on how to proceed with RD/RA
activities.
SPECIAL PLANNING REQUIREMENTS' The activity is planned site-
specifically in CERCLIS.
D-28
-------
OSWER Directive 9200.3-0IB
ENFORCEMENT DEFINITIONS
Searches and Negotiations
PLANNING REQUIREMENTS
PRPt PRPtt COMP PRP COMP PRP ROTS NEC ROTS NEC RD/RA KEG CONC.
SEARCH SEARCH SEARCH t SEARCH ft START COMP. START RD/RA NEC
SPMS COMMITMENT?
SCAPCOMMriMENT?
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET?
QUARTERLY TARGETSMEASURES
SET?
PLANNED SHE SPECIFICALLY?
OPERABLE DPERAB
UNIT
PLANNED ON OPERABLE UNIT
OR WHOLE SFTE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-Sm PORTION OFCEROIS?
ENFORCE-
MENT*
ENFORCE-
MENT*
WFORCE-
MENT*
ENFORCE-
MENT*
AQA CATEGORY?
SITE-SPEC
PLANS
NON-STIE
PLANS
ITE-SPEC
PLANS
BASISPORAOA?
t NPL SITES
ft NON-NPL SITES
* THERE B NO AOA FOR WORK PERFORMED BY
TES30RTES4 FUNDSOBUGATEDBYHQ
D-29
-------
OSWER Directive 9200 3-01B
ENFORCEMENT DEFINITIONS
SETTLEMENTS AND REFERRALS
Following are the settlement and referral activities tracked in SCAP and SPMS for
enforcement:
Section 106 Case Resolution,
Section 107 Cost Recovery Judicial Settlement;
Section 106 RD/RA Referrals/Orders
Administration Cost Recovery Settlements;
Cost Recovery Cases Referred to DOJ or HQ (>$200K):
1) Section 107 Referral for Removals;
2) Section 107 Referral for Remedial Actions;
3) Section 106/107 Referral for Removals;
4) Section 106/107 Referrals for Remedial Actions, and
Administrative Order for Removal Actions
ACTIVITY: Section 106 Case Resolution
DEFINITION- The definition of § 106 case resolution is the conclusion of a §106
judicial action
DEFINITION OF ACCOMPLISHMENT Section 106 case resolution is credited
when a settlement is entered in the court fully addressing the complaint with all
parties, or the case is withdrawn or dismissed, or a trial has concluded and
judgment entered. The accomplishment date will be transferred by HQ into
CERCLIS from the OECM docket system
CHANGES IN DEFINITION FY88-FY89:
SPECIAL PLANNING REQUIREMENTS Commitments are established site-
specifically
ACTIVITY. Section 107 Cost Recovery Judicial Settlement
DEFINITION: The definition of § 107 cost recovery judicial settlement is the
conclusion of a § 107 action This includes* 1) litigation (upon entry of a
judgement), 2) settlement (upon referral of a Consent Decree by the region to HQ or
DOJ); 3) Administrative Orders (upon execution of last signature by EPA or the
PRP); 4) Administrative Settlements; 5) bankruptcy settlements (upon settlement),
and 6) recovery of oversight costs (upon billing)
DEFINITION OF ACCOMPLISHMENT Section 107 cost recovery judicial
settlement is credited when the date of the settlement and the amount is entered into
CERCLIS
D-30
-------
OSWER Directive 92003-0IB
ENFORCEMENT DEFINITIONS
CHANGES IN DEFINITION FY88-FY89- The definition has been expanded to
include all cost recovery settlements whether they are accomplished as a result of
litigation or through administrative settlements The dollars recovered are reported
in SPMS.
SPECIAL PLANNING REQUIREMENTS Commitments are established site-
specifically. The section 107 cost recovery judicial settlement sites are a SCAP
target. The dollars recovered are a SPMS reporting measure.
ACTIVITY. Section 106 RD/RA Referrals/Orders
DEFINITION: The definition of section 106 RD/RA Referrals/Orders are the
enforcement actions taken to compel the PRPs to assume responsibility for RD
and/or RA. Referrals seeking preliminary relief or penalties do not count toward
this target.
1) Section 106 or Section 106/107 Referrals without Settlement: This measure
includes all §106 or §106/§ 107 referrals without settlement to HQ or DOJ seeking
injunctive relief. Credit will be based on the referral date recorded in CERCLIS.
This is a targeted activity
2) Section 106 or Section 106/107 Referrals with Settlement This measure
includes all § 106 or f 106/§ 107 referrals, with a Consent Decree for RD/RA to HQ
or DOJ, seeking judicial concurrence Credit will be based on the referral date as
recorded in CERCLIS. This is a targeted activity.
3) Unilateral Orders: This measure includes all unilateral Administrative Orders for
RD or RA where the PRP is in compliance with the Order. Credit is given based on
the date of compliance as recorded in CERCLIS Should the PRPs become
substantially in non-compliance with the Order, credit will be subtracted from
category (3) and added to category (1). This action will count against the total
target of (1) and (2).
CHANGES IN DEFINITION FY88-FY89- Referrals with settlement and
Unilateral Administrative Orders where the PRP is in compliance were added to this
activity as accomplishments. Referrals with settlement is a new target in FY89
SPECIAL PLANNING REQUIREMENTS Targets are established site-
specifically; "to be determined" sites are allowed with an explanation.
D-31
-------
OSWER Directive 92003-01B
ENFORCEMENT DEFINITIONS
ACTIVITY; Administrative Cost Recovery Settlements
Administrative Cost Recovery Settlements occur at sites where
Regional Counsel has obtained an administrative settlement with PRPs that
for reimbursement of Fund monies under section 107 and section
122(h)(l) of CERCLA for past removal or remedial expenditures. Cost recovery
for reimbursement of oversight or miscellaneous expenses under § 10671122
settlements for response action does not count against this target
DEFINITION OF ACCOMPLISHMENT: For administrative actions, credit is
given when the effective date of the administrative order or other settlement
document is entered into CERCLIS. When no settlement documents exist in
administrative settlements, the date on which funds are received by the Financial
Management Division determines the quarter in which the settlement is counted.
CHANGES IN DEFINITION FY88-FY89:
SPECIAL PLANNING REQUIREMENTS!
ACTIVITY: Cost Recovery Cases Referred to DQJ or HQ C>$200FO
DEFINITION: Cost recovery cases referred to HQ (>$200K) occur at sites where
the region has referred a civil action to OECM or DOJ seeking reimbursement of
past Trust Fund expenditures for removal or remedial response totaling at least
$200K under §107 of CERCLA §107 Actions (>$200K) with a §106 Action for
RD/RA (with or without settlement) are measured. Proof of claims in bankruptcy
will not count against this target New referrals for additional cost recovery action
will count only where the first referral has been resolved.
DEFINITION OF ACCOMPLISHMENT:
1) Section 107 Removal: Credit is given for a § 107 removal (target) when a region
has referred a civil action to OECM or DOJ (as reflected in the OECM docket and
CERCLIS) seeking reimbursement of past Trust Fund expenditures for a removal,
ERA, IRM, RI/FS, or RD equal to or greater than $200K under §107 of CERCLA.
Targets in this category must include at a minimum all responses with expenditures
greater than or equal to $200K where there is a potential statute of limitation
problem, and there are viable PRPs, unless addressed in (3) below.
2) Section 107 Remedial Action: Credit is given for a § 107 RA (target) when a
region has referred a civil action to OECM or DOJ (as reflected in the OECM docket
and CERCLIS) seeking reimbursement for past Trust Fund expenditures for a RA
response, plus any previous fund-financed site work (i e. removals, ERAs, IRMs,
RI/FS, or RDs) greater than or equal to $200K under § 107 of CERCLA.
Commitments must include sites where there is a potential statute of limitation
problem, and there are viable PRPs, unless addressed in (4) below.
D-32
-------
OSWER Directive 9200 3-0IB
ENFORCEMENT DEFINITIONS
3) Section 106/107 Removal: Credit is given for a § 106/§ 107 removal when a
region has referred a civil action to OECM or DOJ (as reflected in the OECM docket
and CERLIS) seeking reimbursement of past Trust Fund expenditures for a
removal, ERA, IRM, RI/FS, or RD greater than or equal to $200K under
§ 106/§ 107 of CERCLA. This is a reporting measure only.
4) Section 106/107 Remedial Action: Credit is given for a § 106/§ 107 RA when a
region has referred a civil action to OECM or DOJ (as reflected in the OECM docket
and CERCLJS) seeking reimbursement for past Trust Fund expenditures for a RA
response, plus any previous fund-financed site work (i e. removals, ERAs, IRMs,
RI/FS, or RDs) greater than or equal to $200K under 106/§ 107 of CERCLA. This
is a reporting measure only.
CHANGES IN DEFffffTIQN FYgg-FYgp- New measures were added
SPECIAL PLANNING REQUIREMENTS Separate commitments are made for
§107 actions and § 106/1107 actions and removals, IRMs and RI/FS, vs RAs and
previous site work.
ACTIVITY: Administrative Order for Removal Actions
DEFINITION: The definition of this activity is the issuance of an Administrative
Order (unilateral or consent) for removal actions Credit is given for one order per
removal action when multiple orders are issued. Excluded from this measure are
orders for RI/FS, RD, and access.
DFJFTNTTIQN OF ACCOMPLISHMENT- A § 106 administrative order for removal
action is counted when the order (unilateral or consent) has been signed and issued
by EPA and entered in CERCLIS
CHANGES IN DEFINITION FY88-FY89: SPMS definition changed from FY88.
SPECIAL PLANNING REQUIREMENTS,: Projections for Administrative Orders
for removal actions are made in the Targets and Accomplishments portion of the
CERHELP non-site data base. This is a reporting measure for NPL and non-NPL
sues.
D-33
-------
OSWER Directive 9200 3-01B
ENFORCEMENT DEFINITIONS
Settlements and Referrals
PLANNING REQUIREMENTS
1
SPMS COMMITMENT?
SCAP COMMITMENT?
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET?
QUARTERLY TARGETS/MEASURES
SET?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES, WHEN?
PLANNED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERO1S?
AOA CATEGORY?
BASIS FOR AOA?
NO
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY*
OPERABLE
UNIT
N/A
SITE-
SPECIFIC
ENFORCE-
MENT
SITE SPEC
PLANS
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
N/A
srrc-
SPECIFIC
ENFORCE-
MENT
SITE SPEC
PLANS
TARCETC5CAP)
MEAS.(SPMS)
PRIOR
TOFY
PRIOR
TOFY«
WHOLE
SITE
SITE-
SPECIFIC
ENFORCE-
MENT
SITE SPEC
PLANS
1 S/106 CASE RESOLUTION 4. ADMIN COST RECOVERY SETTLEMENTS
2. S. 1W RD/RA REFERRALS/ORDERS 5. ADMIN ORDER FOR REMOVAL ACTIONS
J. S. 107 COST RECOVERY JUDICIAL SETTLEMENT *TBD'SrreS ARE ALLOWED
D-34
-------
OSWER Directive 9200 3-01B
ENFORCEMENT DEFINITIONS
Settlements and Referrals cont.
PLANNING REQUIREMENTS
SPMS COMMITMENT*
SCAP COMMITMENT?
TARGET OR MEASURE*
ANNUAL TARGETS/MEASURES SET
QUARTERLY TARGETS/MEASURES
SET?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES, WHEN*
PLANNED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS*
AOA CATEGORY?
BASIS FOR AOA?
SECTION 107 REFERRAL
REMOVAL REMEDIAL
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNTT
N/A
SITE-
SPECIFIC
ENFORCE-
MENT
SITE-SPEC
PLANS
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
N/A
STTE-
SPECIFIC
ENFORCE-
MENT
SITE-SPEC
PLANS
SECTION 106/107 REFER RAtU
REMOVAL REMEDIAL |
YES
YES
MEASURE
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
N/A
srrE-
SPECIFIC
ENFORCE-
MENT
SITE-SPEC.
PLANS
YES 1
YES
MEASURE
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
N/A
SITE-
SPECIFIC
ENFORCE-
MENT
SITE-SPEC
PLANS i
D-35
-------
OSWER Directive 92003-01B
FEDERAL FACILITY DEFINITIONS
INTRODUCTION
Definitions for Federal Facility activities are generally the same as those used for
PRP-financed actions. The Federal Facility activity definitions have been divided into three
categories: Pre-Reroedial, Remedial and Enforcement
PRE-REMEDIAL
Following are die Federal Facility pre-remedial activities which are tracked through
the SCAP and SPMS process. Both are SPMS reporting measures:
PA Completions; and
* SI Completions.
ACTIVITY: PA Completions
DEFINITION: A Preliminary Assessment is the first stage of site assessment.
Geological and hydrological data and data concerning site practices are reviewed to
complete the PA report Federal agencies are required to conduct PAs at their
facilities.
DEFINITION OF ACCOMPLISHMENT: A PA is complete when the PA report is
reviewed and the PA completion date is entered into CERCLIS.
CHANGES IN DEFINITION FY88-FY89-
SPECIAL PLANNING REQUIREMENTS:
ACTIVITY. SI Completions
DEFINITION. The site inspection involves collecting field data for the purpose of
characterizing the magnitude and seventy of the hazards posed by die facility. An
SI should provide adequate data for EPA (using FIT resources) to determine the
site's Hazard Ranking System (HRS) score Federal agencies are required to
conduct Sis at their facilities.
DEFINITION OF ACCOMPLISHMENT: An SI is complete when EPA reviews
the SI report, a draft HRS score has been derived, and the completion date is
entered into CERCLIS.
CHANGES IN DEFINITION FY88-89- The development of a draft HRS score
has been added to the definition.
SPECIAL PLANNING" REQUIREMENTS A projection must be made in
CERHELP of the FIT resources needed for HRS development
D-36
-------
OSWER Directive 9200 3-0IB
FEDERAL FACILITY DEFINITIONS
REMEDIAL
The following Federal Facility remedial activities are tracked through the SCAP and
SPMS process. The RI/FS definition encompasses first, subsequent, and final Federal
Facility RI/FS completions. The second activity is RA Starts Post-SARA at NPL Sites.
ACTIVITY Federal Facility RI/FS Completion (ROD)
DEFINITION: The ROD is the document which details the selection of remedy
The Federal entity and EPA jointly select the remedy at the facility
DEFINITION OF ACCOMPLISHMENT: The date the initial, subsequent, or final
ROD is signed by the Regional Administrator or the Assistant Administrator for
OWSER is the completion date. This date must be entered in CERCLIS
CHANGES IN DEFINITION FY88-FY89 New activity for FY89
SPECIAL PLANNING REQUIREMENTS: The first ROD at a facility is a SPMS
target Subsequent RODs at Federal Facilities is a SCAP measure. The final ROD
is a SPMS measure
ACTIVITY: RA Starts Post-SARA at NPL Sites
DEFINITION: A Post-SARA RA start is defined as the initiation of on-site
construction activities after October 17,1986.
DEFINTTTON OF ACCOMPLISHMENT Credit is given when substantial and
continuous on-site work has begun at sites where EPA has concurred on the ROD
and an appropriate enforcement agreement is in place. The date substantial and
continuous on-site work begins must be recorded and documented in CERCLIS.
CHANGES IN DEFINITION FY88-FY89: New activity for FY89.
SPECIAL PLANNING REQUIREMENTS:
D-37
-------
OSWER Directive 9200 3-0IB
FEDERAL FACILITY DEFINITIONS
ENFORCEMENT
ACTIVITY Signed Interagencv Agreements at NPL Sites
DEFINITION- Under § 120 of SARA, Federal Agencies are required to enter into
an interagency agreement with EPA within six months of EPA review of RI/FS
regarding: 1) A schedule for completion of the remedy; and 2) Arrangements for
Operations and Management (O&M) at the facility.
DEFINITION OF ACCOMPLISHMENT- Credit is given for any of the following:
1) A signed §120IAG for an RI/FS/RD/RA or RD/RA only, 2) Issuance of a
§3008(h) Corrective Action Order that addresses all releases; 3) Referral of a
Section 106 Administrative Order to the Department of Justice for concurrence; 4)
Issuance of a RCRA permit addressing all releases and all CERCLA requirements;
or 5) A formal referral has been made to the Assistant Administrator of OSWER for
dispute resolution.
CHANGES IN DEFINITION FY88-FY89 Credit was given for this activity in
FY88 when the IAG was signed. Additional enforcement related activities were
added to the definition of an accomplishment.
SPECIAL PLANNING REQUIREMENTS:
D-38
-------
OSWER Directive 9200 3-01B
FEDERAL FACILITY DEFINITIONS
PA SI SIGNED IAGS FF RI/FS RA START L
PLANNING REQUIREMENTS COMP. COMP. AT NPL SITES COMP. POST.SARA§
SPMS COMMITMENT?
SCAP COMMITMENT?
TARGET OR MEASURE?
ANNUAL TARGETS/MEASURES SET?
QUARTERLY TARGETS/MEASURES
SET?
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
IF YES, WHEN?
PLANNED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR IN
NON-SFTE PORTION OF CERCUS?
AOA CATEGORY?
BASIS FOR AOA?
YES
NO
MEASURE
NO
NO
NO
WHOLE
SITE
N/A
SITE-
SPECIFIC
N/A
N/A
YES
NO
MEASURE
NO
NO
NO
WHOLE
SITE
N/A
SITE-
SPECIFIC
N/A
N/A
YES
YES
TARGET
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
WHOLE
SITE
N/A
srre-
SPECIFIC
N/A
N/A
YES
YES
TARGET/
MEASURE*
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
N/A
srre-
SPECIFIC
N/A
N/A
YES |
YES 1
MEASURE
YES
YES
PRIOR
TOFY
YES
PRIOR
TOFY
OPERABLE
UNIT
N/A
srre-
SPECIFIC
N/A
N/A
FIRST ROD IS A TARGET, FINAL ROD IS A MEASURE
D-39
-------
OSWER Directive 9200 3-OIB
OIL SPILL ACTIVITY DEFINITIONS
INTRODUCTION
There are three oil spill activities that are planned and tracked through the SCAP
process. They are planned on a non-site specific basis and do not require regions to plan
obligations. Accomplishments are reported in CERHELP in the aggregate, not at the site
level. These activities are the following:
Oil Spills Cleaned up Using Clean Water Act (CWA) Funds;
On-Scene Monitoring of Responses to Oil Spills; and
Spill Prevention Control and Countermeasure (SPCQ
Inspections/Reviews.
ACTIVITY- Oil Spills Cleaned up Using Clean Water Act (CWA) Funds
DEFINITION: CWA-funded oil spill clean ups are oil spills cleaned up by EPA
using §31 l(k) funds. A single incident should be counted only once regardless of
how many tunes an EPA On Scene Coordinator (OSC) or Technical Assistance
Team (TAT) goes back on-scene or how many phases the response entails.
DEFINITION OF ACCOMPLISHMENT. Completion of the clean up activities is
defined as oil spills cleaned up by EPA using CWA funds.
CHANGES IN DEFINITION FY88-FY89:
SPECIAL PLANNING REQUIREMENTS
ACTIVITY: On-Scene Monitoring of Responses to Oil Spills
DEFINITION; On-scene monitoring occurs when the PRP, State, local authorities
or other party responds and §31 l(k) funds are not invoked, but where EPA or a
TAT provides on-scene oversight or technical assistance to ensure adequate cleanup
takes place.
DEFINITION OF ACCOMPLISHMENT Activation of EPA or TAT personnel in
response to activities conducted by other entities to clean up oil spills.
CHANGES IN DEFINITION FY88-FY89:
SPECIAL PLANNING REQUIREMENTS-
D-40
-------
OSWER Directive 9200 3-OIB
OIL SPILL ACTIVITY DEFINITIONS
ACTIVITY: Spill Prevention Control and Countermeasure (SPCO Inspections/Reviews
DEFINITIOIf: Spill prevention compliance reviews performed by EPA and/or a
TAT defines the SPCC inspections/reviews. The count should include both on-site
inspections and detailed plan reviews Follow-up inspections at a single facility
may be counted separately.
DEFINITION OF ACCOMPLISHMENT: Completion of the review.
CHANGES IN DEFINITION FY88-FY89:
SPECIAL PLANNING REQUIREMENTS.
D-41
-------
OSWER Directive 9200 3-0IB
OIL SPILL ACTIVITY DEFINITIONS
PiANNivr ppnniDPMFNT* CWA-FUNDED OSM SPCC
PLANNING REQUIREMENTS QIL SPiLLS»OiL SPILLS I/R
SPMS COMMITMENT?
SCAP COMMITMENT?
TARGET OR MEASURE'
ANNUAL TARGETS/MEASURES SET'
QUARTERLY TARGETS/MEASURES
SET>
IF YES, WHEN'
PLANNED SITE SPECIFICALLY'
IF YES, WHEN?
PLANNED ON OPERABLE UNIT
OR WHOLE SITE BASIS'
REPORTED ON COMBINED PROGRAN
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
REPORTED SITE SPECIFICALLY OR
IN NON-SITE PORTION OF CERCLIS'
AOA CATEGORY'
BASIS FOR AOA?
NO
YES
MEASURE
YES
NO
NO
N/A
N/A
NON-SITE
N/A
N/A
NO
YES
NO
YES
MEASURE MEASURE
YES
NO
NO
N/A
N/A
NON-SITE
N/A
N/A
YES
NO
NO
N/A
N/A
NON-SITE
N/A
N/A
* CLEANED UP BY EPA
D-42
-------
OSWER Directive 9200 3-0IB
SECTION 2
MISCELLANEOUS DEFINITIONS
D-43
-------
OSWER Directive 9200 3-01B
REMEDIAL PROGRAM DEFINITIONS
PROJECT SUPPORT
ACTIVITY: Community Relations
DEFINmQN: Community relations are the activities conducted in accordance with
SARA, the NCP and the Community Relations Handbook to involve the
community in response activities conducted at a site
DEFINTTION OF ACCOMPLISHMENT The start of community relations is the
obligation of funds for the development of the community relations plan. For PRP-
lead sites where the PRP is preparing the community relations plan in accordance
with an Administrative Order or consent decree, the start of community relations is
defined as EPA approval of the community relations plan The completion of
community relations is the deletion of the sue from the NPL or the conclusion of a
removal action
CHANGES IN DEFINITION FY88-FY89 New definition for FY89
SPECIAL PLANNING REQUIREMENTS: Community relations activities at PRP
sites are paid for by the Case Budget
ACTIVITY: Design Assistance
DEFINITION: Design assistance activities are undertaken by USACE in
preparation for initiating remedial design activities. This includes 1) Synopsize
remedial design requirements in the Commerce Business Daily (CBD); 2) Develop
architect/engineer (A/E) firm pre-selection list; 3) Contact A/E firms on the pre-
selection list to ascertain interest m project; 4) Develop A/E selection list; and 5)
Tentative selection of A/E firm.
DEFINITION OF ACCOMPLISHMENT: The initiation of design assistance is the
obligation of funds. The completion, of design assistance is the start of remedial
design.
CHANGES IN DEFINITION FY88-FY89. New definition for FY89.
SPECIAL PLANNING REQUIREMENTS Funds for design assistance should be
obligated prior to die signature of the ROD.
D-44
-------
OSWER Directive 92003-01B
REMEDIAL DEFINITIONS
ACTIVITY: Forward Planning
DEFINITION: Forward planning activities are 1) The development of
technical/financial information to support requests for funds for RI/FS activities;
2) The evaluation of the extent and utility of available data and the identification of
additional data needs; and 3) The identification of administrative or procedural
problems that may affect project implementation.
DEFINITION OF ACCOMPLISHMENT: The start of forward planning is the
obligation of funds for forward planning. The completion of forward planning is
the start of the RI/FS.
CHANGES IN DEFINITION FY88-FY89- New definition for FY89.
SPECIAL PLANNING REQUIREMENTS Forward planning is done on a site-
specific basis.
ACTIVITY Long Term Response (LTR1
DEFINrrjON' A Long Term Response is the activity conducted to achieve the
response detailed in the ROD, typically pump and treat or monitoring actions.
Activities required to maintain the effectiveness of such treatment or measures
following the LTR period are considered Operation & Maintenance (O&M).
DEFINITION OF ACCOMPLISHMENT LTR begins when the treatment or
monitoring is initiated. The completion date is defined as the point where the levels
specified in die ROD are achieved and the deletion criteria has been met or when the
treatment or response measure has been operating for ten years
CHANGES IN DEFINITION FY88-FY89. New definition for FY89
SPECIAL PLANNING REQUIREMENTS LTR is planned on a site-specific
basis in CERCLIS and is used for resource allocation purposes only
D-45
-------
OSWER Directive 92003-01B
REMEDIAL DEFINITIONS
ACTIVITY Management Assistance
DEFINITION: Management assistance are site-specific activities performed by the
state - monitoring progress and consulting with EPA on Federal-lead and PRP-lead
remedial activities.
DEFINITION OF ACCOMPLISHMENT The start of management assistance is
the signature of the Cooperative Agreement by the Regional Administrator or his
designee which awards funds to the State. The completion of management
assistance is the completion of all remedial activities at the site.
CHANGES IN DEFINITION FY88-FY89 New definition for FY89.
SPECIAL PLANNING REQUIREMENTS: Management assistance activities at
PRP-lead sites are paid for by the Enforcement Program and are contained in the
Case Budget.
ACTIVITY: Operation and Maintenance (O&M^
DEFINITION: There are two phases of O&M. The first is that phase of the
remedial action that ensures that a remedy is operational and functional. EPA
financially supports this phase of a Fund-financed action for a period not to exceed
one year. The one year period does not apply to sites where Long Term Response
actions are being conducted. The second phase of O&M are the activities required
to maintain the effectiveness or the integrity of the remedy. The State or PRP is
totally responsible for these activities for the time period specified in the ROD.
DEFINITION OF ACCOMPLISHMENT- The start of O&M is defined as the date
construction activities are complete, the contractor demobilizes and the lead entity
begins the analysis to ensure the remedy is operational and functional. The
completion of O&M is defined as the date specified in the ROD
CHANGES IN DEFINITION FY88-FY89: New definition for FY89
SPECIAL PLANNING REQUIREMENTS: Operation and maintenance is planned
site-specifically in CERCLIS and is used for resource allocation purposes only.
D-46
-------
OSWER Directive 92003-01B
REMEDIAL DEFINITIONS
ACTIVITY: Technical Assistance
DEFINITION Technical Assistance activities arc activities conducted by a thud
party to assist EPA in the conduct of remedial activities.
DEFINITION OF ACCOMPLISHMENT- The start of technical assistance is the
obligation of funds for technical assistance. The completion is defined as the
completion of the remedial activities for which technical assistance was requested.
CHANGES IN DEFINITION FY88-FY89. New definition for FY89
SPECIAL PLANNING REQUIREMENTS.
ACTIVITY: Technical Assistance Grants
DEFINTTION: Technical assistance grants are funds awarded to community
groups to hire technical advisors to review and interpret Superfund documents. A
maximum of $50K can be awarded per site
DEFINITION OF ACCOMPLISHMENT: The start of the Technical Assistance
Grant is the signature of the Cooperative Agreement to the community group. The
completion of die Technical Assistance Grant is the completion of the RA.
CHANGES IN DEFINITION FY88-FY89: New definition for FY89.
SPECIAL PLANNING REQUIREMENTS:
D-47
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OSWER Directive 9200 3-01B
REMOVAL DEFINITIONS
NPL SITES
ACTIVITY: Expedited Response Acnon (ERA)
DEFINITION: ERAs are actions that are conducted at NPL sites under the
expanded NCP and SARA removal authorities where the alternatives are clear and a
non time-critical situation exists. ERAs include site surface remediation; for
example, removal of contaminated soils, drums, or tanks.
DEFINITION OF ACCOMPLISHMENT: An ERA is complete when 1) the
conditions specified in the Action Memorandum are complete, even if the
OSC/RPM determines that additional response work may be necessary; and 2) the
OSC/RPM demobilizes the cleanup contractor.
CHANGES IN DEFINITION FY88-FY89- There are no new ERAs in FY89. A
definition for ERA completion has been added.
SPECIAL PLANNING REQUIREMENTS
D-48
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OSWER Directive 9200 3-0 IB
REMOVAL DEFINITIONS
HAZARDOUS SUBSTANCES RELEASE
ACTIVITY: fifflHirdflBS Subjgftances Release Notification
DEFINITION,; The definition of hazardous substances release notification is a
report to EPA of a hazardous substance released into the environment.
DEFINITION OF ACCOMPLISHMENT. The definition for release notifications is
the number of sites/incidents where a release notification is received A release
notification is counted when a report of a hazardous substances release is received,
processed and logged by EPA
CHANGES IN DEFINITION FY88-FY89:
SPECIAL PLANNING REQUIREMENTS. The count for hazardous substances
release notifications should not include state or USCG notifications forwarded ex-
post facto through monthly summaries unless followed up by EPA. Count should
include potential releases, notifications not recognized through CERCLA and spills
at waste sites if reported to EPA Accomplishments should be reported in
CERHELP.
ACTIVITY. Hazardous Substances Release Investigations
DEFINITION: A release investigation is the process of collecting field data on an
actual or potential hazardous substance sue or spill for the purpose of characterizing
the magnitude and seventy of the hazard and/or to support enforcement This
activity includes all efforts from the decision to conduct an investigation up to the
decision to prepare an action memorandum for removal action
DEFINITION OF ACCOMPLISHMENT Investigations may be conducted by
EPA and/or a TAT, and must include an on-site component, such as a walk around
survey or sampling to be counted.
CHANGES IN DEFINITION FY88-FY89
SPECIAL PLANNING REQUIREMENTS Investigations conducted entirely by
the state do not count Accomplishments should be reported in CERHELP.
ACTIVITY: On-Scene Monitoring of Responses to Hazardous Substance Releases
DEFINITION: On-scene monitoring of responses to hazardous substance release
occurs when CERCLA funds are not obligated for cleanup work, but EPA provides
on-scene oversight and technical assistance to ensure that all CERCLA
statutes/regulations are adhered to in site cleanup or stabilization.
DEFINITION OF ACCOMPLISHMENT Credit is given for on-scene monitoring
when EPA goes on-site to monitor cleanup activities.
CHANGES IN DEFINITION FY88-FY89:
D-49
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OSWER Directive 9200 3-01B
REMOVAL DEFINITIONS
SPECIAL PLANNING REQUIREMENTS- State removals conducted through
cooperative agreement do not count toward this activity. Accomplishments should
be reported in CERHELP.
D-50
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OSWER Directive 9200 3-01B
FEDERAL FACILITY DEFINITIONS
REMEDIAL
ACTTVITY: RI/FS Starts
DEFINITION: An RI/FS is the development of a carefully scoped solution or pan
of a solution to a contamination problem Federal facility RI/FS are conducted by
the Federal entity. The Federal agency is required to start an RI/FS within six
months of site listing on the NPL.
DEFINITION OF ACCOMPLISHMENT The start date is either 1) A signed IAG
or 2) Publication of timetables and deadlines in consultation with the state for
expeditious completion of the RI/FS
CHANGES IN DEFINITION FY88-FY89- New definition for FY89
SPECIAL PLANNING REQUIREMENTS-
ACTIVITY: RD Starts
DEFINITION: An RD is the process of developing plans and specifications for the
selected remedy. The Federal agency performs the RD.
DEFINITION OF ACCOMPLISHMENT: The RD start is defined as the award
date for die RD contract
CHANGES IN DEFINITION FY88-FY89- In FY88 the RD start was defined as
the date of the signature of an Interagency Agreement (IAG) for RD.
SPECIAL PLANNING REQUIREMENTS.
ACTIVITY: RD Completion
DEFINITION: An RD is complete when the plans and specifications for the
selected remedy have been developed
DEFINITION OF ACCOMPLISHMENT; Credit is given when EPA approves the
remedial design within the context of an IAG.
CHANGES IN DEFINITION FY88-FY89- New activity for FY89
SPECIAL PLANNING REQUIREMENTS
D-51
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OSWER Directive 9200 3-OIB
FEDERAL FACILITY DEFINITIONS
ACTIVITY: RA Starts
DEFINITION: An RA represents construction activities to address a release or
potential release of a hazardous substance at an NPL site. The Federal agency
performs the RA at the Federal Facility
DEFINITION OF ACCOMPLISHMENT: An RA start is defined as EPA approval
of the RA workplan within the context of an IAG.
CHANGES IN DEFINITION FY88-FY89: In FY88, the definition for RA start
was signature of an IAG
SPECIAL PLANNING REQUIREMENTS: Separate projections are made for
first, subsequent and final RA starts.
ACnVITY RA Completion
DEFINITION- This activity represents the completion of construction activities to
address a release or potential release of a hazardous substance from a site, including
final inspection and site closeout
DEFINITION OF ACCOMPLISHMENT: An RA is complete when the Regional
Administrator provides written notice to the Federal Agency of EPA's acceptance of
the completed project
CHANGES IN DEFINITION FY88-FY89: New activity for FY89.
SPECIAL PLANNING REQUIREMENTS Projections are made for final RA
completion separate from first and subsequent RA completions.
D-52
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OSWER Directive 92003-01B
APPENDIX E
SCAP TARGET CERCLIS SELECT LOGIC
-------
OSWER Directive 92003-01B
SCAP TARGET CERCLIS SELECT LOGIC
This appendix contains flow chart representations of the CERCLIS select logic used to
generate the FY89 SCAP/SPMS Targets and Accomplishments Site Summary Report. The
diagrams depict both planned and actual accomplishments. Select logic for SCAP/SPMS
reporting and projection measures is not included
The flow charts of select logic outline the process by which a site event/activity record is
selected to appear on the site summary report If site data do not appear correctly on the site summary
report it is likely that data on which the record is selected are missing. In order to ensure accurate
reporting on the site summary report, the select logic for the specific events should be consulted.
E-2
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OSWER Directive 9200 3-01B
SCAP TARGET CERCLIS SELECT LOGIC
TABLE OF CONTENTS
FINANCIAL TEST E-4
PRELIMINARY ASSESSMENT COMPLETION E-5
SITE INSPECTION COMPLETION E-6
RI/FS FIRST START ... E-7
RWS SUBSEQUENT START E-8
RI/FS TO PUBLIC E-9
FIRST RI/FS COMPLETION (ROD) E-10
SUBSEQUENT RJ/FS COMPLETION (ROD) E-ll
FINAL RI/FS COMPLETION (ROD) E-12
RD FIRST START . E-13
RD SUBSEQUENT START E-14
RDFINALSTART E-15
RA FIRST START (PROGRAM) ... E-16
RA FIRST START (PRP) E-17
RA SUBSEQUENT START (PROGRAM) E-18
RA SUBSEQUENT START (PRP) . E-19
RA FINAL START (PROGRAM) E-20
RA FINAL START (PRP) E-2L
RA FINAL COMPLETION E-22
RA STARTS POST-SARA ... . E-23
NPL SITE DELETION INITIATION . E-24
FIRST REMOVAL START AT NPL SITE E-25
SUBSEQUENT REMOVAL START AT NPL SITE E-26
REMOVAL COMPLETIONS AT NPL SITES E-27
NON-NPL REMOVAL START E-28
NON-NPL REMOVAL COMPLETIONS E-29
CONCLUSION OF RD/RA NEGOTIATIONS E-30
SECTION 106 RD/RA REFERRALS/ORDERS E-31
SECTION 107 COST RECOVERY JUDICIAL SETTLEMENT E-32
SECTION 106 CASE RESOLUTION E-33
REMEDIAL COST RECOVERY CASES REFERRED TO DOJ OR HQ (>200K) E-34
REMOVAL COST RECOVERY CASES REFERRED TO DOJ OR HQ(>200K) E-35
ADMINISTRATIVE COST RECOVERY SETTLEMENT E-36
FEDERAL FACIIJTY NPL SITES WITH IAG E-37
E-3
-------
FINANCIAL TEST*
OSWER Direcuve 9200 3-01B
C2117
LEAD
I
F.SorSE
1
J
EP, PS, RP or MR |
C3202
FINANCIAL TYPE
C3218
FYQ
FINANCIAL
AMOUNT
C2132
J [
GTO
C3225
FUNDING PRIORITY
STATUS
"APR"
'This test applies to:
RI/FS -
1st Starts
Subsequent Starts
RD-
1st Starts
Subsequent Starts
Final Starts
RA-
1st Starts-Prog ram
Subsequent Starts - Program
Final Starts - Program
NPL Removal
1st Starts
Subsequent Starts
Non-NPL Removal Starts
E-4
-------
OSWER Direc,
PRELIMINARY ASSESSMENT COMPLETION
EVENT/ACTIVITY
TYPE
PLANNED
OMPLETION DATE
WITHIN
DRTF
DRTF = Desired Reporting Time Frame
E-5
-------
OSWER Directive 92003-01B
SITE INSPECTION COMPLETION
EVENT/ACTIVrrY
/LEAD /
PLANNED
OMPLETION DATE
WITHIN
DRTF
DRTF - Desired Reporting Tune Frame
E-6
-------
RI/FS FIRST STARTS
OSWER Directive 9200 3-01B
[ P.F,R,S or D
EVENT/ACTIVITY
TYPE
[ RI,FS or CO j
FIRST START
INDICATOR
SPMS TARGET
STATUS
EP.PS.RPor MR J
PLANNEDSTART DATE
* Fund financed ceiling C2117 = 'F, 'S', 'SE' or 'EP.
DRTF = Desired Reporting Tune Frame
-------
RI/FS SUBSEQUENT STARTS
OSWER Directive 9200 3-01B
NPL STATUS
P.F,R.SorD
EVENT/ACTIVITY
TYPE
[ RI.FSorCO
FIRST START
INDICATOR
SPMS TARGET
STATUS
EP.PS.RP or MR
ANNED START DATE
*Fund financed ceiling C2117= 'F, 'S','
SE' or 'EF DRTF = Desired Reporting Time Frame.
E-8
-------
RI/FS TO PUBLIC
OSWER Direcuve 9200 3-01B
NPLSTATUS
[ P.F,R,S or D
EVENT/ACTIVITY
FSorCO j
FIRST COMPLETE
INDICATOR
[ A.B.C or D
LEAD
[ F.S.SE.RP.MR.EP or PS j
PLANNED
COMPLETION DATE
sirec^epoitme Time Fr
E-9
-------
FIRST RI/FS COMPLETION (ROD)
OSWER Directive 92003-01B
NPL STATUS
[ P.F.S or D
EVENT/ACTIVITY
TYPE
RO
J
FIRST COMPLETE
INDICATOR
AorB
1
LEAD
F,S,SE,FE.MR.EPorPS
PLANNED
COMPLETION DATE
DRTF = Desired Reporting Time Frame
E-10
-------
OSWER Directive 9200 3-01B
SUBSEQUENT RI/FS COMPLETION (ROD)
NPL STATUS
[ P.F.S or D j
EVENT/ACTIVrrY
TYPE
RO
J
FIRST COMPLETE
INDICATOR
CorD
J
LEAD
[ F.S,SE,FE.MR.EP or PS
PLANNED
COMPLETION DATE
DRTF = Desired Reporting Tune Frame
E-ll
-------
FINAL RI/FS COMPLETION (ROD) OSWER Directive 9200 3 OIB
NPL STATUS
[ P.F.S or D
EVENT/ACTIVITY
TYPE
RO
J
FIRST COMPLETE
INDICATOR
[ A or D
LEAD
[ F,S.SE.FE.MR.EP or PS j
PLANNED
COMPLETION DATE
DRTF = Desired Reporting Tune Frame
E-12
-------
RD FIRST START
OSWER Directive 9200 3-0 IB
[ P.F.S or D
EVENT/ACTIVITY
TYPE
FIRST START
INDICATOR
SPMS TARGET
STATUS
[ EP.PS.RPor MR |
PLANNED START DATE
* Fund financed ceiling C2117 = 'F, 'S1, 'SE' or 'EP. DRTF = Desired Reporting Time Frame
-------
ED SUBSEQUENT START
OSWER Directive 9200 3-0 IB
[ P.F.S or D |
EVENT/ACTIVITY
TYPE
FIRST START
INDICATOR
SPMS TARGET
STATUS
EP.PS.RP or MR |
ANNED START DATE
WITHIN
DRTF
Fund financed ceiling C2117 = 'F, 'S1, 'SE1 or 'EP DRTF = Desired Reporting Time Frame
E-
-------
RD FINAL START
OSWER Directive 9200 3-01B
EVENT/ACTIVITY
HRST START
INDICATOR
SPMS TARGET
STATUS
f F.SorSE
EP.PS.RPor MR I
ANNED START DATE
*Fund financed ceiling C2117 = 'F, 'S', 'SE' or 'EP DRTF = Desired Reponing Time Frame.
" ^a
E-15
-------
RA FIRST START (PROGRAM)
OSWER Directive 9200 3-OIB
NPL STATUS
[ P.F.S or D |
EVENT/ACTIVITY
TYPE
RA
J
FIRST START
INDICATOR
SPMS TARGET
STATUS
PLANNED START DATE
DRTF = Desired Reporting Time Frame
E-16
-------
RA FIRST START (PRP)
OSWER Directive 9200 3-01B
NPL STATUS
[ P.F.S or D |
EVENT/ACTIVITY
TYPE
RA
J
FIRST START
INDICATOR
AorB
J
SPMS TARGET
FLAG
J
LEAD
RP, MR or PS
J
PLANNED START DATE
DRTF = Desired Reporting Time Frame.
E-17
-------
RA SUBSEQUENT START (PROGRAM)
OSWER Directive 9200 3-01B
NPL STATUS
EVENT/ACTIVITY
TYPE
FIRST START
INDICATOR
SPMS TARGET
STATUS
F.S.SE or EP
PLANNED START DATE
(THIN
DRTF
RTF = Desired Reporting Time Frame
E-18
-------
RA SUBSEQUENT START (PRP)
OSWER Directive 92003-01B
NPL STATUS
P,F,SorD
J
EVENT/ACTIVITY
TYPE
RA
J
FIRST START
INDICATOR
CorD J
SPMS TARGET
FLAG
LANNED START DA
E-19
-------
RA FINAL START (PROGRAM)
OSWER Direcove 9200 3-01B
NPL STATUS
EVENT/ACTIVITY
TYPE
FIRST START
INDICATOR
SPMS TARGET
STATUS
F.S.SE or EP
FINANCIAL
T
PLANNEDSTART DATE
ITHIN
DRTF
Time Frame
TF = Desired Re
E-20
-------
RA FINAL START (PRP)
OS WfiR Directive 9200 3-01B
NPLSTATUS
[ P,F,S or D j
EVENT/ACnVITY
TYPE
RA
J
FIRST START
INDICATOR
AorD
J
SPMS TARGET
FLAG
J
LEAD
RP, MR or PS
J
ANNED START DATE
DRTF = Desired Reporting Time Frame.
E-21
-------
RA FINAL COMPLETION
OSWER Directive 92003-01B
NPL STATUS
[ P.F.SorD |
EVENT/ACnVITY
TYPE
FIRST START
INDICATOR
F,S,SE,EP,RP,MR,or PS
PLANNED
COMPLETION DATE
DRTF = Desired Reporting Tune Frame.
E-22
-------
RA STARTS POST-SARA
OSWER Directive 9200 3-0 IB
NPL STATUS
[ P.F.S or D )
EVENT/ACTIVITY
TYPE
FIRST START
INDICATOR
AorB
LEAD
[ F.S.SE.RP, MR,EP or PS
ID
AC
J
SUBEVENT ACTUAL
START DATE
GE 10/16/86 &LE 10/16/89
SUBEVENT PLANNED
START DATE
J
[ Current Q thru 89/4 |
E-23
-------
NPL SITE DELETION INITIATION
OSWER Directive 9200 3-01B
NPL STATUS
EVENT/ACTIVITY
TYPE
ANNED START DATE
WITHIN
DRTF
DRTF = Desired Reporting Time Frame.
E-24
-------
FIRST REMOVAL START AT NPL SITE
OSWER Directive 9200 3-01B
NPL STATUS
( P.F.S or D
RV
AorB
EVENT/ACTIVITY
TYPE
J
FIRST START
INDICATOR
1
SPMS TARGET
STATUS
J
T.ANNFH START DATE
*Fund financed ceiling C2117 = 'F'. DRTF = Desired Repotting Tune Frame.
E-25
-------
SUBSEQUENT REMOVAL START AT NPL SITE
OSWER Directive 92003-01B
NPL STATUS
( P.F.S or D
EVENT/ACTIVITY
TYPE
RV
J
FIRST START
INDICATOR
CorD
J
SPMS TARGET
STATUS
J
'LANNED START DATE
*Fund financed ceiling C2117 = (F". DRTF = Desired Reporting Time Frame.
E-26
-------
REMOVAL COMPLETIONS AT NPL-SITES
[ P.F.S or D
EVENT/ACnVITY
RV. IR,orPR
FIRST COMPLETE
INDICATOR
[ A,B,C,orD
PLANNED
COMPLETION DATE
DRTF = Desired Reporting Time Frame
E-27
-------
NON-NPL REMOVAL START
OSWER Directive 920O3-01B
[ N, R or O j
EVENT/ACTIVrrY
TYPE
FIRST START
INDICATOR
A.BtC.orD
SPMS TARGET
STATUS
F.RPorCG
F, RPorCG
PLANNED START DATES
* Fund financed ceiling C2117 = 'F or
'CG'. DRTF = Desired Reporting Time
r
E-28
-------
NON-NPL REMOVAL COMPLETIONS
OSWER Directive 92003-01B
NPL STATUS
[ N.RorQ
EVENT/ACTIYITY
TYPE
[ RV. IR. or PR
FIRST START
INDICATOR
A,B.CorD
LEAD
F.RPorCG
J
PLANNED
COMPLETION DATES
DRTF = Desired Reporting Time Frame.
E-29
-------
OSWER Directive 9200 3-01B
CONCLUSION OF RD/RA NEGOTIATIONS
NPL STATUS
[ P. F, D. OR S j
ENFORCEMENT
EVENT/ACTIVITY
PLANNED
COMPLETION DATES
WITHIN
DRTF
DRTF = Desired Reporting Time Frame
E-30
-------
SECTION 106 RD/RA REFERRALS/ORDERS
OSWER Directive 9200 3-01B
ENFORCEMENT
EVENT/ACTIYITY
REMEDY/ACTION
[ RD or RA J
PLANNED START DATE
WITHIN
DRTF
DRTF * Desired Reporting Time Frame.
E-31
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OSWER Directive 92003-01B
SECTION 107 COST RECOVERY JUDICIAL
SETTLEMENT
ENFORCEMENT
EVENT/ACTIVITY
[ SVORJG
ENF. FINANCIAL TYPE
C.FORS
ENF. FINANCIAL
AMOUNT
PLANNED
COMPLETION DATES
DRTF = Desired Reporting Time Frame.
E-32
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OSWER Directive 92003-01B
SECTION 106 CASE RESOLUTION
ENFORCEMENT
EVENT/ACTIVITY
PLANNED
COMPLETION DATES
WITHIN
DRTF
DRTF = Desired Reporting Time Frame.
E-33
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OSWER Directive 92003-01B
REMEDIAL COST RECOVERY CASES REFERRED TO DOJ OR HQ (>200K)
EVENT/ACTIVITY
TYPE
FINANCIAL TYPE
REMEDY/ACTION
FINANCIAL
AMOUNT
> $200,000
ANNED START DATE
WITHIN
DRTF
DRTF = Desired Reporting Time Frame
E-34
-------
OS WER Directive 92003-01B
REMOVAL COST RECOVERY CASES REFERRED TO DOJ OR HQ (>200K)
EVENT/ACTIVITY
TYPE
FINANCIAL TYPE
REMEDY/ACTION
[ VM.VO.ORVDJ
FINANCIAL
AMOUNT
> $200,000
LANNED START DATES
WITHIN
DRTF
DRTF - Desired Reporting Time Frame
E-35
-------
OSWER Directive 92003-0 IB
ADMINISTRATIVE COST RECOVERY SETTLEMENT
ENFORCEMENT
EVENT/ACTIVITY
FINANCIAL TYPE
PLANNED
COMPLETION DATE
WITHIN
DRTF
DRTF = Desired Reporting Time Frame.
E-36
-------
OSWER Duecbve 92003-01B
FEDERAL FACILITY NPL SITES WITH IAG
FEDERAL FACILITY
FLAP
[ P.F.SorD |
ENFORCEMENT
EVENT/ACnVlTY
PLAN COMPLETION
DATE
fEQTOFIRSTC1715 J
DRTF = Desired Reporting Time Frame
*U S GOVERNMENT PRINTING OFFICE 1988-617-003/84269
E-37
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