United States
Environmental Protection
Agency
Office of
Solid Waste and
Emergency Response
Publication 9200.3-14-1B
EPA540/R95/144
PB96-963209
February 19,1996
Superfund
SEPA Superfund Program
Implementation Manual
Fiscal Year 1996 Supplement
Program Implementation Guidance for OERR, OSRE, FFRRO,
FFEO and the Oil Program
Program Goals and Planning Requirements
Chapter I: Program Goals and Priorities
Chapter II: Program Planning and Reporting Requirements
Chapter III: Superfund Financial Management
Program Implementation Procedures
Appendix A:
Appendix B:
Appendix C:
Appendi'x D:
Appendix F:
Site Screening and Assessment/Regional Decisions
Early/Long-Term Actions
Enforcement
Federal Facilities
Oil Program
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The policies and procedures established irnhis document are intended'solely for the guidance of employees of
the U.S. Environmental Protection Agency. They are not intended and cannot be relied upon to create any rights,
substantive or procedural, enforceable by any party in litigation with the United States. EPA reserves the right to
act at variance with these policies and procedures and to change them at any time without public notice.
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USE AND STRUCTURE OF THE MANUAL
The information in this Manual is targeted to Information Management Coordinators (IMCs), Remedial Project
Managers (RPMs), and On-Scene Coordinators (OSCs). Its primary purpose is to provide guidance to this audience
on management of the Superfund program. ,;
_ }
The Superfund Implementation Manual FY 1996 Supplement contains information on:
Program goals and priorities;
Program planning and reporting requirements;
Financial management and FTE distribution; and
Manager's Schedule of Significant Events.
In addition, the appendices at the end of the manual contain pipeline specific planning and reporting definitions,
and, in some instances program priority and financial information:
Appendix A presents measure definitions for the Site Screening and Assessment and Regional Decisions;
Appendix B provides measure definitions for the Early and Long Term Actions;
Appendix C presents measure definitions for Enforcement;
Appendix D contains program priorities and measure definitions for Federal Facilities; and
Appendix F contains program priorities, measures, definitions, planning and reporting requirements, and
financial information for the Oil Program.
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OSWER Directive 9200.3-14-1B
Superfund Program Implementation Manual
Fiscal Year 1996 Supplement
Table of Contents
PROGRAM GOALS AND PLANNING REQUIREMENTS
CHAPTER I
Program Goals and Priorities <....: 1-1
FY 96 Program Management Guidance 1-1
CHAPTER H
Program Planning and Reporting Requirements II-l
Introduction II-l
GPRA II-l
Archiving CERCLIS Sites II-3
Clarification of Terms . . . II-4
Archive Field Descriptions II-5
Archive Guidelines H-5
Sites With Site Assessment Events Only and NFRAP Decisions H-5
Site Assessment Sites with NFRAP Decisions and Removal/Other Events II-5
Sites Deferred to RCRA H-5
Sites Deferred to NRC H-6
Sites Removed from Proposed or Final NPL II-6
Partial Deletion of NPL Sites II-6
Attachment 1 - United States Environmental Protection Agency
Superfund Program Pilot Project Performance Plan for FY 1996 . . ! II-l 1
Introduction II-l 1
Superfund Program Description 11-11
Performance Goals and Strategies 11-11
I. Screen and Assess Sites 11-11
II. Early and/or Long Term Action Completions 11-12
III. Complete Construction at NPL Sites 11-12
IV. Conduct Outreach and Provide Assistance to Foster Increased State,
Tribal, and Community Involvement in Superfund II-13
Means Used to Verify and Validate Measured Values 11-13
Operational Processes, Skills and Technology Required to Meet Program Performance Goals 11-13
Addendum II-15
Performance Indicators - Risk Reduction 11-15
February 19, 1996
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OSvYER Directive 920C.3-'i4-lB
Super fund Program Implementation Manual
Fiscal Year 1996 Supplement
Table of Contents
CHAPTER ni
Superfund Financial Management and FTE Distribution III-l
Introduction .-..-. III-l
Outyear Budget Development ..-, III-l
FY 97 Budget Development '. IH-2
Development of the FY 96 National Budget III-6
FY 96 Regional Budget IH-6
Response Budget III-7
Enforcement Budget III-7
Federal Facilities Budget III-8
Relationship Between SCAP and the Annual Regional Budget . III-8
Initial Annual Regional Budget Development III-9
Site-Specific Travel IH-9
Regional Analytical Budgets : 111-10
AOA Utilization : 111-10
Advice of Allowance Procedures and Financial Reporting Requirements 111-10
Regional Allowances III-l 1
The AOA Process III-l 1
AOA Flexibility HI-14
RA Allowance . 111-14
Flexibility in the Other Allowances ..'..... 111-15
AOA Change Request Procedures 111-16
Relationship Between SCAP and the AOA 111-19
Superfund Financial Management 111-24
Financial Management Tools and Systems 111-25
"OZZ" and "OWQ" Accounting Information . . . 111-26
Regional Financial Management Responsibilities 111-27
HQ Financial Management Responsibilities 111-27
Financial Management and Funding Processes 111-27
Financial Management Funding Mechanisms 111-27
February 19, 1996
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OSWER Directive 9200.3-14-IB
Superfund Program Implementation Manual
Fiscal Year 1996 Supplement
Table of Contents
CHAPTER III (continued)
Contracts 111-27
Interagency Agreements (lAGs) ....;.... 111-38
Cooperative Agreements (CAs) IH-38
Superfund State Contracts (SSCs) .....'... IH-38
Cost Recovery/Cost Documentation 111-42
Handling Financial Data in the CERCLIS/WasteLAN Environment 111-42
Entering Response and Federal Facility Data into. WasteLAN 111-42
Entering Enforcement Extramural Budget Data into WasteLAN 111-45
Correcting Financial Data 111-45
Overview of the FTE Distribution Process . IH-46
INDEX A
ACRONYMNS : 1
ORGANIZATIONAL CHARTS
OSWER 7
OERR , 8
OECA 9
OSRE : : 10
REGIONAL MAP 11
PROGRAM IMPLEMENTATION PROCEDURES
APPENDIX A
Site Screening and Assessment/Regional Decision FY 96 Targets-and Measures A-l
Overview of FY 96 Site Screening and Assessment/Regional Decision Targets and Measures A-l
Superfund Durations A-l
Site Screening and Assessment/Regional Decision Definitions A-4
SSA-1 Site Characterization Starts A-4
SSA-2 Site Screening and Assessment Decisions A-5
Site Discovery (DS) A-7
Preliminary Assessments (PA) . A-8
Site Inspections (SI) A-9
Site Inspection Prioritizations (SIPs) A-ll
Expanded Site Inspections (ESI) A-12
February 19, 1996
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OSWER Directive 9200.3-14-1B
Superfund Program Implementation Manual
Fiscal Year 1996 Supplement
Table of Contents
APPENDIX A (continued)
Integrated Expanded Site Inspection/Remedial Investigations (ESI/RI) A-13
Hazard Ranking System Package (MRS) . . . -.-. :..... A-15
Integrated Removal/Remedial Evaluations (EA) . . A-16
Regional Decisions , A-17
Engineering Evaluation/Cost Analysis (EE/CA) A-18
Community Relations A-18
Support Agency Assistance A-19
Technical Assistance A-19
Technical Assistance Grants (TAGs) A-20
Remedial Investigations (RI) Starts A-20
ESI/RI Completion A-22
Feasibility Study (FS) Starts ~ A-23
Combined RI/FS Start A-24
Start of Public Comment Period (FS Report to Public) A-25
RI/FS Duration . A-26
RDT-1 Decision Document Developed , A-26
APPENDIX B
Early and Long-Term Action FY 96 SCAP Targets and Measures B-l
Overview of FY 96 Early and Long-Term Action Targets/Measures B-l
Superfund Durations . B-l
Early and Long-Term Action Definitions B-4
Community Relations B-4
Support Agency Assistance B-4
Technical Assistance B-5
Technical Assistance Grants (TAGs) . B-5
Treatability Studies B-6
Design Assistance B-6
Remedial Design (RD) Stan B-7
RD Completion B-8
Remedial Action (RA) Stan B-8
RA Contract Award B-9
ACT 5 Sites Addressed Through Early or Long-Term Action On-Site Construction Starts . . . B-10
ACT-6 Early or Long-Term Action Completions B-12
ACT-7 NPL Site Construction Completions Through Early Actions,
Long-Term Actions, or RODs B-14
Operational and Functional (O&F) B-18
Long Term Response Action (LTRA) B-18
NPL Site Completions B-19
Groundwater Monitoring B-23
Operation and Maintenance (O&M) . B-24
February 19, 1996 iv
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OSWER Directive 9200.3-14-1B
Superfund Program Implementation Manual
Fiscal Year 1996 Supplement
Table of Contents
APPENDIX B (continued)
Five-Year Reviews B-24
. NPL Deletion Initiation . . B-25
El - 1A Progress Through Environmental Indicators
(Addressing Immediate Threats at NPL and Non-NPL Sites) B-26
El - IB Progress Through Environmental Indicators
(Achieving Permanent Cleanup Goals) B-28
APPENDIX C
Enforcement FY 96 SCAP Targets and Measures C-l
Overview C-l
Enforcement Target and Measure Definitions C-3
Potentially Responsible Party (PRP) Search Starts C-3
PRP Search Completions C-3
Section 104(e) Letters Issued C-4
Section 104(E) Referrals and Orders Issued C-4
Issuance of General Notice Letters (GNLs) C-4
Issuance of Special Notice Letters (SNLs) C-5
ENF-1 Duration from Regional Decision or ROD to PRP Cleanup
Negotiation Completion C-5
. ESI/RI/FS Negotiation Starts C-7
RD/RA Negotiation Starts C-7
ENF-2 Cleanup Negotiation Completions C-8
State Order for ESI/RI/FS C-10
State Consent Decree for RD/RA C-10
ENF-3 Settlements for Cleanup Actions C-10
ENF^4 Section 122(g) Settlements and. Number of PRPs . . '. C-12
ENF-5 Percentage of PRP Lead Cleanup Actions to All Cleanup
Actions . . . C-13
Section 106, 106/107, 107 Case Resolution C-14
Administrative Record Compilation C-14
Issue Demand Letter C-15
Cost Recovery Actions/Decisions < $200,000 C-15
ENF-6 Past Costs Addressed > $200,000 C-16
February 19, 1996
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OSWER Directive 9200.3-14-1B
Superfund Program Implementation Manual
Fiscal Year 1996 Supplement
Table of Contents
APPENDIX C (continued)
Enforcement FY 96 Measures of Success , C-19
Development of Measures of Success ,.........:.......; C-19
Enforcement Measures of Success Definitions C-19
Use of Alternative Dispute Resolution (ADR) C-19
Settlements Where EPA Settled Based on Ability-to-Pay Determinations C-20
Recoverable Past Costs That Have Been Addressed Program to Date C-21
Prospective Purchaser Agreements (PPA) C-22
Number and Amount of CERCLA Penalties Assessed Via Judgment C-23
Number and Amount of Supplemental Environmental
Projects (SEP) Agreed Upon Under CERCLA . C-23
APPENDIX F
Oil Pollution Prevention and Response Program Priorities F-l
Overview F-l
Oil Program Initiatives F-l
Addressing Above-Ground Storage Facility (ASF) Leakage and Contamination F-l
Implementing FRPs F-l
Implementing the NCP . F-2
Developing and Maintaining Data Systems F-3
Improving the SPCC Program F-3
Coordinating with Other Agencies F-4
Oil Spill Prevention and Cleanup Activities F-4
Oil Pollution Prevention and Response Program Planning and Reporting Requirements F-5
Overview F-5
National Oil and Hazardous Substances Pollution Contingency Plan F-5
Regional Contingency Plans F-5
Area Contingency' Plans F-5
Federal Response Plan F-6
Communications Requirements Associated with a Release F-7
Oil Pollution Prevention and Response Program Financial Management F-9
Overview F-9
Budget Formulation F-9
Operating Plan Development F-9
Budget Execution F-9
February 19, 1996 vi
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OSWER Directive 9200.3-14-1B
Superfund Program Implementation Manual
Fiscal Year 1996 Supplement
Table of Contents
APPENDIX F (continued)
Oil Pollution Prevention and Response Program FY 96 Targets and Measures F-ll
Overview F-ll
Oil Pollution Prevention and Response Program Definitions F-13
Prevention/Preparedness Measures F-13
OIL-1 Spill Prevention, Control, and Countenheasure (SPCC) Inspections
and Plan Reviews F-13
OIL-2 Oil Facility Response Plans Reviewed and Approved . . . F-13
OIL-3 Area Contingency Plans F-14
OIL-4 Preparedness for Response Exercise Program (PREP) Area Drills'. F-14
Response Measures F-15
OIL-5 Oil Spill Notifications F-15
OIL-6 Oil Spill Investigations/Preliminary Assessments F-15
OIL-7 Oil Spill Cleanups F-16
OIL-8 Oil Spill PRP Monitoring/Directing F-16
Enforcement Measures F-16
OIL-9 Administrative Penalty Enforcement Actions for Spill Violations
and Prevention Regulation Violations . F-16
OIL-10 Judicial Penalty Enforcement Actions for Spill Violations and
Prevention Regulation Violations F-17
OIL-11 Orders for Removal Issued to a Responsible Party F-17
vii February 19, 1996
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OSWER Directive 9200.3-14-1B
Superfuiid Program Implementation Manual
Fiscal Year 1996 Supplement
List of Exhibits
PROGRAM GOALS AND PLANNING REQUIREMENTS
CHAPTER H
EXHIBIT II. 1 MAGNITUDE OF RISK REDUCTION (MORR) CALCULATION: GROUNDWATER
MEDIUM :..... II-16
EXHIBIT II.2 MAGNITUDE OF RISK REDUCTION (MORR) CALCULATION: SURFACE WATER
MEDIUM 11-16
CHAPTER 01
EXHIBIT III.l BUDGET TIMELINE III-4
EXHIBIT III.2 THE"ADVICE OF ALLOWANCE PROCESS 111-13
EXHIBIT III.3 CHANGE REQUEST REQUIRED 111-17
EXHIBIT III.4 AOA CHANGE PROCESS PROCEDURES 111-18
EXHIBIT III.5 SITE- VS. NON-SITE SPECIFIC PLANNED OBLIGATIONS 111-20
EXHIBIT III.6 BUDGET SOURCE CODES IH-21
EXHIBIT III.7 WHO PAYS FOR WHAT IH-21
EXHIBIT III.8 FINANCIAL MANAGEMENT CONTACTS 111-24
EXHIBIT III.9 FINANCIAL MANAGEMENT TOOLS AND SYSTEMS 111-25
EXHIBIT III.10 NEW ACCOUNT NUMBER STRUCTURE 111-26
EXHIBIT III. 11 REGIONAL FINANCIAL MANAGEMENT RESPONSIBILITIES 111-28
EXHIBIT III. 12 DESCRIPTION OF REGIONAL PROGRAM OFFICE FINANCIAL
MANAGEMENT STAFF IH-29
EXHIBIT HI. 13 RESPONSIBILITIES OF REGIONAL PROGRAM OFFICE FINANCIAL STAFF . . . 111-30
EXHIBIT III.14 FINANCIAL RESPONSIBILITIES OF HQ MANAGEMENT OFFICES IH-31
EXHIBIT III. 15 FINANCIAL MANAGEMENT AND FUNDING PROCESSES HI-32
EXHIBIT III. 16 HANDLING FINANCIAL DATA IN THE CERCLIS ENVIRONMENT 111-34
EXHIBIT III. 17 EPA FORMS COMMONLY USED FOR SUPERFUND PROCUREMENTS HI-35
EXHIBIT HI. 18 FINANCIAL MANAGEMENT OF SITE-SPECIFIC CONTRACTS HI-36
February 19, 1996 viii
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OSWER Directive 9200.3-14-1B
Superfund Program Implementation Manual
Fiscal Year 1996 Supplement
List of Exhibits
CHAPTER ffl (continued)
EXHIBIT III. 19 FINANCIAL MANAGEMENT OF NON-SITE SPECIFIC CONTRACTS 111-37
EXHIBIT III.20 DISBURSEMENT IAG FINANCIAL MANAGEMENT . :............ 111-39
EXHIBIT III.21 ALLOCATION TRANSFER IAG FINANCIAL MANAGEMENT . 111-40
EXHIBIT 111.22 COOPERATIVE AGREEMENT FINANCIAL MANAGEMENT 111-41
EXHIBIT III.23 SSC FINANCIAL MANAGEMENT 111-43
EXHIBIT III.24 COST RECOVERY REFERRAL DEVELOPMENT PROCESS 111-44
EXHIBIT 111.25 CORRECTIONS TO FINANCIAL INFORMATION 111-45
PROGRAM IMPLEMENTATION PROCEDURES
APPENDIX A
EXHIBIT A.I SITE SCREENING AND ASSESSMENT/REGIONAL DECISION ACTIVITIES A-3
EXHIBIT A.2 SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING
REQUIREMENTS A-28
APPENDIX B
EXHIBIT B.I EARLY AND LONG-TERM ACTION ACTIVITIES B-3
EXHIBIT B.2 LONG-TERM ACTION FLOW CHART B-30
EXHIBITS.3 EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS B-31
APPENDIX C
EXHIBIT C.I ENFORCEMENT ACTIVITIES C-2
EXHIBIT C.2 ENFORCEMENT PLANNING REQUIREMENTS C-25
APPENDIX F
EXHIBIT F.I RELATIONSHIP OF OIL POLLUTION PREVENTION AND
RESPONSE PROGRAM PLANS F-6
EXHIBIT F.2 OIL POLLUTION PREVENTION AND RESPONSE PROGRAM ACTIVITIES F-ll
EXHIBIT F.3 FY 95 - FY 96 OIL MEASURE CROSSWALK '. . . F-12
ix February 19, 1996
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OSWER Directive 9200.3-14-1B
Manager's Schedule of Significant Events
February 19, 1996
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OSWER Directive 9200.3-14-1B
MANAGERS SCHEDULE OF SIGNIFICANT EVENTS
OCTOBER 1995 QUARTER 1 (FY 96)
4* The A As and OC approve the first quarter AOA
6 HQ pulls 4th Quarter FY 95 accomplishment data from CERCLIS and provides for:
. 1) Special program reports; and . . ' /.
2) Initial FY 95 end-of-year assessment
23 HQ pulls 4th quarter FY 95 accomplishment data from CERCLIS for review of end of year
accomplishments
NOVEMBER 1995
1 Enforcement extramural budget carryover calculated
15 OMB passback of FY 97 budget request
DECEMBER 1995
7 HQ pulls CERCLIS data for second quarter AOA
7 HQ pulls accomplishment data on key indicators from CERCLIS
15 HQ appeal of the OMB FY 97 budget passback
22 HQ submits second quarter AOA request to AAs and places it in CERHELP
29 Regions input AOA to IFMS
JANUARY 1996 QUARTER 2 (FY 96)
4 The AAs and OC approve the second quarter AOA
8 HQ pulls accomplishments data from CERCLIS and provides for special reports
12 HQ submits FY 97 budget request to the President
26 Regions submit Fund mega-site Management Plans for FY 97 to the appropriate Regional
Center
Dependent on approval of Final appropriations.
February 19, 1996
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OSWER Directive 9200.3-14-1B
FEBRUARY 1996
5-9 HQ/Regional Superfund Program Management Meeting
7 HQ pulls national Environmental Indicators (El) data from CERCLIS
7 HQ pulls accomplishment data on key indicators from CERCLIS
16 HQ prepares El questions and answers to send; to the Regions
MARCH 1996
7 HQ pulls data from CERCLIS for enforcement extramural budget and third quarter AOA
7 HQ pulls accomplishment data on key indicators from CERCLIS
22 HQ submits third quarter AOA request to the AAs and places it on CERHELP
29 Regions input AOA to IFMS
29 Regional response to HQ El questions and answers
APRIL 1996 QUARTER 3 (FY 96)
3 The AAs and OC approve the third quarter AOA
5 HQ pulls accomplishment data from CERCLIS and provides for:
1) Special program reports; and
2) Mid-Year performance evaluation
26 HQ distributes FY 95 El analysis to HQ/Regional managers
26 HQ prepares preliminary Regional FY 97 operating plan based on past three years
obligating/tasking averages
MAY 1996
7 HQ analysis of Regional pipeline
7 HQ allocates 90 percent of FY 97 budget to Regions
7 HQ pulls accomplishment data on key indicators from CERCLIS
10 Regional NPL site facts sheets updated in NPL-Production Assistance Database (PAD)
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OSWEk Directive 9200.3-14-1B
13 HQ program offices characterize and submit their FY 97 program initiatives
30 HQ program offices meet with the Administrator to review FY 97 program goals
JUNE 1996
3-28 Regions generate their plans for FY 97 by updating schedules and financial information in
WasteLAN and uploading to CERCLIS
7 HQ pulls planning information from CERCLIS:'
1) for fourth quarter AOA; and
2) to support FY 97 and FY 98 budget request
7 HQ pulls accomplishment data on key indicators from CERCLIS
7 HQ pulls financial data for analysis of Regional obligation/commitment rate
10 HQ presents FY 97 Superfund goals and priorities and FY 98 investments to the Administrator
and Regional Administrator
14 Administrator and OC provide HQ program offices and Regions with policy for FY 98 budget
formulation
21 HQ submits fourth quarter AOA request to the AAs and places it in CERHELP
28 Regions submit enforcement mega-site management plans to the Office of Site Remediation
Enforcement (OSRE)
28 Regions input AOA to IFMS
JULY 1996 QUARTER 4 (FY 96)
3 The AAs and OC approve the fourth quarter AOA
8 HQ pulls 3rd Quarter FY 96 accomplishments data from CERCLIS and provides for special
program reports
8 HQ submits FY 98 Superfund investment summaries to the Administrator and Budget to OC
8 HQ pulls data from CERCLIS to review and analyze:
1) SCAP and pipeline workload and FY 97 budget request;
2) Past Regional accomplishments and planned durations/dollars; and
3) Regional request for 10 percent FY 97 budget reserve
15-19 HQ program offices and lead Regions make presentation to Administrator/ Deputy
Administrator on FY 98 program priorities
February 19, 1996 xjj
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OSWER Directive 9200.3-14-1B
22-26 Regional conference calls on HQ analyses
31 Administrator passback of FY 98 budget request
AUGUST 1996
1-16 HQ develops FY 98 budget for submission to the Office of Management and Budget (OMB)
7 HQ pulls accomplishment data on key indicators from CERCLIS
7 HQ pulls CERCLIS data to assist in preparation of the FY 98 budget
12-23 HQ/Regions conduct negotiations on the final FY 97 SCAP targets and measures and budget
30 HQ develops strategy for presenting the FY 98 budget to OMB
30 HQ sends memorandum to Regions on final budgets and targets and measures
SEPTEMBER 1996
6 HQ submits FY 98 budget to OMB
9 Regions revise CERCLIS to reflect final negotiated budgets and targets and measures
9 HQ pulls data from CERCLIS for first quarter FY 97 AOA
9 HQ pulls accomplishments data on key indicators from CERCLIS
16 HQ performs final FY 97 Full Time Equivalent (FTE) distribution
20 HQ submits FY 97 first quarter AOA request to the AAs and places it in CERHELP
27* Regions input AOA to IFMS
* Dependent on approval of final appropriations.
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OSWER Directive 9200.3-14-1B
OCTOBER 1996 QUARTER 1 (FY 97)
3* The A As and OC approve the first quarter AOA
7 HQ pulls 4th quarter FY 96 accomplishment data from CERCLIS and provides for:
1) Special program reports; and
2) Initial FY 96 end-of-year assessment
21 HQ pulls 4th quarter FY 96 accomplishment data from CERCLIS for review of end of year
accomplishments
NOVEMBER 1996
1 Enforcement extramural budget carryover calculated
20 OMB passback of FY 98 budget request
DECEMBER 1996
6 HQ pulls CERCLIS data for second quarter AOA
6 HQ pulls accomplishment data on key indicators from CERCLIS
13 HQ appeal of the OMB FY 98 budget passback
20 HQ submits second quarter AOA request to AAs and places it in CERHELP
27 Regions input AOA to IFMS
Dependent on approval of final appropriations.
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OSWER Directive 9200.3-14-1B
Program Goals and Planning Requirements
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OSWER Directive 9200.3-14-1B
Chapter I: Program Goals and Priorities
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OSWER Directive 9200.3-14-1B
CHAPTER -1 PROGRAM GOALS AND PRIORITIES
FY 96 PROGRAM MANAGEMENT GUIDANCE
This document transmits Superfund's program management guidance for Fiscal Year (FY) 1996. In past fiscal
years the Program Management Manual provided lengthy and in-depth programmatic guidance on Superfund
implementation. Due to the uncertainties that exist because of reauthorization and the budget, this year's guidance
has been distilled to address only those areas where programmatic changes have occurred.
The top Superfund program goal continues to be protection of human health and the environment. In FY 1996,
Superfund will continue to realize its primary goal while implementing new "common sense" administrative reforms.
These new reforms will build on Administrator Browner's efforts to make the program faster, fairer and more
efficient by assisting state and local governments, communities and industries in three ways: 1) make cost-effective
cleanup choices that protect public health and the environment; 2) reduce litigation so that efforts are focused on
cleanup and not on legal conflict; and 3) enhance community involvement and awareness to ensure that communities
support and shape cleanup decisions.
In the realm of cost-effectiveness, the administrative reforms promote smarter cleanup choices that protect public
health at less cost. The reforms achieve cost-effectiveness by establishing a board to review the cost of expensive
remedies relative to the benefits achieved by cleanup. Other means of promoting cost-effectiveness include the
updating of remedy decisions, clarifying the role of cost throughout the remedy development process and clarifying
information regarding remedy selection decisions. Revamping risk assessments by instituting a new role for
stakeholders and ensuring reasonableness and consistency in the risk assessment process also are ways in which the
administrative reforms promote cost-effectiveness.
The common sense reforms achieve speed, equity, and efficiency by reducing litigation. In seeking to achieve
common ground instead of conflict, the reforms increase fairness in the enforcement process and reduce transaction
costs. Greater fairness will arise through compensation of settlors for a portion of orphan shares, dedicating
settlement funds to specific sites, and issuing cleanup orders to parties in an equitable fashion. The reduction of
transaction costs will be sought by increasing the number of protected small contributors, adopting allocations
proposed by parties at a site, and reducing oversight for cooperative parties.
Reform to community involvement requirements ensure that States and communities stay more informed and
involved in cleanup decisions. Greater roles for stakeholders through the shifting of the remedy selection process
to selected states, and the piloting of new community-based remedy selection processes ensure enhanced community
involvement.
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Chapter II: Program Planning and Reporting Requirements
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OSWER Directive 9200.3-14-1B
CHAPTER II - PROGRAM PLANNING AND REPORTING REQUIREMENTS
INTRODUCTION
The Office of Emergency and Remedial Response (OERR), Office of Site Remediation and Enforcement
(OSRE), and the Federal Facilities Restoration and Reuse Office (FFRRO) are responsible for program planning
and reporting requirements. The Superfund Comprehensive Accomplishments Plan (SCAP) is the mechanism used
by the Superfund program to plan, budget, track, and evaluate progress toward site cleanup. The primary tenets
of this traditional SCAP process serve as the foundation upon which changes in the direction (e.g., Administrative
Reforms) and the parameters (i.e., a potential $1 billion budget) within which the program operates, and will operate
in the future, will be reflected.
In October 1995, the Administrator announced in the Administrative Reforms that the Government Performance
and Results Act (GPRA) and the Superfund Measures of Success program evaluation initiatives would spearhead
future Superfund program planning. GPRA, which was enacted in 1993, mandates Federal government
accountability to the American taxpayers and improved internal management within Federal agencies by the end of
the Fiscal Year (FY) 97. The Agency has proposed the Superfund program as an FY 96 performance management
pilot. Further information on GPRA is provided in this Chapter. In addition, the Superfund Measures of Success
consider the revision of existing, or development of new, program targets/measures as a tool to better communicate
program progress and success to internal and external offices.
Accomplishment information on these initiatives will be collected using existing SCAP data or data that are
readily available and have not been collected previously to minimize the burden on the Regions. There are no new
Regional reporting requirements as a result of the implementation of GPRA or the Superfund Measures of
Success. Regions will continue to report site progress via WasteLAN and Comprehensive Environmental Response,
Compensation, and Liability Information System (CERCLIS). OERR, OSRE, and FFRRO will prepare program
management results twice yearly, at mid-year and end-of-year, respectively. The Agency-wide Strategic Targeted
Activities for Results System (STARS) no longer exists and does not impose reporting requirements.
Due to budget difficulties in FY 96, Headquarters (HQ) did not negotiate numerical targets with the Regions
prior to the start of the FY. As a result, Regional resources [funds and Full-Time Equivalents (FTE)] are not tied
to final targets and measures, as they have been in prior years. A national project prioritization process to rank new
Remedial Action (RA) and removal projects based on risk to human health and the environment was included in
the Administrative Reforms. These projects will be funded as resources permit, based on their ranking. Also, in
support of the Agency goal of completing construction at 650 National Priorities List (NPL) sites by the year 2000,
each Region submitted a list of the sites that they proposed to meet the incremental FY 96 national goal of 65 sites.
OERR continues to support this goal by focusing resources on Remedial Design (RD) and RA completions. Though
an existing SCAP measure, construction completions also contribute to the GPRA and Administrative .Reform goals
of increasing the potential for economic redevelopment and risk reduction.
GPRA
Superfund's program planning and reporting requirements have evolved and matured from intricate, internally
focused measures, to aligning and measuring resources with activities, and reporting the environmental outcomes
of the work undertaken at hazardous waste sites. The National .Goals Project of 2005 and the Chief Financial
Officers (CFO) Act are legislative and administrative initiatives that have guided the evolution of Superfund program
management by gradually shifting the focus from administrative program success to a results-oriented future (e.g.,
Superfund environmental indicators) in which the program is held accountable for its actions. These various
initiatives will be the starting point for finalizing the Congressionally-mandated GPRA, which provides the
overarching principles for Superfund program management now and in future years.
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OSWER Directive 9200.3-14-IB
GPRA is a first step in reinventing the Federal government's accountability for Federal government activity and
expenditures. GPRA will hold Federal agencies accountable to external and internal audiences, i.e., taxpayers and
agencies themselves, by inextricably intertwining goals, activities, and resources. Its specific legislative intents are
to:
Improve public confidence in Federal agency performance by holding agencies accountable for their results;
Initiate program performance reform with a series of pilot projects in setting program goals, measuring program
performance against those goals, and reporting on progress;
. Improve Federal program effectiveness and public accountability by focusing on results, service quality, and
customer satisfaction; .
Improve Congressional decision-making by clarifying and stating performance expectations up front; and
Improve internal management of the Federal government.
Major legislative provisions include strategic plans, performance plans, performance reports, and managerial
accountability and flexibility. Federal agencies will prepare a strategic plan with a mission statement, goals and
objectives, key external factors, and program evaluations. Annual performance plans and reports encompass
performance goals and indicators (i.e., what activities will be measured, how they will be measured and the results),
commensurate resources, and a comparative analysis. In these reports, agencies will also review success in
achieving goals arid explain why goals were not met. Several government agencies are conducting pilot projects
for performance measurement, managerial accountability and flexibility, and performance budgeting. GPRA will
be implemented government-wide by the end of FY 1997.
EPA has recommended the Superfund response program as a GPRA performance measurement pilot in
FY 96. This section provides a brief overview of the Superfund GPRA pilot proposal, which amalgamates the
SCAP targets and measures framework, resources, Superfund environmental indicators, and information from the
National Goals project. The pilot does not substantially change what the program has traditionally reported
as progress; rather it enhances our progress reporting to communicate our success better.
The Superfund GPRA pilot project performance plan entails the following four performance goals and strategies:
Screen and Access Sites - EPA's goal is to promptly assess sites and make sound decisions about any needed
response action. The activities that will be tracked towards this goal are the number of:
Sites where a "No Further Remedial Action Planned" (NFRAP) decision was made;
Action Memoranda;
Expanded Site Inspection/Remedial Investigation (ESI/RI), Remedial Investigation/Feasibility Study
(RI/FS), and. Engineering Evaluation/Cost Analysis (EE/CA) projects;, and
Records of Decisions (RODs).
Early and Long-Term Action Completions - The program's goal is to address the worst risks first at Superfund
sites and achieve the response goals established in RODs and Action Memos. The activities that will be tracked
toward this goal are:
Number of NPL and non-NPL removal completions and population protection measures;
Other current Environmental Indicator measures including Non-Time Critical (NTC) goal attainment;
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Number of NPL site RA completions and volumes of waste handled or treated, population protection
measures, and media goals achieved;
Risk reduction case studies showing risk levels of contaminants before and after remediation; and
Time from response decision to completion of early/long-term action.
A related goal is the restoration of contaminated sites.
Complete Construction at NPL Sites - The Agency has established a goal of reaching 650 construction
completions by the year 200 at Federal and non-Federal Facility sites, m addition, project completions
contribute to the potential for economic redevelopment of the surrounding area. The activities that will be
tracked are: . -
Number of construction completions the and achievement of permanent cleanup goals; and
Methods of protection and risk reduction.
A related goal is the restoration of contaminated sites.
Conduct Outreach and Provide Assistance to Foster Increased State, Tribal, and Community Involvement
in Superfund - The goals of the program's environmental justice and community involvement and outreach
efforts are to 1) address concerns pertaining to the societal equity of responses at Superfund sites and; 2)
enhance the community's access and input to site information. The activities that will be tracked toward this
goal are:
Number and value of Technical Assistance Grants (TAGs) awarded;
Community advisory groups established;
Number and value of Core Cooperative Agreements (CAs);
State/tribal involvement; and
State-lead CAs.
OERR has established national GPRA goals based on historical performance and performance expectations
within a limited budget. No individual targets were negotiated with the Regions and, as stated earlier in this
chapter, there are no additional Regional GPRA reporting requirements. As in the past, Regional entry of quality
data on the progress of site cleanup into WasteLAN/CERCLIS will directly support successful GPRA pilot
implementation. Also, the need for accurate and up-to-date environmental indicators information cannot be over
emphasized. These data points will be the foundation of all future Superfund accomplishment reporting. Regions
will compile data on completed NPL and non-NPL removals as well as completed and ongoing remedial actions.
OERR will emphasize NPL sites with construction completion.
Please refer to Attachment 1 at the end of this chapter for the official pilot GPRA performance project plan that
contains specific details.
ARCHIVING CERCLIS SITES
As pan of the Agency's Brownfields initiative on economic redevelopment, EPA is archiving from CERCLIS
those sites at which EPA has determined that no further Federal Superfund action is warranted, based on current
information. The following guidelines are intended to assist EPA Regions in completing the new site level archive
fields recently added to WasteLAN.
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OSWER Directive 9200.3-14-1B
On January 25, 1995, the EPA Administrator announced the removal of approximately 25,000 sites from the
Superfund inventory as part of the Brownfields initiative. In addition, on January 25, 1996, another 3,000 sites
were archived. These figures were derived by identifying the number of CERCLIS sites where the last site
assessment event had a No Further Remedial Action Planned (NFRAP) decision and at which no removal events
were recorded. Additional criteria used to identify these sites for removal from the CERCLIS inventory are
provided in the following sections.
On February 15, 1995, OERR implemented two new site level archive fields in CERCLIS to distinguish archive
sites (sites with no further Superfund interest) from active sites (sites with Superfund involvement that now constitute
the Superfund inventory). The two new fields are: 1) NFRAP Indic(ator) [C145]; and 2) NFRAP Date [C146].
Due to the short time frame provided for this effort and .the high volume of sites, HQ automatically assigned values
to these fields primarily based on site assessment NFRAP criteria and Regional feedback on selected sites. These
fields were updated in the March 7, 1995, CERCLIS database using the same criteria.
A WasteLAN revision containing the new site level archive fields was made available on March 15, 1995,
providing the Regions with the capability to update and modify this archive information. HQ will no longer
directly update the archive fields. This is now the responsibility of the Regions.
Please note that EPA will still retain access to archived site information for historical record-keeping purposes
and to avoid needlessly repeating evaluations at sites. OERR is currently reviewing additional categories of sites
that may be appropriate for archiving.
Clarification of Terms
Some confusion has arisen over the dual use of the acronym "NFRAP". The NFRAP acronym has historically
been used by the HQ and Regional site assessment personnel at the conclusion of site assessment activities (e.g.,
Preliminary Assessment (PA), Site Inspection (SI)) to denote that No Further Remedial Action is planned at a
CERCLIS site. This information is recorded in CERCLIS by placing a value of 'N' in the Event Qualifier field
(C2103) for the appropriate site assessment event. Using the NFRAP qualifier in this way, the decision to NFRAP
a site has never required the Regions to consider whether removal actions, cost recovery, or other non-remedial
work is being performed under Superfund; it has been used exclusively to screen sites from further site assessment
activities.
The National Contingency Plan (NCP) references NFRAP in several places, but describes the acronym as No
Further Response Action Planned and states that no further Superfund Interest, of any kind, is warranted. The
NFRAP Indicator fields recently added to the site level WasteLAN screens represent a NFRAP decision as
described in thp NCP. Sites with a site level NFRAP ind'cator (C145) of 'NFA' will b^ physical1-' removed
.(archived) from the active CERCLIS database in the near future. These site should not have any further Superfund
interest based on currently available information.
To avoid further confusion in nomenclature, EPA plans to amend the NCP to replace the NFRAP acronym with
the term "Archive". Archive will indicate that no further Federal steps under the Comprehensive Environmental
Response, Compensation, and Liability Act of 1980 (CERCLA) will be taken at a site unless future information so
warrants (i.e., no further Federal Superfund interest based on currently available information). The
WasteLAN/CERCLIS "NFRAP Indicator" field will soon be renamed to "Archive Indicator" to help alleviate
confusion over the NFRAP acronym. The "Archive" term is used throughout the remainder of this chapter to
clarify "Archive" versus "NFRAP" issues.
The "NFRAP" acronym will continue to be used as a decision reached at the conclusion of a site assessment
event to indicate "No Further Remedial Action Planned" (i.e., no further site assessment work planned, NPL listing
is not appropriate).
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For consistency, certain commonly used terms are defined below for purposes of this document:
Event Level Field: The event level in CERCLIS/WasteLAN refers to the individual Superfund remedial and
removal events (e.g., PA, SI, RA) along with the decisions that have been recorded at the conclusion of these
events (e.g., higher priority, lower priority, no further remedial action planned, deferred to Resource
Conservation and Recovery Act (RCRA) Subtitle C or National Response Center (NRC). A Site Inspection
prioritization (SIP) is a subevent to an SI, but is treated as an event since the decision reached at the conclusion
of a SIP is recorded at the related Site Inspection event.
Site Level Field: The site level in WasteLAN/CERCLIS applies to a site in its entirety (e.g., site ID, name,
and location). . .
Site Assessment: Site assessment refers to the Federal Superfund remedial assessment events (e.g., PA, SI,
SIP) and does not include removal events or enforcement actions.
Archive Field Descriptions
The Archive Indicator (currently labeled NFRAP Indicator in WasteLAN/CERCLIS, CHS) is an alphanumeric
field that contains the letters 'NFA' or is blank. An NFA value in this field designates the site as an archive site.
An Archive Indicator with a blank value (i.e.,' ') indicates that site is still in the Superfund inventory. The Archive
Date (currently labeled NFRAP Date in WasteLAN/CERCLIS, C146) is a date field that should contain either: 1)
the actual completion date of the site assessment event, removal event, or enforcement activity that signals the
completion of Superfund interest/involvement at a site; or 2) in cases where EPA interest/involvement concluded
prior to the establishment of the Archive Indicator and Archive Date fields, the date that WasteLAN/CERCLIS is
updated.
The archive fields are related to each other. The Archive Date field must be completed if the Archive Indicator
contains "NFA" and vice-versa. Both fields require manual entry; they are not system generated. Values for both
fields must be blank for sites in the Superfund inventory.
Archive Guidelines
As indicated above, HQ conservatively assigned an archive status to sites based on information readily available
in CERCLIS. Regional expertise, along with State input, is required to confirm currently archived sites and to
designate additional archive sites. The following guidelines are intended to assist the Regions in making additional
archive determinations:
Sites With Site Assessment Events Only and NFRAP Decisions
Sites with NFRAP decisions made at the conclusion of the last site assessment event and that do not have a
removal event or other Superfund interest should be designated as an archive site.
Site Assessment Sites With NFRAP Decisions and Removal/Other Events
Sites with NFRAP decisions made at the conclusion of the last site assessment event that also have a removal
or other event need to be researched to determine whether further Superfund interest is warranted. If all
enforcement actions corresponding with removal events are completed and no other Superfund involvement is
anticipated, the site should be designated as archived.
Sites Deferred to RCRA .
In general, sites deferred to the RCRA Subtitle C program based on the last completed site assessment event
(C2103 =D), and that do not have other Superfund interest, are candidates for archival. The NPL/RCRA
policy, as discussed in Federal Register notices 57 FR 23978 (June 24, 1988), 54 FR 10520 (March 13, 1989),
and 54 FR 41000 (October 4, 1989), provides that Superfund generally will address RCRA facilities only if the
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OSWER Directive 9200.3-14-1B
owner/operator is found co be unable or unwilimg to perform RCRA Corrective Action at the facility, or meets
certain other defined conditions (primarily non- or late-filer, pre-Hazardous and Solid Waste Amendments
(HSWA) permittees who will not modify the permit to include Corrective Action, or converter status). An
exception to the NPL/RCRA policy involved the Environmental Priorities Initiative (EPI). EPI, which ended
in FY 92, was developed to use Supeifuuo resources and expertise to assess certain RCRA facilities, storage
and treatment facilities, and closed and closing incinerators. The intent of EPI was to assist RCRA in its
prioritization of the sites that it needed to address under Corrective Action.
The NPL/RCRA policy should be followed when determining which sites to evaluate under Superfund for
potential NPL listing and which sites to defer to RCRA Subtitle C. The Regional Superfund and RCRA
programs should work together when making this determination. As stated in the policy, deferral of sites to
RCRA does not apply to Federal Facility sites.
In general, sites that meet the criteria for Superfund evaluation but that are not viable NPL candidates (i.e.,
would not score 28.5 or above) should have NFRAP decisions (C2103 =N) recorded at the appropriate site
assessment event (C2103 = N), and should be archived using the new site level archive fields (C145 =NFA)
if no further Superfund interest currently exists. Sites that will be addressed under RCRA should have deferred
decisions (C2103 =D) recorded at the appropriate site assessment event and should also be archived (CHS
=NFA). By definition, no further Superfund interest should exist at these sites.
Sites currently coded in CERCLIS as "Deferred to RCRA Subtitle C" (C2103 = D) that, after further review,
are appropriate for further Superfund evaluation should remain in the Superfund inventory. Therefore, the
"deferred" event qualifier (C2103) should be changed accordingly in WasteLAN/CERCLIS. Prior to
reactivating or entering any new RCRA facilities into CERCLIS, the RCRA Program should ensure these
facilities meet the specific criteria that would warrant NPL consideration under the NPL/RCRA listing policy.
Sites eligible for Superfund consideration may still be archive candidates based on other criteria described in
this section. Any changes to site priorities should be justified with a note of explanation in the site file.
Sites Deferred to NRC
Sites where the last site assessment decision made was deferral to NRC and where no further Superfund interest
exists are also archival candidates. The Superfund policy for NRC deferral grants EPA discretion in
transferring responsibility of NRC licensed facilities to NRC. This decision is made in circumstances where
the EPA deems that the NRC's cleanup expertise warrants the transfer of responsibility. This policy is
discussed in more detail in Federal Register notice 48 FR 40661 (September 8, 1983).
Sites Remov"1 From Proposed or Final NPL
Sites removed from the Proposed or Final NPL that will not be rescored for reproposal to the NPL, and which
do not have any further Superfund interest, should be designated as archived sites.
PARTIAL DELETION OF NPL SITES
On November 1, 1995, EPA revised its policy on deleting sites listed on the NPL. With State concurrence,
EPA may delete sites from the NPL when it determines that no further Superfund response is appropriate. In
making that decision, the following issues are typically considered:
Whether responsible or other parties have implemented all appropriate and required response actions;
Whether all appropriate Fund-financed responses have been implemented and EPA has determined that no
further cleanup by responsible parties is appropriate; or
Whether the release of hazardous substances poses no significant threat to the public health, welfare or the
environment, thereby eliminating the need for remedial action.
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OSWER Directive 9200.3-14-1B
To date, Agency policy has been to delete releases only after evaluation of the entire site. However, deletion
of entire sites does not communicate the successful cleanup of portions of those sites. Total site cleanup may take
years, while portions of the site may have been cleaned up and may be available for productive use. Some
potential investors or developers may be reluctant to undertake economic activity at even a "cleaned up" portion
of real property that is part of a site listed on the NPL. A portion of the site may be a defined geographic unit of
the site, perhaps as small as a residential unit, or may be a specific medium at the site, e.g., groundwater,
depending on the nature or extent of the release(s).
Therefore, EPA will delete portions of sites, as appropriate, and will consider petitions to do so. Petitions may
be submitted by any person, including individuals, business entities, States, local governments, and other Federal
agencies. Partial deletion will also be governed by 40 CFR 300.425(e).- Therefore, State concurrence will continue
to be a requirement for any partial deletion.
The primary purpose of the NPL is to serve as an informational and management tool. Whether property is
part of an NPL site is unrelated to CERCLA liability because neither NPL listing nor deletion assigns liability to
any party or to the owner of any specific property. Liability under CERCLA is determined by CERCLA Section
107, which makes no reference to NPL listing or deletion. Listing or deleting a site from the NPL does not create
CERCLA liability where it would not otherwise exist. As with entire sites, deleted portions of sites remain eligible
for further Fund-financed remedial actions should future conditions warrant such action. Whenever there is a
significant release from a site or portion of a site deleted from the NPL, the site or portion may be restored to the
NPL without application of the Hazard Ranking System. Guidance on how to report partial deletions in
WasteLAN/CERCLIS will be forthcoming.
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ATTACHMENT 1
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY SUPERFUND
PROGRAM PILOT PROJECT PERFORMANCE PLAN FOR FY 1996
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY SUPERFUND
PROGRAM PILOT PROJECT PERFORMANCE PLAN FOR FY 1996
INTRODUCTION
The EPA has proposed the Superfund program as an FY 1996 performance pilot under GPRA. This pilot
performance plan is submitted in accordance with the Office of Management and Budget (OMB) memorandum M-
92-32 for designated pilots under P.L. 103-62. .The pilot covers the period October 1, 1995 to September 30, 1996.
SUPERFUND PROGRAM DESCRIPTION
The Superfund program is administered under the CERCLA, as amended by the Superfund Amendments and
Reauthorization Act (SARA) of 1991. The program is primarily managed by the Office of Solid Waste and
Emergency Response (OSWER).
CERCLA (Superfund) was enacted on December 11, 1980 to address public health and environmental threats
from spills of hazardous materials and from sites contaminated with hazardous substances. The Superfund law
established a comprehensive program to identify and clean up these spills and sites. EPA was authorized to use a
trust fund (the Hazardous Substance Superfund) to pay for this work and to pursue recovery of expenditures from
panics potentially responsible for the contamination.
The focus of the Superfund program is to maximize the protection of human health and the environment through
fast and effective cleanup of priority hazardous waste sites and releases.
PERFORMANCE GOALS AND STRATEGIES
I. Screen and Assess Sites
. EPA's goal for the front-end of the program is to promptly assess sites and make sound decisions about any
needed response action. For the majority of sites raised to EPA's attention (the CERCLIS Inventory), EPA and/or
the State assesses the site and determines that No Further Remedial Action is Planned. A minority of sites are found
to pose emergency or time-critical threats to human health and an appropriate Early Action response is conducted.
Others are found to pose potential risks and require more in-depth studies (ESI/RI, EE/CA, or RI/FS). Upon
completing these studies, EPA documents the need for a response, the alternative responses considered, and the
response decision in a Record of Decision (ROD) or Action Memorandum.
A main thrust of the Superfund program in 1996 is to continue streamlining the cleanup process through the
application of the Superfund Accelerated Cleanup Model (SACM) in conjunction with remedy reform measures.
The SACM approach involves a continuous process for assessing site-specific conditions and the need for action
using cross-program response planning. A key aspect of SACM is to increase the use of Early Action responses
for contamination problems that can be effectively addressed without the traditional remedial process. The activities
that will be tracked towards this goal are the number of:
NFRAP Sites
Action Memos
ESI/RIs, RI/FSs, EE/CAs (combined)
RODs
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OSWER Directive 9200.3-14-1B
II. Early and/or Long Term Action Completions
Once the appropriate response action is determined at non-Federal Facility sites, EPA either reaches agreement
with the Potentially Responsible Parties (PRPs) to implement the remedy or conducts a Fund-financed response.
It is through the construction of early and long-term response action projects that risks to human health and the
environment are reduced. The program's goal is to address the worst risks first at Superfund sites and achieve the
response goals established in RODs and Action Memos.
The Agency will continue to streamline long-term cleanup for media restoration activities through remedy
reform initiatives such as establishing cleanup standards, developing risk protocols, and implementing presumptive
remedies. By streamlining the cleanup process, sites will be ready, for use sooner, promoting the economic
redevelopment of the restored land. The activities that will be tracked towards this goal are:
Number of Removal Completions (NPL/non-NPL)
Population Protection Measures (population protection, permanent/temporary; alternate water supply,
permanent/temporary;site security measures)
Other Current Environmental Indicators (El) Measures
NTC Goal Attainment
Number of NPL Site Remedial Actions Complete
Volumes Handled or Treated
Population Protection Measures
Media Goals Achieved (Soil, Groundwater, Surface water)
Risk Reduction
Case studies will be performed on various sites showing risk levels of contaminants before and after
remediation. These case studies will be the basis for the development of more complete risk reduction
measures. Draft will be submitted separately.
Time from response Decision to Completion of Early /Long-Term Action
Related Goal: Restoration of Contaminated Sites - Benchmark 2
By 2005, Superfund activities will be completed at 80% of the approximately 5,000 abandoned waste sites that
currently are under assessment or listed on the NPL.
III. Complete Construction at NPL Sites
To ensure sites are continuing through the remedial pipeline through completion and eventual deletion from the
NPL, the Agency has established a goal of reaching 650 construction completions by the year 2000 at Federal and
non-Federal Facility sites. The program is continuing to support this goal through RD and RA funding for sites
scheduled for completion in this time frame. Remedy reform initiatives will enhance our ability to reach the 650
goal. In addition, project completions contribute to the potential for economic redevelopment of the surrounding
area. The activities that will be tracked towards this goal are:
Number of Construction Completions
Achieving Permanent Cleanup Goals
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OSWER Directive 9200.3-14-1B
Methods of Protection and Risk Reduction
Related Goal: Restoration of Contaminated Sites - Benchmark 1
By 2005, 70% of the abandoned hazardous waste sites currently on the NPL will be cleaned up.
IV. Conduct Outreach and Provide Assistance to Foster Increased State, Tribal, and Community
Involvement in Superfund
The goals of the program's environmental justice and community involvement and outreach efforts are to
address concerns pertaining to the societal equity of responses at Superfund sites and enhancement of community's
access and input to site information. The Agency will enhance information access and outreach, increasing
communities' understanding of site response plans and actions. The communities then will have the additional
information needed to take an active and informed role in the remediation process. EPA will put increased emphasis
on using existing TAG authorities to assist the affected communities. These grants will provide communities the
means to hire technical experts to assist in their understanding of issues related to the site cleanup. As the citizens
increase their understanding and involvement in site cleanup, they are able to play an active role in the economic
redevelopment of their communities. The activities that will be tracked toward this goal are:
Number and Value of TAGs Awarded
Community Advisory Groups Established
Number and Value of Core Co-op Agreement
State, Tribal Involvement
State Lead Co-op
Additional information on how these activities will be reported will be forthcoming.
MEANS USED TO VERIFY AND VALIDATE MEASURED VALUES
All Regions currently report site accomplishment information into WasteLAN. The information from
WasteLAN is then uploaded to the Superfund CERCLIS database. CERCLIS is the official database used by EPA
to help track and store national site information. SCAP reports are currently the official reports used to extract
program measures from CERCLIS.
OPERATIONAL PROCESSES, SKILLS AND TECHNOLOGY REQUIRED TO MEET
PROGRAM PERFORMANCE GOALS
Cleaning up a Superfund site is a complex, multi-stage and multi-year process. The average site takes seven
to ten years from discovery to start of cleanup. Prior to being placed on the NPL, EPA conducts a preliminary
assessment of the site. Where warranted, this is followed by a site investigation. While EPA continues to pursue
ways to expedite site cleanups, the work on complex sites can stretch into decades, especially when groundwater
must be treated. EPA also conducts removal actions at non-NPL sites, which are short-term, sometimes emergency
actions, to eliminate immediate threats of exposure to contamination.
Once a site is listed on the NPL, EPA works with the community around the site to plan the long-term cleanup
with a detailed study of the site and an evaluation of cleanup options. The planning process can take up to four
years with an average cost of $1.35 million per site.
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The actual cleanup (construction) work itself at non-Federal Facilities average $22 million per site. Because
of the high cost and limited Superfund resources, EPA's enforcement program emphasizes compelling PRPs to
conduct the cleanup actions. PRPs currently fund over 76 percent of NPL sites.
While Superfund responsibilities cannot be delegated, at some sites the State, local government, o. Indian Tribe
take the lead in managing the site cleanup. At other sites, the State or local agency cooperates with EPA on
handling a site cleanup.
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OSWER Directive 9200.3-14-1B
ADDENDUM
Performance Indicators - Risk Reduction
EPA developed its health-related risk assessment tool to characterize the current and future cancer risks and non-
cancer hazards posed by exposure to site contamination. The assessment calculates risk by combining estimates of
exposure to contaminants with toxicity levels. The resulting risk estimate in conjunction with applicable Federal,
State, and/or Local standards drives the decision to clean up a site. A cleanup is warranted where the risk
assessment, using Reasonable Maximum Exposure (RME) assumptions, indicates one of two things: 1) either the
risk exceeds a greater than 104- (or 1 per 10,000 people) lifetime cancer risk, the level below which it is unlikely
for a population to experience adverse health effects; or 2) the hazard index (HI) for non-cancer risks exceeds one.
Cancer risk estimates represent a statistical upper limit probability of excess cancer cases that is associated with
environmental contamination. ' .
Actual risk data is now available for certain NPL sites in the areas of contaminants of concern present at the
site, contaminant levels before remediation, risks and hazards before remediation, contaminant levels after
remediation, cleanup level goals, and cleanup level risks and hazards. Superfund is considering several approaches
for measuring risk/hazard reduction using this available data. One such approach includes two prototype
Environmental Indicators: 1) Magnitude of Risk Reduction (MORR), and 2) Magnitude of Hazard Reduction
(MOHR). MORR is a simple ratio of current risk to future remediated risk, whereas MOHR is a ratio of current
hazard to future remediated hazard. Both MORR and MOHR are simple, unit-less, yet quantitative reflections of
risk and hazard reduction, thus individualized site and medium level risk and hazard reduction can be assessed for
any universe of sites. Risk reduction is analyzed in conjunction with other data such as demographics, remedy
selection, and costs for program evaluation.
A case study highlighting risk reduction efforts was completed at a hypothetical site A. The goals of the site
cleanup were to reduce risk by 1) treating contamination currently in the aquifer to halt further migration of
contamination into the underlying aquifer, and 2) prevent the spread of contaminated groundwater off-site. Using
MORR and MOHR, the risk assessment established the cancer risk as 3.4 x 10° for groundwater and 2.1 x W
for surface water, indicating the probability of excess cancer cases from groundwater contamination to be 3.4 in
1,000 people, and from surface water to be 2.1 in 10,000. Because EPA identified the groundwater risk as the
more immediate threat to human health and the environment, the Agency focused cleanup action toward the first
risk.
By the year 2000, EPA will accomplish its clean up goals at this hypothetical site; risks posed by the surface
and aquifers will be reduced by 100%. The cancer risk in the groundwater will be reduced 10,000 fold, from a
current risk of 3.4 x 10"3 to a risk of 3.1 x 10~8 after remediation (MORR). The cancer risk in the surface water
will be reduced 110,000 fold, from current risk of 2.1 x 10"1 to a risk of 1.4 x 10'8 after remediation (MORR).
Exhibits II. 1 arid II.2 discuss these calculations. The number of excess cancers projected in a 4-mile radius of the
site will be decreased from 76 before remediation, to none after remediation (MOHR). This is a risk reduction of
100%; the remediation activities conducted by EPA are expected to fully eliminate the risk of excess cancers posed
by this site.
II-15 February 19, 1996
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OSWER Directive 9200.3-14-16
EXHIBIT II. 1
MAGNITUDE OF RISK REDUCTION (MORR) CALCULATION:
GROUNDWATER MEDIUM
Current RME Risk-
Groundwater
Future Remediated RME Risk-
Groundwater
Magnitude of Risk Reduction
(MORR) for Groundwater
3.4 x 10'3 or a 3.4 in 1,000 probability of excess
cancers
3.1 x 10-" or a 3.1 in 100,000,000 probability of
excess cancers
3.4 x 10'3/3.1 x 10~8 or an approximately
110,000-fold reduction in risk from groundwater
contamination
EXHIBIT H.2
MAGNITUDE OF RISK REDUCTION (MORR) CALCULATION:
SURFACE WATER MEDIUM
Current RME Risk- Surface
Water
Future Remediated RME Risk-
Surface Water
Magnitude of Risk Reduction
(MORR) for Surface Water
2.1 x 10"4 or a 2.1 in 10,000 probability of
excess cancers
1.4 x 10'8 or a 1.4 in 100,000,000 probability of
excess cancers
2.1 x 10~V1.4 x 10 8 or an approximately
15,000-fold reduction in risk from surface water
contamination
Superfund's goal for FY 96 is to complete risk reporting and perform site studies such as this one, using
available information, for Superfund NPL sites. HQ is taking the lead in performing these studies.
February 19, 1996
II-16
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OSWER Directive 9200.3-14-1B
Chapter III: Superfund Financial Management
February 19, 1996
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OSWER Directive 9200.3-14-1B
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Left Blank
February 19, 1996
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OSWER Directive 9200.3-14-1B
CHAPTER III - SUPERFUND FINANCIAL MANAGEMENT AND FTE
DISTRIBUTION
INTRODUCTION
This chapter discusses the impact of the Superfund Comprehensive Accomplishments Plan (SCAP) process on
the development of the outyear budget, the Regional operating budget and the Advice of Allowance (AOA) process,
outlines Superfund financial management responsibilities, and provides an overview of the Full-time Equivalency
(FTE) distribution process. General information on the Fiscal Year (FY) 96 response, enforcement, and Federal
Facility budgets, as well as a general discussion of each workload model, is provided in this chapter.
The following offices are responsible for budget formulation:
Program Analysis and Resources Management Center in the Office of Emergency and Remedial Response
(OERR) - Response;
Program Support Office (PSO) in the Office of Enforcement and Compliance Assurance (OECA) -Enforcement;
and
Federal Facilities.
Due to the difficulties associated with the FY 96 budget, not all of the traditional budget development
processes discussed in this chapter have been followed this year. Whenever the budget process is discussed
in this chapter differs from the actual approach used thus far in FY 96, it will be noted, and the original text
that corresponds to the traditional process will be left as is. The effect of the budget impasse on future
budget development is unknown.
There also will be differences in the way financial management information is reported by the Regions during
the upcoming year. Beginning in FY 96, actual financial information from the Integrated Financial Management
System (IFMS) will be downloaded to WasteLAN/CERCLIS on a nightly basis; the information will no longer be
manually entered into both systems. OERR and the Office of Solid Waste and Emergency Response (OSWER) will
implement the transfer within the WasteLAN/CERCLIS 2 environment in all Regions, and then begin to implement
the transfer within the CERCLIS 3 environment on a Region-by-Region basis thereafter. The transfer will be
implemented for extramural transactions first, and will eventually expand to include intramural, Superfund State
Contract (SSC), and Potentially Responsible Party (PRP) transaction types. For a more detailed discussion of the
IFMS transfer and related changes to current financial management processes, see the section of the chapter entitled,
"Handling Financial Data in the WasteLAN/CERCLIS Environment."
OUTYEAR BUDGET DEVELOPMENT
The preliminary outyear budget request is developed in June, approximately 18 months before the operating year
begins. This means that SCAP data existing in the third quarter of FY 96 is used to formulate the FY 98 budget
request. The schedules for all response, enforcement, and Federal Facilities activities, and the planned obligations
for RAs and early actions (remedial authority) reflected in CERCLIS serve as the foundation for determining the
dollar levels to be requested in the budget and the total level of FTEs to be made available for distribution through
the workload model process. Following are the procedures for developing the outyear budget:
In June, the OSWER and OECA strategic plans are updated and the FY 98 goals and priorities are presented
to the Administrator. The Administrator may change the priorities based on overall Agency goals;
Once a decision is made by the Administrator on the final Superfund goals, the site data in CERCLIS are re-
evaluated to ensure that the dollar levels accurately reflect these goals;
III - 1 February 19, 1996
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OSWER Directive 9200.3-14-1B
Budget requests that reflect the OSWER and OECA strategic plans and the data in CERCLIS are prepared and
sent to the Administrator in July;
The Administrator makes any changes to the budget requests and passes them back to the program offices;
The budget requests are revised and submitted to the Office of Management and Budget (OMB) in September;
OMB makes any changes to the budget requests and passes them back to EPA in November;
If the program offices do not agree with the budgets that are passed back from OMB, EPA initiates an appeals
process in December; and
In mid-January; EPA prepares and submits the President's budget request.
FY 97 BUDGET DEVELOPMENT
The process for developing the FY 97 budget is essentially the same as the process being followed for the
development of the outyear budget. The base budget process that is being used to develop the FY 97 budget
consists of the following phases and builds on the budget that was developed for FY 96, the Agency's strategic
plans, and investments for the future.
Program Characterization The first phase consists of a thorough program characterization by the HQ
program offices with the participation of the lead Region. This characterization groups related activities within
each program area. It identifies the statutory basis for the activities, the associated resources, the type and
number of outputs, the environmental results derived from these activities, and the major strategic choices
facing each program.
The program offices also summarize the FY 96 resource distribution by function (e.g., regulation development,
enforcement, research, etc.) and major statutes. This phase is completed in mid-May.
Review Phase During the second phase, HQ program offices meet with the Administrator to discuss the
program, strategies, and goals. There also are small group meetings of Office/Division Directors and the
Planning and Budgeting Workgroup to review FY 96 budget information and make recommendations on issues
that should be considered in developing the FY 97 budget. This phase is completed at the end of May.
Budget Formulation The third phase is the actual development of the budget. This phase is a multi-step
process that begins in June with an Assistant Administrator (AA)/Regional Administrator forum to discuss FY
96 budgeting, recommend Agency priorities for FY 97, and set long-term Agency direction.
. The Administrator then provides guidance on investment priorities for FY 97 and overall policy guidance for
budget formulation. Using this guidance, ihc program offices develop and submit the budget to the Office of
the Comptroller (OC) at the end of June
February 19, 1996 III - 2
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OSWER Directive 9200.3-14-1B
The program offices and lead Regions make presentations to the Administrator/Deputy Administrator on the
program priorities in mid-July. The Administrator passes back the budget at the end of July, and the program
offices begin development of the budget for submission to OMB.
Based on the Administrator's priorities and results of the budget formulation process, a strategy for presenting
the Agency's budget to OMB is developed. The focus is on describing the Agency's long-term goals and how
the FY 97 request will, or will not, support them. The budget is submitted to OMB in October.
Budget Approval - Congress appropriates dollars to the Agency during the first quarter of the FY. EPA then
submits the Agency Operating Plan to Congress for approval. Once approved by Congress, the operating plan
is implemented by the Agency.
Exhibit III.l provides a timeline of the FY 98, FY 97, and FY 96 budget/ financial activities.
Ill - 3 . February 19. 1996
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OSWER Directive 9200.3-14-1B
EXHIBIT m.l
BUDGET TIMELINE
Month, Year
October 1995
November 1995
December 1995
January 1996
February 1996
March 1996
April 1996
May 1996
Outyear fiud£«l (ET 9&)
Wanning Year Budget
m^n
OMB passback of
budget request
HQ appeal of the OMB
budget passback
Budget request
submitted to the
President
Regions submit
Response Mega-site
Management Plans to
HQ
HQ prepares
preliminary Regional
operating plan based on
past three years
obligating/tasking
averages
HQ allocates 90% of
budget to the Regions
Regions generate their
plan
HQ meets with the
Administrator to review
program goals
Current V«ar Badge*
mm
Congress appropriates
dollars to the Agency
EPA submits Agency
Operating Plan to
Congress for approval
AAs and OC approve a
portion of the first
quarter AOA
Enforcement
extramural budget
carryover calculated
Second quarter AOA
calculated
AAs and OC approve
the second quarter
AOA
Third quarter AOA
calculated
AAs and OC approve
third quarter AOA
HQ summarizes
resource distribution by
function and statutes
Regions with low
obligation and tasking
rate prepare
enforcement site
specific spending plan
February 19, 1996
III -4
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OSWER Directive 9200.3-14-1B
EXHIBIT ffl.l (CONTINUED)
BUDGET TIMELINE
MotffcYt*
June 1996
July, 1996
August 1996
September 1996
Ootyear fw
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OSWER Directive 9200.3-14-1B
DEVELOPMENT OF THE FY 96 NATIONAL BUDGET
Although this section details the traditional procedures associted with the development of the annual
National budget, it may not reflect the process used in developing FY 96 National budget.
Over the past three years, the Superfund budget has experienced significant reductions. In order to identify
where Superfund resources (FTE and dollars) currently exist and whether there are adequate resources to meet
Program goals and priorities, a Superfund base budget review was conducted. A unified priorities list was
developed from a variety of sources, including the January 1994 memo, "Fiscal Year 1994 National Superfund
Program Priorities" (OSWER Directive No. 9201.0-02), Administrative Improvements initiatives, and the Agency's
proposed Reauthorization bill. The Base Review Workgroup identified where Superfund resources existed in FY
94, how these resources met the unified program priorities, and how,.or if the.priorities could be better met by
shifting the resources. To measure the adequacy of resources to meet priorities, the cost associated with the
established quantifiable goals of each priority was estimated. Each priority was analyzed individually and in
conjunction with the others to determine what role it plays in overall resource needs.
Based on the results of the Superfund Base Review, and in keeping with the tenets of the Superfund Reform
Act (SRA), resources are being distributed in FY 96 to meet the following goals:
Economic redevelopment (Brownfields, environmental justice);
Community involvement/relations (information access, environmental justice);
Remedy reform (expanded removal authority);
Cleanup pace;
Worst sites first;
State program development; and
Information management.
FY 96 REGIONAL BUDGET
Although this section details the traditional procedures associted with the development of the annual
Regional budgets, it may not reflect the process used in developing FY 96 Regional budgets.
To reduce the shortfalls in the Superfund budgets. Regions must actively pursue deobligation of prior year
funds. Projects prime for deobligation include Interagency Agreements (lAGs) with the U.S. Army Corps of
Engineers (USAGE) where the projects have been completed. Fund-lead Remedial Actions (RAs) taken over by the
PRPs, and Fund-lead RAs where the actual construction contract award and oversight costs will be significantly less
than the funds obligated. Regions may request that deobligated funds be recertified back to the Region to help fund
pipeline shortfalls. HQ will work with the OC to ensure that any funds deobligated are returned to the Region
through the recertification process, with the exception of large dollar (over $500,000) RA funds, which will revert
back to HQ to fulfill national program needs. Additionally, a Superfund Deobligation Task Force, consisting of
representatives from each of the Regions, OC, OERR, the Offcie of Site Remediation and Enforcement (OSRE),
the Offcie of Administration and Resource Management (OARM), and OECA was formed to facilitate the recovery
of unliquidated obligations. The Deobligation Task Force will forward deobligation candidate reports to the Regions
on a quarterly basis for their review and follow-up action. The Task Force also will hold monthly conference calls
to discuss deobligation/recertification issues. The procedures for deobligating funds are discussed later in this
chapter.
February 19, 1996 III - 6
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OSWER Directive 9200.3-14-1B
Response Budget
The FY 96 response budget (President's Budget) contains $XXX* million. Within this budget, the Agency has
set aside funds to be used for time-critical and non-time critical (NIC) early actions (removal authority) and early
actions (remedial authority). Specifically, resources will be provided for:
Early actions (removal authority) to address the Region's highest priority response actions (at both National
Priorities List (NPL) and non-NPL sites) to ensure that worst sites are being addressed first;
Ongoing RA projects to construction completion;
Long-term actions and early actions (remedial authority) at NPL sites;
Oversight of all RP-lead Remedial Investigation/Feasibility Study (RI/FS), Remedial Design (RD), RA,
removal, and early action (remedial authority) projects;
Ongoing RI/FS and RD projects;
Five-year reviews;
Integrated/combined assessments to eliminate the SI backlog; and
Priority Regional resource needs.
' To the greatest extent possible, the following activities will be supported:
New RAs;
New, first, and subsequent Expanded Site Inspection (ESI)/RI/FS projects;
New RDs;
Listing of new sites on the NPL;
New removals above base removal budget; and
Suppon activities, such as the laboratory support.
The first priority for response funding are classic emergencies and activities at sites that will be used to meet
the national construction completion goals..
Ongoing RAs, mixed funding, and mixed work projects receive priority for funding. New RA starts will be
prioritized by a Project Prioritization Panel, consisting of representatives from each Region and HQ (OERR and
OSRE), using the risk-based environmental priority setting approach.
Enforcement Budget
The enforcement extramural budget for FY 96 is approximately $XXX* million. Approximately 95 percent
of the budget has been allocated to the Regions; 5 percent has been held back in anticipation of additional requests
for Mega-sites and Administrative Improvement initiatives.
The total dollar amount of the FY 96 budget is still unknown at the present time as a result of the ongoing
budget difficulties.
Ill - 7 February 19, 1996
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OSWER Directive 9200.3-14-1B
The budget provides support for PRP searches, response negotiations, referrals, administrative and judicial cost
recovery actions, and project support activities. The following activities are priorities:
Compliance enforcement of all response actions;
Negotiating PRP response actions;
Negotiating settlements with collateral PRPs, including de minimis and municipal solid waste contributors;
Maintaining ongoing litigation for response and cost recovery; and
Referring removal and remedial cost recovery cases greater than $200,000, with SOLs that will expire during
the budget year.
Within this context, it is important to consider that the enforcement program has changed significantly to take
into account a greater PRP participation, dealing with recalcitrant PRPs, and addressing collateral PRPs, with an
emphasis on de minimis parties and municipalities. Therefore, activities that reinforce these criteria need to be
supported to the maximum extent possible within available resources.
Federal Facilities Budget
The Federal Facilities extramural budget for FY 96 is approximately $XXX* million. This budget provides
support for oversight of response work at all NPL Federal Facilities, the negotiation and implementation of Federal
lAGs, and activities necessary to facilitate the closure of the military bases designated by Congress that are on the
NPL. The following activities are priorities:
Targeting activities at bases to be closed;
Maintaining ongoing oversight activities; and
Expediting response where possible.
No funds are available for projects at non-NPL sites. Oversight activities at non-NPL sites are the
responsibility of the State.
RELATIONSHIP BETWEEN SCAP AND THE ANNUAL REGIONAL BUDGET
Although this section details the traditional relationship between SCAP and the annual Regional budget,
it may not reflect the process used in developing FY 96 regional budgets.
The SCAP process is the planning mechanism used by the Superfund program to identify site screening and
assessment, early action, long-term action, enforcement, and Federal Facility funding needs for the FY. The final
annual Regional operating plan and the associated budget are a result of the August HQ and Regional negotiations
on the proposed outputs and program budgets. Though Regions are required to operate within their final negotiated
annual operating budgets, adjustments within this budget can be made during the FY.
A Region will not receive funds above its annual Regional budget unless a SCAP amendment/change request
has been approved by HQ. Each quarter, the approved planned and actual obligations and actual
commitments must be less than or equal to the annual Regional budget or the AOA will not be approved.
In the case of enforcement, the Regional budget refers to new current year operating plan dollars plus prior year
enforcement support contract carryover.
* The total dollar amount of the FY 96 budget is still unknown at the present time as a result of the ongoing
budget difficulties.
February 19, 1996 III - 8
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OSWER Directive 9200.3-14-1B
The actual allocation of funds is accomplished through the Agency's Phase III Operating Plan. This plan is
submitted to OMB prior to the start of the FY for apportionment of funds. After the OMB review and concurrence,
the Operating Plan is submitted to Congress for approval of significant reprogramming of funds. At this time,
Congress also may modify the Operating Plan. Changes made by Congress may affect the Regional budget
negotiated in August.
Initial Annual Regional Budget Development
Prior to the beginning of the FY, each Region will be given a proposed budget allocation for removal, remedial,
enforcement, and Federal Facility programs. The criteria discussed below were used to develop the budgets in prior
years and will be used to develop the FY 97 budgets. However, because of the status of Agency funding for FY
96, this process was not implemented during the development of the FY 96 budget.
The FY 97 Regional response budgets will be allocated as follows: .
90 percent of a Region's budget is based on its FY 93, FY 94, and FY 95 actual response obligations; and
The remaining 10 percent will be allocated to the Region based on the final negotiated targets.
For enforcement, FY 97 initial operating plans will be based on the relative percentage of the FY 96 budget
and will be adjusted in first quarter FY 97 based on FY 96 utilization rate, including Enforcement Support Services
(ESS) contract carryover. Regional targets should be developed consistent with initial operating plans.
The FY 97 Regional Federal Facility budget will be allocated based on a Region's percentage of NPL sites, with
an initial reserve of $500,000 per Region to fund emergencies.
Regions are required to plan their obligations within the program-specific allocations. Final budgets will be
developed upon completion of the fourth quarter negotiations between HQ and the Regions. For enforcement, the
operating funds will be adjusted in first quarter of the FY based on utilization rates at. the end of the prior FY,
including consideration of ESS carryover. Planned obligations for Regional activities must fall within the total
identified budget levels, and should be shown by entering "approved" (APR) in the Funding Priority Status data
field (C2625, C3225, or P1419). Funding needs above the HQ proposed total budget level must be designated as
"alternate" (ALT). This will allow HQ to see the Regional funding priorities, the activities the Region would like
to conduct with the budget reserve, the activities that will not be performed as a result of lack of funds, and provide
the information needed for any supplemental funding requests. HQ will not initiate negotiations with a Region until
the "approved" funds requested are within the proposed total Regional budget levels.
Site-Specific Travel '
Beginning with the FY 94 appropriations, line item activities in the Superfund budget were categorized as
programmatic or administrative. Examples of programmatic expenses are contracts for site assessment and
cleanup, regulation development, support, and Congressionally directed reports. Examples of administrative
expenses are staff related costs, overhead, and contracts for program evaluation support and data analysis. In
the new structure,-site-specific travel is considered a programmatic expense. As such, extramural dollars can
be used to fund site-specific travel. Regions can use up to $150,000 or 0.5 percent (whichever is greater) of
their total allowance to support site-specific travel. Regions need to prioritize their extramural funding needs
since dollars for site-specific travel must come out of the Regional budget allocation. HQ will not increase a
Region's budget or AOA to replace extramural funds used for site-specific travel.
Ill - 9 February 19, 1996
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OSWER Directive 9200.3-14-1B
Regional Analytical Budgets
Beginning in the fourth quarter of FY 94, Regions are responsible for the procurement of Special Analytical
Services (SAS) laboratory sample analyses. Routine Analytical Services (RAS) will still be handled by the
Contract Laboratory Program (CLP). Regions will estimate their SAS analytical needs as part of the SCAP
development process and funds will be placed in the site characterization AOA. The allocation of funds will
be based on the average number of samples collected during the site assessment, RD, and RA phases, the
historical percentage of the samples that require SAS, and the average cost per sample for SAS.
AOA Utilization
In the past, the AOA obligation rate through the first two quarters of the FY has been low. As a result, HQ
has implemented the following measures to improve performance:
Regions will not receive their third quarter AOA for a specific response category unless the
commitment/obligation rate is 50 percent or greater in that AOA category. For example, if the
commitment/obligation rate for one response allowance (i.e., site characterization) is 35 percent while the rate
for another (i.e., removals) is 65 percent, the third quarter removal AOA would be issued, but the site
characterization AOA would not be issued.
Regions must obligate and task 60-65 percent of the enforcement Regional extramural funds received in
their first and second quarter AOA and task 60-65 percent of ESS obligations (including carryover) to
receive their third quarter enforcement AOA. If a Region does not receive its third quarter enforcement
AOA due to such an obligation shortfall, it is required to produce a site- specific spending plan in WasteLAN
for both the third and fourth quarters by mid-May. To receive the full fourth quarter AOA, a 75 percent
utilization rate is required. The undistributed third and fourth quarter AOA funds will be allocated to Regions
that demonstrate a need.
Regions must obligate 60-65 percent of their current year Federal Facility AOA in the first and second
quarter to receive their third quarter AOA. The Region's annual budget may be reduced by the third quarter
amount if 60-65 percent of the first and second quarter AOAs have not been obligated by the start of the fourth
quarter.
HQ will continue to work with the Regions to obligate funds as soon as possible. An effort will be made to
increase the obligation rate by providing third quarter allowances to Regions in advance. Regions also can request
advances on their fourth quarter AOAs. HQ will provide Allowance/Obligation Comparison reports to the Regions
for review on a monthly basis.
For those Regions that continue to have a low rate of commitment/obligation/tasking, OSWER and OECA will
renegotiate the Region's operating plan for the remainder of the year in July. This negotiation may result in a
reduction in the Region's annual budget.
ADVICE OF ALLOWANCE PROCEDURES AND FINANCIAL REPORTING
REQUIREMENTS
The planned obligations idertified through the SCAP process are the basis for the AOA approved by the OC
and the Assistant Administrator for the Office of Solid Waste and Emergency Response (AA SWER) or the Assistant
Administrator for the Office of Enforcement and Compliance Assurance (AA OECA). No money will be issued
to the Regions through the AOA process unless the appropriate project-specific obligation and open
commitment data are reflected in CERCLIS.
February 19, 1996 III - 10
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OSWER Directive 9200.3-14-1B
Regional Allowances
In FY 94, OERR restructured the response AOAs by combining the RD, RI/FS, and site characterization
allowances into one allowance. Based on this restructuring, the OC will issue the following allowances to the
Regions in FY 96:
Site Characterization (non-site specific "site" allowance), which includes funds for:
Preliminary Assessment (PA), Site Inspection (SI), ESI, RI, FS, and RD projects, treatability studies,
Engineering Evaluation/Cost Analysis (EE/CA), design assistance, community relations, support agency
assistance, technical assistance, ground water monitoring, aerial surveys, topographical mapping,
Brownfields-related site characterization activities (e.g., Phase I and Phase II environmental assessments);
Oversight of RI/FS, RD, RA, five year review, Operation and Maintenance (O&M), and Long-Term
Response Action (LIRA) projects; and
Regional analytic budgets and funding for SAS budgets;
RA (site-specific "site" allowance), which includes funds for RAs, early actions (remedial authority), LTRA,
five year reviews, and mixed funding/mixed work arrangements;
Removal (non-site specific "site" allowance), which includes funds for emergencies, time-critical and NTC early
actions, removal investigations, removal assessments, and oversight of removals;
Other Response (non-site specific "regular" allowance), contains funds for response program and project support
including: Alternative Remedial Contracting Strategy (ARCS), Response Action Contract (RAC), or Emergency
Response Cleanup Services (ERCS) program management; Technical Assistance Grants (TAG); Core Program
Cooperative Agreement (CPCA); pollution liability insurance; and Brownfields-related activities (e.g.,
developing systems to identify the Brownfields inventories);
Enforcement (non-site specific "regular" allowance); and
Federal Facilities (non-site specific "regular" allowance).
The "site" allowance is an event-specific allowance. It is issued on a site- or non-site specific basis. The
"regular" allowance includes site- and non-site specific events or activities, and is issued non-site specifically. The
following sections explain how these allowances are developed and the flexibility available in the AOA structure.
The AOA Process
Although this section details traditional AOA procedures, it may not reflect the processes used in
FY 96.
The AOA is based on the Phase III Operating Plan which identifies projected obligations for each quarter of
the FY. The Phase III Operating Plan for FY 96 is based on the final SCAP plans developed in the fourth quarter
of FY 95. In the case of enforcement, operating plans are adjusted after the start of the FY based on prior year
contract utilization. Funds available for obligation, however, are limited to projected needs for the upcoming
quarter. Where Regional ESS carryover exists, only the funds necessary to cover the non-ESS needs will be issued
in the AOA until the Region has tasked 65 percent of its ESS carryover.
Approximately four weeks before the end of each quarter, HQ will generate AOA reports (SCAP-4, SCAP-4E,
and SCAP-4F) that reflect the approved planned obligations in CERCLIS. If the planned and actual obligations and
commitments in CERCLIS exceed the Regional budget, the Region will be contacted. CERCLIS must be revised
to match the Regional budget before HQ will proceed with the AOA process (illustrated in Exhibit III-2) in the
Region. After discussions with the Regions to clarify questions or issues and ensure that the Regional budget was
III - 11 February 19, 1996
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OSWER Directive 9200.3-14-1B
not exceeded, HQ will enter the AOAs into the CERHELP Budget Control (BQ/AOA system two weeks before
- the end of the quarter. Regions must pull these reports from CERHELP and enter these amounts into IFMS. The
one exception to this process pertains to first quarter allowances. Because first quarter allowances are entered into
IFMS by HQ, Regional personnel do not have to pull the reports from CERHELP or enter the amounts into IFMS.
The A As and their staff, in conjunction with the OC, review the funding levels entered into IFMS by the Region
and compare them to the AOA amounts generated by the HQ program offices. If the two agree within three
working days after the start of the quarter, the HQ OC Budget Division, and the AAs and their staff approve the
AOA in IFMS, and the funds are available for obligation. If the AOA entered into IFMS by the Regions does not
agree with the AOA in CERHELP, IFMS will not be approved. Only projects planned in CERCLIS can be funded
by the AOA. Regional Budget Coordinators should work closely with their Regional finance office on the entry
of the correct AOA into IFMS. These schedules may be revised if the third quarter AOA is issued early, or, if the
Region requests, and HQ approves, an advance on their fourth quarter AOA.
The HQ program offices and OC Budget Division monitor obligations against the AOA weekly. If a Region
exceeds any of the allowances, or a site-specific RA or early action (remedial authority) allocation, the HQ OC
Budget Division will notify the Region and request resolution of the overcommitment/overobligation. The Region
then has until the end of the current month to rectify the overcommitment/overobligation or shut down procedures
will be initiated. If the Region does not submit a change request, decommit or deobligate funds, or effect
corrections in IFMS as necessary, the HQ Budget Division will initiate reprogramming from the Region's regular
allowance. Repeated violations of site or allowance allocations may result in partial or total withdrawal of the
Region's site allowance.
As is standard Agency policy, if a Region exceeds either the regular or site allowance, the HQ OC Budget
.Division will withdraw obligation authority in accordance with existing procedures. During the last quarter of the
year, the HQ OC Budget Division will work with the Regions, OSWER, and OECA as necessary to ensure that all
allowances and obligations are aligned prior to year-end closing.
If a Region receives funds in their AOA which were not obligated during the quarter received, the relevant
planned obligation data in WasteLAN must be changed, or the amount must be placed in the contingency account.
At the end of each quarter, HQ will review the AOA funds' remaining commitments and obligations, the
contingency account, and planned obligation data. If AOA funds were not committed or obligated and the planned
obligation data were not changed, HQ will take the following actions:
Reduce the next- quarter's AOA for other response, site characterization, enforcement, or Federal Facility by
the amount that was not committed or obligated; or
Request that Regions follow the OC's change request procedures to return early action (remedial authority) or
RA funds to HQ.
The Financial Reports (SCAP-4, SCAP-4E, and SCAP-4F) and the Budget Control Reports (SCAP-21 and
SCAP-21E) will be used to evaluate the status of the allowances.
To the maximum e-xtent possible, Regions should plan for mixed funding requirements prior to the development
of the annual Regional budget.
February 19, 1996 III - 12
-------
EXHIBIT DI.2
THE ADVICE OF ALLOWANCE PROCESS
Regions enter
planned
financial
information into
WasteLAN.
Data In
WasteLAN is i
regularly
uploaded to
CERCLIS.
Regions enter
actual financial
information on
commitments,
obligations, and
tasking into
IFMS. Data in
> IFMS is
downloaded to
WasteLAN/
CERCLIS on a
nightly basis.
HQ reviews
planned/actual
commitments,
obligations, and
tasking data and
Compares them
to annual
Regional
Program
budgets.
If data is within
budgets, HQ
program offices
enter AOA to
CERHELP.
to OC and AAs'
offices.
Week 9
Week 9
I
I
Week 11
CURRENT QUARTER
Week 11
Week 13
Week 13
Weekl
NEXT QUARTER
Weekl
OCs and AAs
Compare AOA
data to
information^
supplied by HQ
program
offices.
If all agree,
OC and AAs
approve AOA.
o
oo
tfl
JO
q
1'
VO
K)
-------
OSWER Directive 9200.3-14-1B
The transfer of financial information from IFMS to WasteLAN/CERCLIS during FY 96 will eliminate the need
for manual entry of actual financial data, as well as the need to reconcile the data contained in the IFMS and
WasteLAN/CERCLIS databases. For more details on the impact of the IFMS transfer, see the section of the
chapter entitled, "Handling Financial data in the WasteLAN/CERCLIS Environment."
AOA Flexibility
Some flexibility exists within the AOA structure to shift funds both within and between allowances. Regions
can shift funds between projects within the other response, site characterization, removal, enforcement, or Federal
Facility allowances without HQ approval. With HQ approval, funds can also be shifted between the site
characterization and enforcement allowances, out of (but not into) the other response allowance, into (but not out
of) the removal allowance, and into (but not out of) the site-specific RA allowance. Funds cannot be shifted into
or out of the Federal Facility allowance. .
Shifting funds between projects within the other response, site characterization, removal, enforcement, or
Federal Facility allowance is a SCAP adjustment. It does not require HQ approval or a change request, but
WasteLAN must be revised to reflect the shift. Allowable shifts between allowances are also SCAP adjustments;
however, HQ approval of a change request is required. The change must be reflected in CERCLIS prior to HQ
approval. Federal Facility funds cannot be shifted to another .allowance.
Based on Regional priorities, funds may also be reprogrammed between response and enforcement. These shifts
require a change request and Congressional notification if the funds proposed for reprogramming exceed $500,000.
Any movement of funds into the removal or RA allowances also must be reported to Congress on a quarterly basis.
Federal Facility funds cannot be reprogrammed.
RA Allowance
To receive RA funds, the site must be proposed to or on the NPL. The funding for RAs and early actions
(remedial authority) are held in a reserve account for national distribution and issued site-specifically when sites
are ready for funding (RD 95 percent complete; Superfund State Contract (SSC) signed). As previously stated,
the priority for RA funding is ongoing Fund- or PRP-lead RAs, mixed work projects, and PRP-lead new RA
starts. New Fund-financed RAs will be funded when they are ready, based on the priorities established by the
panel.
The Region's ability to redirect RA and early action (remedial authority) funds is limited. Approval from the
AA SWER is required. Given the constraints in RA funding, HQ approval is highly unlikely. Funding for
ongoing projects, mixed funding settlements. LTRA, and five year reviews, however, may be reprogrammed
by the Regions. RA or early action (remedial.authority) funds made available as a result of bids coming in
below expected amounts will be returned to HQ for funding of other priority RA projects or early actions
.(remedial authority). In some cases, HQ may recommend that the Region retain the funds to support
unanticipated cost escalations for RAs or early actions (remedial authority). .
In situations where the PRPs settle after the AOA is issued. Regions may retain the funds needed for oversight.
The remaining funds in the AOA must be sent back to HQ through a change request. RA funds cannot be
moved into the site characterization AOA. If the site lead changes from Fund- to PRP-lead, the Region should
de-obligate funds from the RA AOA; separate provisions should be made to make adjustments to the site
characterization allowance. The RA funds that are deobligatui will be returned to HQ. In the situation where
the PRPs take over after the obligation of funds for RA or early action (remedial authority), the program office
will need to work with the Regional Financial Management Office (FMO) to revise the Account Number (AN)
since the Agency is acting in an oversight role instead of performing the response action.
February 19, 1996 III - 14
-------
OSWER Directive 9200.3-14-1B
Flexibility in the Other Allowances
Regions may redirect funds within the other response, removal, site characterization, enforcement, and Federal
Facility allowances to meet site or activity priorities. Additionally, funds in the other response allowance can
be moved to the removal, site characterization, or RA allowance. However, it is important to note that,
generally, funds cannot be shifted out of the removal allowance. Regions may shift funds more easily into the
removal allowance from other non-site specific.allowances. Funds also cannot be shifted into or out of the
Federal Facility allowance.
Funds saved within the site characterization account as a result of a settlement or where actual costs are lower
than estimated will generally stay within the Region, These funds may be used within the allqwance for other
site characterization projects. In addition, Regions may retain and redirect non-RA response funds made
available as a result of the following actions:
PRP takeovers or settlements;
ESI/RI/FS or RD bids that are less than planned amounts; and
Actual obligations that are less than planned obligations.
HQ approval will generally be given for the redirection of unused funds for Agency priorities. For further
information on the National Budget/Agency priorities , see "Development of the FY 96 National Budget" earlier
in this chapter.
A change request must be approved by HQ before funds can be reprogrammed to activities outside the
allowance.
Response funds may be used to address deficient PRP projects. Regions are allowed to redirect funds in the
site characterization AOA to accommodate this need. Regions also may shift funds for a Fund-financed RD
to RD oversight when a CD is referred to HQ or the Department of Justice (DOJ) for lodging, or when PRPs
indicate in writing that they will comply with a UAO.
In FY 90, HQ established a non-site specific remedial contingency account in CERHELP. The remedial
contingency account cannot be used for developing Regional budgets. It can only be used during the operating
year for "holding" remedial response funds made available:
As a result of PRP takeovers or lead changes between remedial phases;
By RD bids coming in under projected amounts; or
In situations where the aciual obligations were less than planned obligations.
As the Region identifies uses for these funds, the contingency account must be reduced and the site-specific
planned/actual obligations entered into WastcLAN. The funds in the contingency account will be reviewed by
HQ at mid-year and throughout the third and fourth quarters.
If a Region has a funding request during the year that was unplanned, the following approach should be
followed in identifying funding sources:
As a first step, Regions should determine if funds are available in the contingency accounts that can be
redirected within or between allowances 10 perform the action;
If no contingency funds are available, funds planned for obligation in future quarters (within the Region's
annual budget) that will not be used as originally planned should be tapped;
III - 15 . February 19, 1996
-------
OSWER Directive 9200.3-14-1B
* After mid-year, funds made available within the annual Regional budget as a result of the mid-year or
third/fourth quarter adjustment process should be used; and
If necessary, Regions may request an increase in their annual budget through the redirection of funds made
available as a result of mid-year or third/fourth quarter adjustments in other Regions.
AOA Change Request Procedures
Regions are required to operate within their quarterly AOA and their annual Regional budget. The funding for
RAs and early actions (remedial authority) are held in a reserve account for national distribution and issued site-
specifically when the schedules, in CERCLIS indicate the site is ready for funding. Regions are responsible for
managing the funds issued in the AOA and for operating within budget ceilings, floors, and other restrictions.
Consistent with the flexible funding initiatives discussed earlier in this chapter, Regions may:
Shift funds between projects within the other response, site characterization, removal, Federal Facility or
enforcement allowances. HQ approval is not required;
Shift existing funds between allowances (site characterization, enforcement, and the other response
allowances), HQ approval of a change request is required. Funds cannot be shifted into the other response
allowance, out of the RA or removal allowance, or into or out of the Federal Facility allowance; or
Move future planned obligations to the current quarter (increase total allowance after issuance within the annual
budget). HQ approval of a change request/SCAP amendment is required.
In some situations, a change request is required as a result of Regional changes to SCAP. Exhibit III.3
identifies flexible funding and other situations where an AOA change request is required. Exhibit III.4 describes
the procedures to be followed in each of these situations. HQ will not approve a change request unless CERCLIS
is revised to reflect the change.
Under IFMS, change requests are electronically transferred to HQ. The following information should be
provided for a change request:
Purpose/justification;
Amount;
Site name and Site Spill Identification (S/S ID) if allowance is issued site specifically;
Program element(s) (TGB - enforcement, TFA - response or Federal Facility); and
. Allowance that is being increased and/or allowance that is being decreased.
If the change request is a reprogramming of funds between allowances, the net change should equal zero. The
change request must be transmitted by authorized personnel in the Region's financial office. The site-specific record
in WasteLAN should be revised when the change request is transmitted. Regions should not initiate any obligations
against the change until the OC and AA SWER or AA OECA approve the revised AOA. Change requests
generally take two weeks to process, and approve.
February 19, 1996 III - 16
-------
OSWER Directive 9200.3-14-1B
EXHIBIT m.3
CHANGE REQUEST REQUIRED
Change Request Situation
^Procedures in Exhibit HL3 to %e followed
Allocation transfer lAGs
Transfer funds to other entities within EPA
Shifting funds where allowable between
allowances after issuance
Increase total quarterly allowance after
issuance (within annual budget)
Decrease total quarterly allowance after
issuance
Increase RA or early action (remedial
authority) funding after allowance is issued
Decrease RA or early action (remedial
authority) funding after allowance is issued
Decrease RA or early action (remedial
authority) funding as a result of PRP
takeover
New RA or early action (remedial authority)
funding after allowance is issued
Decrease allowance after issuance
Decrease allowance after issuance
Shifting funds between allowances after
issuance
Increases total allowance after issuance
(within annual budget)
Decrease allowance after issuance
Increase total allowance after issuance
(within annual budget)
Decrease allowance after issuance
Decrease allowance after issuance
Increase total allowance after issuance within
annual budget
III - 17
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
EXUffilT IU.4
AOA CHANGE PROCESS PROCEDURES
(^ AOA Changes J)
.^"- _
Decrease Allowance
after Issuance
V. J
\
'
^^
Increase Total Allowance
After Issuance Within
Annual Budget
t j
r 1
f \
f IMC sends E-mail
change request to the
Regional finance office,
with copies to applicable
OSWER or OECA staff
v y
i
f
f Revise j
I WasteLAN/CERCLIS \
\
Shifting Funds Between
Allowances After
Issuance
V J
' ^
r x
IMC sends E-mail
change request to
applicable OSWER or
OECA staff with copies
to the AAs' and Regional
^ finance offices }
\
i
f \
f IMC sends E-mail \
change request to the
Regional finance office,
with copies to applicable
OSWER and/or OECA
\_ staff and the AAs' offices^
r 1
r
(Revise Revise
WasteLAN/CERCLIS I 1 WasteLAN/CERCLIS I
' 1
f Change request is
electronically
transmitted to HQ
through IFMS
AOA in IFMS is
revised to reflect the
I change
r
f \
AAs send E-mail
approval memorandum
to Regional program and
finance office and HQ
OC
V )
t
1 r
The change request is electronically transmitted to HQ through IFMS
AOA in IFMS is revised to reflect the change
OSWER and/or OECA staff and the OC review the request
1 Revised AOA is approved in DFMS by the HQ OC and AAs I
February 19, 1996
III - 18
-------
OSWER Directive 9200.3-14-1B
RELATIONSHIP BETWEEN SCAP AND THE AOA
Within the SCAP process, obligations are planned either site-, project-, or OU-specifically, or. non-site
specifically. Some planned obligations are associated with specific site activities, while other planned obligations
are estimates of total funding required for an activity within a Region. The WasteLAN and CERCLIS databases
have been designed to accommodate site- and non-site specific planning. Exhibit III.5 lists the events and
enforcement activities for which obligations are planned on a site-, project-, or OU-specific basis versus non-site
basis. Regions should be certain all their extramural funding needs are reflected in WasteLAN and CERCLIS such
that there is a crosswalk between the WasteLAN planned financial data and the Regional AOA.
In addition to the site- and non-site specific planning, obligations also are planned and budgets developed on
a program-specific basis. The Budget Source field (C2629, C3229, or P1416) identifies which program pays for
the planned events/activities. Exhibit III.6 presents the budget source codes associated with each program. It is
important that Regions accurately identify the budget source since each program develops an annual budget and has
a separate AOA process. It also is important that the Regions maintain this budget source code to eliminate potential
impacts on the Regional AOA.
Exhibit III.7 identifies the major events/activities and the appropriate budget source codes (depending on the
project/event lead) for planned obligations, as well as the AOA category under which each event/activity falls.
Funds for temporary or permanent relocations conducted by the Federal Emergency Management Agency (FEMA)
should be given a budget source of 'M' or 'D' after the IAG is signed and funds are transferred to HQ using the
change request procedures. Funds for project support activities that are being conducted by Environmental
Monitoring Systems Laboratory (EMSL), the Environmental Photographic Interpretation Center (EPIC), or other
intra-agency assistance are allocated in the Regional budget. Once the change request transferring the funds to the
. other entity is processed, the budget source code in WasteLAN should be changed to a HQ budget source code.
The following activities and corresponding activity codes previously contained within Exhibits III.5 and III.7
have been deleted as a result of the IFMS transfer scheduled for implementation in the upcoming months: .-
Design Assistance (DA);
Forward Planning (FP);
Generic Litigation Support (LT);
Generic Cleanup Negotiations (NG)
Other (OH);
Operations and Maintenance (OM);
Technical Assistance (TA);
Treatability Studies (TS);
Records Management (RM); and
Technical Assistance Grants (the non-site specific code - CT)
These items are being deleted because they are not currently entered into or tracked by IFMS. Therefore, no
planned financial data should be entered into WasteLAN/CERCLIS for these activities after the
implementation of the IFMS transfer.
Ill - 19 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
EXHIBIT m.5
SITE- VERSUS NON-SITE SPECIFIC PLANNED OBLIGATIONS
Site-Specific
Nona-Site
Administrative Cost Recovery
Administrative Record**
Community Relations (CR)**
Cost Recovery Referral Preparation
Early Actions
Endangerment Assessment
ESI/RI
Federal Facility Oversight
Five Year Reviews
FS
LTRA
Negotiations:
Removal
- RI/FS
- RD/RA
Cost Recovery
- IAG
Non-Binding Allocation of Responsibility
(NEAR)**
Oversight of PRP:
- ESI/RI/FS
Early Actions
Long-Term Actions
- LTRA
PRP Search**
RA
RD
Referrals
104(e)
- 106
- 106/107
107"*
Bankruptcy Claims
Support Agency Assistance**
TAGs**
ARCS or RAC Contractor Management
Aerial Surveys**
Contract or Program Management
CPCA
Emergency Response Cleanup Services (ERCS)
or Emergency and Rapid Response Services
(ERRS) Management
ESS Contract Management
Geophysical Support/Topographical Mapping**
Information Management
Multi-site Cooperative Agreement
PA/SI
Preliminary Natural Resource Surveys (PNRS)
Senior Environmental Employee Program
State Enforcement Management Assistance
Training
* For these activities, Regions must
enter the number of sites involved and
the contract vehicle.
** These activities may be planned site or non-
site specifically.
February 19, 1996
III - 20
-------
OSWER Directive 9200.3-14-1B
EXHIBIT IH.6
BUDGET SOURCE CODES
E
V
R
= Enforcement
= Removal
= Remedial
M
D
L
= HQ Removal
= HQ Remedial
= Federal Facility
EXHIBIT ffl.7
WHO PAYS FOR WHAT
£v«tttfA
-------
OSWER Directive 9200.3-14-1 B
EXHIBIT HI.? (CONTINUED)
WHO PAYS FOR WHAT
fivBttt/ActiVttJf
Litigation Referrals and Ongoing
Support:
Section 106
Section 107
Section 106/107
Section 104(e)
Bankruptcy Claims
LIRA
LIRA Oversight
Negotiations:
(including development of site
workplans)
Removal
RD/RA
RI/FS
Cost Recovery
IAG
LAG (formerly owned Federal
Facilities)
PA/SI
PRP Search
Project Support:
Aerial Surveys
Administrative Record
Contract Program Management
Community Relations (CR)
Endangerment Assessment
ESS Program Management
Evacuation
Federal Facility Docket
Geophysical Support
Information Management
Multi-Site Cooperative Agreement
"mm&&r"&&ii"'
Wastejy^N"
Site- !
strafe i
SX
SV
CL
SF
CB
LR
LR
RN
AN
FN
NE
IN
IN
NS.RP
AS
AR
CR. RC
. ED
EV
GS
WasteLAltf
Nan-Site
Specific
SX
.SV
CL
PA
PS,RP
AU
AR
PM
CR
TM
FD
HG
LM
MS
1«*
s ;
FE
FE
FE
FE
FE
F.S.EP,
MR
RP,PS,MR
FF
FE
FE
FE
FE
FE
FE
S,F
FE
*
*
FF
*
*
F
FF
*
*
*
Budget
Sawee
E
E
E
E
E
R
R
L
E
E
E
E
E
E
R
E
R.V
R,E,V
L
R.E.V.L
R,V,L
R,E
E
V
L
R
R,E,L
R
«*
Cfttegwry
Enforcement
Enforcement
Enforcement
Enforcement
' Enforcement
RA
Site Characterization
Federal Facility
Enforcement
Enforcement
Enforcement
Enforcement
Enforcement
Enforcement
Site Characterization
Enforcement
Site Characterization,
Removal
Site Characterization,
Enforcement.Removal
Federal Facility
Site Characterization,
Enforcement.Removal,
Federal Facility
Site Characterization,
Removal,
Federal Facility
Site Characterization,
Enforcement
Enforcement
Removal
Federal Facility
Site Characterization
Other Response,
Enforcement,
Federal Facility
Site Characterization
* Lead left to the Regions' discretion
February 19, 1996
III - 22
-------
OSWER Directive 9200.3-14-IB
EXHIBIT ffl.7 (CONTINUED)
WHO PAYS FOR WHAT
ftwtffatfc* ' ' '
'
s "*
Project Support:(continued)
NEAR
Preliminary Natural Resource
Surveys
Prepare Cost Documentation
Package
Senior Environmental Employee
Program
State Enforcement Management
Assistance
Support Agency Assistance
TAGs
Temporary Relocation
Topographical Mapping
Training
Removal Investigations
Remedial Investigation (RI)
RI Oversight
Remedial Investigation/Feasibility Study
(RI/FS)
RI/FS Oversight
Remedial Design (RD)
RD Oversight
Remedial Action (RA)
RA Oversight
Ev
-------
OSWER Directive 9200.3-14-1B
SVPERFVND FINANCIAL MANAGEMENT
The purpose of this section is to assist Regional program offices in carrying out their financial management
responsibilities. It discusses the financial management tools and systems used by HQ and the Regions to enter and
track financial information. It also details specific HQ and Regional financial management responsibilities. Finally,
this section discusses the various financial management funding mechanisms available to EPA to support Superfund
cleanup work.
Exhibit III.8 provides a list of financial management contacts to assist the Regions in resolving or clarifying any
financial management issues or difficulties that are encountered.
EXHIBIT m.8
FINANCIAL MANAGEMENT CONTACTS
LocatioB/R«gioii
Headquarters
Region I
Region II
Region III
Region IV
Region V
Region VI
Region VII
Region VIII
Region IX
Region X
Cincinnati
Research Triangle Park
Name of Contact
Charles Young
Lee Clouthier
Richard Manna
Steve Pandza
Will Waisner
Tony Audia
John Eagles
John Anderson
Barbara Rodriguez
Dave Wood
Joe Penwell
Pat Newman
Joe Safadi
JPhoae Numtar
(202) 260-5331
(617) 565-3323
(212) 637-3465
(215) 597-6161
(404) 347-3278
(312) 353-4881
(214) 665-6535
(913)551-7470
(303) 293-1463
(415) 744-1747
(206) 553-2968
(513)366-2059
(919) 541-4387
February 19, 1996
III - 24
-------
OSWER Directive 9200.3-14-1B
Financial Management Tools and Systems
Exhibit III.9 describes the financial management tools and systems used by HQ and the Regions.
EXHIBIT m.9
FINANCIAL MANAGEMENT TOOLS AND SYSTEMS
Integrated Financial
Management System
(IFMS)
The Agency's official automated accounting, funds control, and monitoring
system. Encompasses all of the Agency's financial systems for planning, budget
formulation and execution, program and administrative accounting, and audit.
Maintained by the Administrative Systems Division of the Office of Information
Resources Management.
Management and
Accounting .
Reporting System
(MARS)
IFMS application that identifies the status of commitments, obligations, and
payments for a site. MARS can select any data element maintained in IFMS,
arrange those elements in any desired format, and print a report. Regional
program office staff can request MARS reports from the Regional Servicing
Finance Office (SFO).
Account Number
(AN)
For FY 96, the AN has been expanded from a 10-digit number to a six field, 41
character number that identifies costs associated with a specific site and activity.
EPA documents and records its direct and indirect costs for each cleanup action
and tracks costs through IFMS.
Document Control
Number (DCN)
A six digit number assigned by the Regional SFO to Procurement Requests
(PRs) and Commitment Notices (CNs). This same number is carried over from
the PR or CN to the obligating document. Identifies the spending action in
IFMS, just as a check number identifies a check.
Automated
Document Control
Register (ADCR)
Allowance holder's mechanism for maintaining a running balance of all funds
available to the allowance holder. Maintained in the SFO. Funds Certifying
Officer (FCO) checks the ADCR balance when certifying availability of funds,
then assigns a DCN and records it in the ADCR.
Site/Spill
Identification
Number (S/S ID)
Three-digit number to identify costs associated with a specific site. Established
by the Regional officer. Before assigning a S/S ID, an EPA Identification
Number (EPA ID) must exist. Also need to ensure that the site is not listed
under another name. There should be only one S/S ID for each EPA ID. Sites
should receive identifiers if it appears more than $5,000 will be spent on a
response action.
Ill - 25
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
Exhibit III. 10 details the new 6-field, 41-character Account Number. It identifies the new fields, what shoulci
be entered in each position of each field, and provides a sample entry for each of the six fields that comprise the
Account Number.
EXHIBIT ra.10
NEW ACCOUNT NUMBER STRUCTURE
Date
Budget Fiscal Year
(4 characters)
Appropriation
(6 characters)
Program Element
(9 characters)
Budget Organization
(7 characters)
Site/Project
(8 characters)
Cost Organization
(7 characters)
Otfinitron
The first two positions in this field identify the
budget fiscal year e.g., '96'. The third and
fourth positions in this field identify the ending
fiscal year, but these positions are not used by the
Superfund program, and should be left blank.
The type of appropriation is entered in this field,
e.g., 'T'. If the appropriation is billed or
received (for cost recovery), valid entries can be
up to 4 characters in length, e.g., 'HSCR', with
the last two positions left blank.
The program element value is either 'TFA' for
the site assessment and removal programs or
'TGB' for enforcement. The remaining six
positions in this field should be left blank.
The Budget Organization field is the Allowance
Holder/Responsibility Center (AHRC) code, e.g.,
'02H'. The AHRC code can be between 3 and 6
characters in length.
The unique site identifier (S/S ID) should be
entered in positions 1, 3 and 4, e.g., '0 23'. The
Region number should be entered in position 2,
e.g., '0' for Region 10 (For Region 1 and HQ a
T is entered in this position). The action code
is entered in positions 5 and 6, e.g., 'AN' for
RD/RA Negotiations. The Operable Unit is
entered in positions 7 and 8, e.g., '01' for
Operable Unit number 01.
The first ihrce characters represent the action
sequence number, e.g.. '002' for the second
occurrence of an action at a site. The remaining
positions should be left blank.
Sample Ittfcy
96
TFA
02H
0023 ANO 1
002
"0ZZ" and "OWQ" Accounting Information
When committing or obligating funds at sues where a S/S ID has not been assigned yet, the Region may use
"OZZ" in the S/S ID position of the Accoum Number for PAs and Sis only. "OWQ" should be used for
committing or obligating funds for all other activities at sites where a S/S ID has not been assigned. The
"OZZ" and/or "OWQ" should be used only if a site does not have a S/S ID. When "OWQ" or "OZZ" is used
in the S/S ID position, funds are obligated non-site specifically. However, when the funds are paid
out/disbursed, they must be associated with a site. Once a S/S ID has been established for the site, Regions
must revise all the financial accounting information (in IFMS and on the obligating document) with.the correct
S/S ID. .The "OZZ" and/or "OWQ" should not be used for future obligations once a S/S ID has been
established at the site. (Information on changing IFMS data can be found later in this chapter.)
February 19, 1996
III - 26
-------
OSWER Directive 9200.3-14-1B
Regional Financial Management Responsibilities
Due to the complexities of the Superfund program, numerous organizational units within the Regional EPA
offices have responsibility for Superfund financial management. These organizations and their responsibilities are
detailed in Exhibits III. 11 through III. 13.
For the purposes of this document, the Regional Management Division is the organization in which financial
management, budgetary, accounting, planning and assistance agreements, and administration functions are carried
out. The Regional Servicing Finance Office (SFO) and the Contracting Officers (CO) for the ARCS, RAC, ERCS,
Superfund Technical Assessment and Response Team (START), and ERRS contracts are considered to be a part
of this division.
HQ Financial Management Responsibilities
Selected program offices in HQ also have Superfund financial management responsibilities. As a direct result
of the HQ reorganization, this version of the manual will not provide the roles and financial responsibilities of the
HQ program offices. Exhibit III. 14 identifies the responsibilities of the HQ management offices.
Financial Management and Funding Processes
Regional financial authority consists of three distinct, but interrelated, pans: approvals, commitments, and
obligations. The payment and deobligation processes result in drawdowns from obligated funds. Due to limited
resources to fund FY 96 activities, it is essential that Regions deobligate unneeded prior-years funds so they
can be used to close the funding gap. The funding processes are outlined in Exhibit III. 15. Exhibit III. 16
indicates the process by which the Regions commit and obligate funds.
Financial Management Funding Mechanisms
EPA uses a variety of funding mechanisms to carry out CERCLA-funded response actions. These include the
following:
Contracts
The Agency's Long-Term Contracting Startegy (LTCS) identifies the long-term contracting needs of the
Superfund program and provides a portfolio of Superfund contracts to meet those needs over the next ten years.
During FY 96, implementation of the strategy will continue.
Superfund contracts are awarded through standard procurement procedures (see the OC's Resources
.Management Directives S\stems 2550C. Chapter 2. and the EPA Contracts Management Manual, or refer
directly to the directives prepared for each contract). Exhibit III. 17 contains information on the procurement
forms used for most Superfund contracts The unique aspect of Superfund contract processing and financial
tracking stems primarily from the need to associate contractor costs incurred with specific Superfund sites and
OUs to support the cost recover)' process. Cost recovery negotiations with PRPs or court actions require
careful documentation of Federal costs incurred at each site/spill. Exhibits III. 18 and III. 19 describe key
financial management processes for each of the primary categories of Superfund contracts; both site and non-site
specific.
Ill - 27 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
EXHIBIT ffl.ll
REGIONAL FINANCIAL MANAGEMENT RESPONSIBILITIES
Administrator
Office
Division
Approves cleanup actions
under removal authority
» Approves consistency
exemptions at NPL sites
where the removal costs are
more than $2 million '
Awards CAs
Awards lAGs
Enters into SSCs
Initiates response planning
activities
Awards TAGs
* All of these authorities may be
re-delegated with the exception
of removal actions deemed
"nationally significant,"
consistency exemptions.
Provides technical support to
the CO
Reviews vouchers and/or
financial reports
Manages CAs and lAGs
Prepares CNs and PRs
Develops SSCs
Negotiates CAs
Issues S/S IDs or requests
that they be issued
Manages the Region's
allowances
Approves Request for
Proposals (RFPs) or Request
for Bids and contracts
developed by the States
Participates in pre-award
financial management system
reviews
Enters financial data on
contracts, lAGs, and CAs
into WasteLAN
Maintains Superfund
document files on Regional
work performed
Assigns AN, DCN, and CA
identification numbers
Enters quarterly AOA into
IFMS, controls Regional
allowance, maintains
ADCR, and reconciles
transactions
Issues S/S IDs
Sets up Regional account
numbers in IFMS
Processes PRs, lAGs, and
CAs
Enters commitments,
obligations, and drawdowns
into IFMS
Reviews invoices, monthly
financial reports, and
payment requests
Obligates Regional contracts
and modifications
Assists Regional program
office in the pre-application
phases of the CA
development
Maintains Superfund
document files on Regional
costs, and supports the
preparation of
documentation for cost
recovery
Maintains accounts
receivable for cost
recovery, cash outs, SSC
cost share, and oversight
billings, and maintains
billing and collection system
Provides Regional program
office with financial data
February 19, 1996
III - 28
-------
OSWER Directive 9200.3-14-1B
EXHIBIT m.12
DESCRIPTION OF REGIONAL PROGRAM OFFICE FINANCIAL
MANAGEMENT STAFF
J»*S«ittfe -
OK»r
Employees of
EPA
Manages
remedial,
enforcement,
removal, and
general site
support
contracts
Adittini$fr&tiv«
: Stqjjw** U»lt ,
: {A$1# '
Established in
each Regional.
program
office
Staffed with
EPA staff
(the non-
government
functions may
be performed
by a
contractor)
Provides
administrative
support to the
OSC/RPM
Provides
liaison
between
OSC/RPM
and other
groups
involved in
administrative
matters
Provides
support to
Regional
program
management
III - 29
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
EXHIBIT IH. 13
RESPONSIBILITIES OF REGIONAL PROGRAM OFFICE
FINANCIAL STAFF
o$c
Prepares site
budgets and
contract
action
requests
Completes
Action
Memoranda
Prepares
delivery
orders and
PRs
Establishes
and maintains
official site
file
Reviews and
approves
cleanup
contractors'
charges on a
daily basis
Tracks site
costs against
the.
established
site ceiling
Approves . .
contractor
invoices
Acquires
services using
warrant for
up to
$250,000
Ordering
Officer
Obligates a
maximum of
$250,000 for
removal
actions
Develops
statements of
work and
cost ceilings
for removals
RPM
Reviews
contractor
invoices and
financial
reports
Establishes
and maintains
official site
files
Initiates
Work
Assignments
(WAs), CAs,
lAGs, and
contracts
Approves
site-specific
IAG invoices
KPO/DFO
Evaluates and
designates
contractor
award fees
Monitors
contractors'
activities
Reviews
monthly
contractor
reports and site-
specific
attachments
Initiates WAs,
CAs, lAGs, and
contracts
Approves site-
specific IAG
invoices
Identifies
Regional and
site-specific
contract
requirements
* Reviews
invoices
* 'Provides
general contract
management
suppon
&5*J
Assists
OSC/RPM in
administrative
duties
Assists in
developing
removal site
budgets and
Action
Memoranda
Assists in
daily cost
monitoring
via daily
contractor
reports
Maintains the
Removal Cost
Management
System
(RCMS)
Sets up and
maintains
active site
files
Completes
PRs and CNs
Reviews
IFMS reports
February 19, 1996
III - 30
-------
OSWER Directive 9200.3-14-IB
EXHIBIT ffl.14 (1 OF 2)
FINANCIAL RESPONSIBILITIES OF HQ MANAGEMENT OFFICES
Offkt
-------
OSWER Directive 9200.3-14-1B
EXHIBIT III. 15
FINANCIAL MANAGEMENT AND FUNDING PROCESSES
s Activity
BiseassiGa
Approvals
An approval by the AAs, Regional Administrator or official designee is authorization
to undertake a CERCLA-funded response action.
Early Actions (Removal Authority):
Regional Administrator approves actions costing up to $2 million, grants
exemptions to twelve month and $2 million statutory limits based on consistency
with the long-term action, and may rerdelegate to the OSC the authority to
approve actions costing up to $50,000 in emergency 'situations.
Except in emergency situations, before taking action, an Action Memorandum
must be approved. The Action Memorandum documents whether the release
meets the criteria of the Comprehensive Environmental Response, Compensation
and Liability Act of 1980 (CERCLA) and the National Oil and Hazardous
Substances Pollution Contingency Plan (NCP), and includes an estimated total
project ceiling. The OSC uses the estimate of duration and cost in order to
determine the proper approval authority.
In extreme emergencies, the OSC may initiate activities without preparing the
necessary documentation in advance. The OSC must document the decision within
24 hours of initiating the response.
Early Actions (Remedial Authority), RD, RA, Site Screening and Assessment,
Enforcement, and Federal Facilities:
Planning is accomplished through 'SCAP. Funds cannot be committed or obligated
unless the project is in SCAP.
Obligation planned and executed on an OU or site basis. Outlays (payments)
should be attributed to the appropriate OU.
A Record of Decision (ROD) is required for all early actions (remedial authority)
and long-term actions. ROD is signed by the Regional Administrator/Deputy
Regional Administrator, or the AA SWER. ROD documents the alternative
decision-making process, demonstrates that the requirements of CERCLA and the
NCP have been met, and provides the basis for future cost recovery actions.
Commitments
Commitments are a reservation of funds but not a legal promise to pay a supplier.
Once the Regional FCO certifies the availability of funds, a spending action becomes
a commitment. Funds that are committed but not obligated are called open
commitments.
There are two types of commitment documents: PR and CN. PRs commit funds for
.contracts: CNs commit funds for CAs and reimbursable lAGs.
February 19, 1996
III - 32
-------
OSWER Directive 9200.3-14-1B
EXHIBIT HI.15 (CONTINUED)
FINANCIAL MANAGEMENT AND FUNDING PROCESSES
Obligations
Obligations legally bind the government to pay a supplier for goods or services.
Obligated funds can no longer be used for any other purpose.
A contractor, another Federal agency, or State cannot start work until funds have
been obligated. Funds can be used only for the purpose for which they were
obligated, unless they are deobligated.
Obligating documents must be processed in accordance with guidance issued by
OAM, GAD, and FMD. Some contracts are awarded by OAM and entered int&
IFMS by the SFO/RTP, others are handled by the Regions. Obligations for CAs are
entered into IFMS by the Regions; lAGs are entered by the FMC-Cincinnati.
Payments
(Outlays)
Invoices from contractors/suppliers are submitted to proper SFO for payment.
Before payment, there must be an obligating document and a receiving report to
verify that the work was completed, or that the goods received were satisfactory.
Unpaid obligations remain in IFMS until paid, or until the allowance holder or
obligating official notifies the SFO that no further payments will be made.
Deobligations
Handled similarly to obligations. Same commitment and obligation documents and
procedures are used, except that the dollar amount is a reduction. Availability of
funds after deobligating depends on when the funds were obligated. Current year
funds are available as soon as the deobligation is effective. Prior year funds revert
back to HQ for redistribution. In order to reuse prior year funds, allowance holders
must, request a recertification of funds to their allowance.
Regions should regularly review the status of all contracts, lAGs, and CAs. If all
activities have been completed, remaining funds should be deobligated immediately to
make them available for other activities.
Ill - 33
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
EXHIBIT m.16
HANDLING FINANCIAL DATA IN THE CERCLIS ENVIRONMENT
Funding Document prepared by
Program Office in appropriate area
(Site Assessment, Remedial, Removal,
Federal Facilities, Enforcement)
T
I Approval of Funding Document I
*
FMO reviews the Funding
Document, assigns the
appropriate account code
information (AN/DCN) and
enters commitment
information into IFMS
Commitment information is
transferred from IFMS into
WasteLAN/CERCLIS
Contracts signed by CO
CAs signed by Regional
Administrator
lAGs signed by
Participating Panics
FMO reviews the Funding
Document, assigns the
appropriate account information
(AN/DCN) and enters Regional
obligation into IFMS
Obligation data is transferred from IFMS
into WasteLAN/CERCLIS
February 19, 1996
III - 34
-------
OSWER Directive 9200.3-14-1B
EXHIBIT ni.17
EPA FORMS COMMONLY USED FOR SUPERFUND PROCUREMENTS
EPA Form
Number
1900-8
Procurement
Request/Purchase
Order
The Agency's basic form for
requesting the procurement of
any goods or services. Used to
commit funds before obligating
funds on any of these
documents. Must be certified
by FCO.
This form is the basis for
entering a commitment in
IFMS. The FMO enters an
obligation only upon receiving
a contract document or
purchase order.
1900-48
Order for Services-
Emergency
Response to
Hazardous
Substance Release
Used by OSCs to obligate
funds and contract for services
(up to $2,500) from
commercial firms or a State or
local government (if site not
owned by State or subdivision
at time wastes were disposed
of) to respond to a release.
Results in a firm, fixed-price
contract. No price adjustment
may be made for work stated
in contract. Contractor may
submit only one invoice.
FMO will process contract as
an obligation.
1900-49
Notice to Proceed
with Emergency
Response to
Hazardous
Substance Release
Used by OSC to authorize a
contractor to begin work on an
emergency response (up to
$10,000 per incident).
Negotiation of definitive
contract and any modifications
performed by CO.
A preliminary contractual
instrument that must be made
final by a designated CO.
FMO will process notice as an
obligation.
1900-56
Letter contract for
State, Indian Tribal
Governments, or
Local Government
Response to
Emergency
Hazardous
Substance Release
Used by OSC to procure
services from a State, local or
Indian Tribal government to
begin work on an emergency
response (up to $10,000 per
incident) if site was not owned
by State or subdivision at time
of hazardous waste disposal.
Negotiation of definitive
contract and any modifications
performed by CO. .
Results in a cost
reimbursement type agreement
with a State, local, or Indian
Tribal government. It is a
preliminary contractual
instrument that must be made
final by a CO. The
appropriate FMO will process
a letter or contract as an
obligation.
1900-59
Delivery Order for
ERCS and ERRS
Used by OCSs to order
services (up to $250,000) from
the ERCS or ERRS contractor
to respond to a release. All
modifications and obligations
greater than $250,000 will be
processed by the CO.
Has time and material
provisions but uses fixed rates
negotiated in ERCS or ERRS
contract. Order must be made
final by a designated CO.
FMO will process orders as an
obligation.
Ill - 35
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
EXHIBIT HI. 18
FINANCIAL MANAGEMENT OF SITE-SPECIFIC CONTRACTS
Centra** l>|»e
Obligated and
tracked on a site-
specific basis.
Includes ARCS,
ERCS, RAC,
START, and ERRS.
Commitment
PR is used to
commit funds.
Usually prepared in
advance of the
obligating document
except in emergency
situations when they
are prepared
simultaneously or out
of sequence.
Regional program
office (OSC,
Ordering Officer,
RPM, RPO)
prepares the PR for
site-specific
activities, obtains the
necessary Regional
office approvals, and
forwards the
document to the SFO
for certification of
funds and addition of
accounting
information (AN and
DCN).
SFO enters the
commitment into the
ADCR and IFMS.
Obligation -
Obligated by the
Regional CO, the
Regional Ordering
Officer (OSC), or
HQOAM.
Obligational
authority is
determined by the
type and amount of
contract .
In emergency
situations, OSCs
have contractual
authority to obligate
up to $250,000 via a
delivery order under
an existing contract.
Regions have limited
this authority to
$50,000.
SFO/RTP enters the
obligation into
IFMS.
Payment
OSC or DPO
reviews contractor
invoices for early
actions (removal
authority) and signs
statement indicating
the services have
been provided.
CO and RPM
review contractor
invoices for early
actions (remedial
authority) and long-
term actions. RPM
informs the Project
Officer (PO) if the
invoice accurately
reflects contractors'
activities.
Invoices must be
reviewed within 5
days.
If the OSC disallows
or disputes charges,
a copy of the invoice
is sent to the CO
with an explanation.
OSC sends original
voucher with a copy
of the explanation to
RTP.
If the RPM
identifies a problem,
it should be reported
to the PO for
resolution.
Certified copies of
the invoices are sent
to SFO/RTP for
processing and
payment.
February 19, 1996
III - 36
-------
OSWER Directive 9200.3-14-1B
EXHIBIT IB. 19
FINANCIAL MANAGEMENT OF NON-SITE SPECIFIC CONTRACTS
Discussion
General Site Support
Not obligated on a site-specific
basis
Capable of providing broad
technical and planning support
on an "as needed" basis
Includes START, CLP, and
Environmental Services
Assistance Team (ESAT)
Contractors submit site-
specific attachment that
includes invoiced costs for:
Each site with an S/S ID
All other sites
Program management
Base and award fee .
Non-site activities
(e.g., training)
Contractors submit original
invoice to RTP and copies to
HQPO
PO reviews invoice
RPOs and DPOs may conduct
concurrent reviews
Enforcement
Combination of general site
support and site-specific
contracts; however, not
obligated on a site-specific
basis
Regions issue WAs against the
contract on a site-specific basis
Site-specific WAs are not
entered into IFMS
General Program Support
Contracts
Provides support to HQ and
Regional program offices
Not for site-specific work
Not obligated site-specifically
Administered totally by HQ
III - 37
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
Interagency Agreements (lAGs)
An IAG is a written agreement between Federal agencies under which goods and services are provided. The
Superfund program uses Disbursement lAGs and Allocation Transfer lAGs to request Federal agencies'
assistance with site cleanups and associated activities, and to provide ongoing support or services. The Regional
program office initiates and manages site-specific lAGs. U.S. Coast Guard (USCG)-lead removal lAGs and
DOJ lAGs are negotiated, approved, awarded, and managed at HQ. The IAG specifies the services required,
and identifies the method of payment. Exhibits 111.20 and III.21 discuss IAG financial management.
Cooperative Agreements (CAs)
A CA transfers property, funds, and/or services from EPA to States, political subdivisions, or Indian Tribal
governments to undertake the lead for a site-specific response, to defray the costs associated with participation
in Federal-lead responses, or to build State or Indian Tribal capability to implement CERCLA responses. CAs
provide funding assistance to the State, political subdivision, or Indian Tribal government, document
responsibilities, and obtain State assurances. CAs must be approved by the Regional Administrator or designee.
The steps for developing and managing the financial aspects of a CA in the Region are outlined in Exhibit
111.22.
For additional information on the financial management of CAs, refer to the Resources Management Directives
Systems 25SOD, Chapter 9.
Superfund State Contracts (SSCs)
When EPA or a political subdivision has the lead for an early action (remedial authority) or RA, a SSC is used
to describe the State's role. A SSC is a legally binding agreement that provides the mechanism for obtaining
required State cost share and other assurances, outlines the statement of work for the response action, and
documents responsibilities for implementation of response activities at a site. When a political subdivision has
the lead, the SSC is signed by EPA, the State, and the political subdivision.
The SSC does not obligate funds. Funds for Federal-lead projects must be obligated through an EPA
Procurement Request (PR) with a contractor, or through an IAG with another agency. Funds for response
actions conducted by a political subdivision are provided through a CA (see previous section).
The SSC must be sighed prior to the obligation of funds for a RA or early action (remedial authority). EPA
may obligate RD funds to initiate the RA or early action (remedial authority) procurement process, up to the
point of soliciting for construction bids. In case.s of extreme urgency, a solicitation [for bids on RA or early
actions (remedial authority) work] may be issued before a SSC is signed. The solicitation must notify
prospective bidders that the availability of funds for the contract is contingent on EPA and the State concluding
a SSC. If the SSC is not signed before the bid opening one of the following decisions must be made:
The solicitation may be canceled; or
The bid opening date may be postponed (giving bidders an opportunity to withdraw, modify, or submit new
bids).
To ensure that Fund monies arc effective!;, used, procurement activities should be initiated with RD funds only
when the Region is confident the SSC will be signed before bids are opened.
February 19, 1996 III - 38
-------
OSWER Directive 9200.3-14-1B
EXHIBIT IH.20
DISBURSEMENT IAG FINANCIAL MANAGEMENT
Commitment
Regional program
office initiates
Regional SFO
determines
availability of funds
Program office
prepares IAG
funding package,
including CN,
transmittal memo,
EPA Form 1610-1,
and Decision Memo
that verifies legal
authority
Decision Official in
Region approves
Administrative
Assistance Unit
(AAU) conducts
administrative
review
SFO adds
accounting data and
enters commitment
into ADCR and
IFMS
Obligation
AAU obtains IAG
number from GAD
Action Official signs
IAG
AAU sends IAG to
other Federal agency
for signature
AAU distributes
executed IAG to
program office,
GAD, and FMC-
Cincinnati, where
obligation is
recorded in IFMS
.
fayment
If other agency does
not have
reimbursable
authority, FMC-
Cincinnati pays
before activities
begin
If other agency has
reimbursable
authority, service is
provided first
If the Simplified
Interagency Billing
and Collection
system (SIBAC) or
the On-line Payment
and Collection
system (OP AC) is
used, payment is
made before Region
certifies. Region
may request
adjustments
If paying by check,
voucher submitted to
FMC-Cincinnati
FMC-Cincinnati
forwards voucher
to Region
Region reviews
and certifies
FMC-Cincinnati
pays voucher
USAGE direct site
payment process
allows EPA to
directly pay for
long-term actions
with USAGE
certification
Closeoat
Regional program
office accepts final
report
AAU queries
. Regional program
office when project
period expires or no
project activity
shown for two
quarters
Regional program
office determines
whether IAG should
remain open or be
closed. Notifies
AAU
Regional program
office prepares
closeout request.
Sends it to AAU
AAU determines
from FMC-
Cincinnati that IAG
is closed
AAU sends closeout
letter to other
agency, and notifies
GAD and Regional
program office
III - 39
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
EXHIBIT 111.21
ALLOCATION TRANSFER IAG FINANCIAL MANAGEMENT
Regional program
office initiates
Develop preliminary
, cost estimate with
other agency
Regional program
office prepares
funding package,
including EPA Form
1610-1, transmittal
memo, and Decision
Memo
Decision Official
rpvipWQ 3iiH
1CV1WWS O11U
approves funding
package and submits
to AAU
AAU obtains IAG
number from GAD
GAD enters IAG
data into Grants
Information Control
System (GICS)
Action Official signs
IAG package
AAU submits IAG
to other agency for
signature
AAU distributes
IAG to program
office, GAD, and
OC
Program office
submits change
O
request to the
Budget Formulation
and Control Branch
OC withdraws funds
from Region's
allowance and
transfers them to the
EPA transfer
allocation account
Financial Reports
and Analysis Branch
executes transfer
Obligational
authority is
transferred to other
agency, EPA
monitors
expenditures ,
Other agency
submits monthly SF
133, Budget
Execution reports on
obligations and
expenditures to
FMD
Other agency
submits periodic
status reports to
program office and
HQ Superfund
Budget Branch
Other agency
maintains records
and documentation,
submits to EPA
upon request
Program office
reviews progress
reports
Same as
disbursement IAG;
however, AAU asks
EPA Office of
Inspector General
(OIG) to request the
other agency's OIG
to determine
financial status of
the IAG
February 19, 1996
III - 40
-------
OSWER Directive 9200.3-14-1B
EXHIBIT IU.22
COOPERATIVE AGREEMENT FINANCIAL MANAGEMENT
Conunitnienf
Regional
Program
Office
. prepares CN
and obtains all
necessary
program
approvals
Regional
Management
Division
certifies
availability of
funds, assigns
accounting
data, sets
aside the
funds on the
ADCR, and
enters
commitment
into IFMS
AAU assigns
CA
identification
number
ObUgdthfe
Regional
Administrator
or his/her
designee signs
CA .
Regional
Management
Division
processes
obligation in
accordance
with OAM,
GAD, and
FMD
requirements
Regional
Management
Division enters
obligation into
ADCR and
IFMS
Pastil
By EPA-Automated
Clearing House
(EPA-ACH)
Payment System
Uses Department
of Treasury
electronic payment
mechanism
Payment request
submitted to SFO
SFO reviews to
determine if:
Budget period is
valid
- EPA-ACH AN
and summary
detail are
correct
Project numbers
valid
Funds available
Reports
received
Balance on hand
not excessive
All or pan of
request may be
approved
SFO notifies
recipient of
modified or
rejected payment
If approved, EPA
transfers to
recipient's financial
institution
Region monitors
monthly
BeobfigaiioR
Handled same
as obligation,
except dollar
amount is
reduction
Availability of
funds after
deobligation
depends on
when they
were originally
obligated
Currently, FY
funds are
available as
soon as
deobligation is
effective
Prior year
funds revert to
HQfor
redistribution
Regions should
regularly
review status
Transfer oC
Punds
Under multi-
site CA, funds
can be
transferred
from one site
to another site
or one
response phase
to annthpr
i\J CU1VJU1V1
response phase
at the same
site
Called a
transwitch
Requires
formal CA
amendment
CA
amendment
shows transfer
of funds by
changing
accounting
information
III - 41
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
Exhibit III.23 explains the SSC financial management requirements. For additional information on financial
management responsibilities related to SSCs, refer to the Resources Management Directives Systems 2550D,
Chapter 9.
Cost Recovery/Cost Documentation
CERCLA, as amended, imposes liability on responsible parties for the cost of responding to releases or
threatened releases of hazardous substances from hazardous waste sites or spills. When these PRPs fail to clean
up sites on their own, EPA may perform the cleanup and later attempt to recover the cleanup costs from the
parties. Obtaining reimbursement for these costs through negotiation or judicial action is one of the primary
goals.of the Superfund program. . . ' .!
Cost recovery documentation is performed by a case development team composed of representatives from the
ORC, the Regional program office, and the Regional SFO. The involvement and distribution of responsibilities
of each of these offices during the cost recovery process does vary within each Region, and may be defined
by a Regional Inter-Office Memorandum of Understanding. Exhibit III.24 is provided as a brief guide to the
cost recovery case development process.
HANDLING FINANCIAL DATA IN THE WASTELAN/CERCLIS ENVIRONMENT
This section discusses the process for entering response and enforcement extramural budget data into
WasteLAN. During FY 96, an automated link for downloading IFMS data into WasteLAN/CERCLIS will be
initiated. Transfer of financial information from IFMS to WasteLAN/CERCLIS will eliminate the need for manual
entry of actual financial data (commitments and obligations) into WasteLAN. Planned financial data must still be
entered into WasteLAN by the Region; the procedures for entering planned financial data remain the same,
Entering Response and Federal Facility Data into WasteLAN
Once the funding document has been processed by the Region, and actual commitment or obligation data are
entered into IFMS and transferred to WasteLAN/CERCLIS, the planned financial data (C3202 = P) must be
deleted from WasteLAN. If a Region wants to retain planned financial data, it must enter the planned obligation
into WasteLAN with a Regional Financial Type (C3202) of "X," "Y," or "Z." The Financial Type code of "P"
(planned) cannot remain in the system once the funds are committed or obligated. Failure to replace the "P"
(planned) could cause the Region to exceed its annual budget, which will result either in withholding AOA approval,
or a reduction in next quarter's AOA.
As a result of the IFMS transfer. Regions will no longer enter actual commitments and obligations into
WasteLAN. Although planned financial data will still be entered into WasteLAN by the Regions and uploaded to
CERCLIS, actual commitments and obligations will now be entered solely into IFMS by the Regional FMO. From
IFMS the data will be downloaded into WasteLAN/CERCLIS on a nightly basis. This new process will save time
and should eliminate the data errors and subsequent need for reconciliation of data between IFMS and
WasteLAN/CERCLIS.
February 19, 1996 III - 42
-------
OSWER Directive 9200.3-14-1B
EXHIBIT 1H.23
SSC FINANCIAL MANAGEMENT
In place before EPA or political subdivision begins Fund-financed early action
(remedial authority), RA, or NTC removal where the State is sharing the cost
If USAGE is performing the action, SSC must be signed before construction
contract is signed
Assures State will pay its cost share of 10% of an early action (remedial
authority), RA, or NTC removal for privately operated sites or 50% of the
ESI/RI/FS, RD, RA, and early action for publicly operated sites. At the time
of the early action (remedial authority) or.RA start, the State is required to pay
50% of all prior Superfund response activities
Contains program assurances and payment schedule
Development
Developed by Regional program office
State may be required to provide cash payments to EPA
RPM/RPO forwards copy of SSC to Regional Management Division for
accounts receivable processing
RPM/RPO forwards SSC modifications to Regional Management Division
Payment Schedule
State payment schedules are negotiated and may be either lump-sum or
incremental
State cost share is available and should be considered when requesting funding
Billing
30 days prior to SSC payment schedule, Regional Management Division will
send notice of amount required and due date to State
Payment is sent to Regional Superfund lockbox address
Regional Management Division will reference SSC, including site name and
identifier on invoice
State must include a copy of the invoice with any remittance
Receipt of
If funds not received when due. Regional Management Division follows up
with RPM/RPO
RPM/RPO. follow up with State and advise Management Division .
No interest will accrue on invoiced amount if State dollars are provided before
EPA obligates funds for an early action (remedial authority) or RA. In this
case, the Region deposits money in Trust Funds and receives a reimbursable
allowance
RPM/RPO is responsible for notifying Regional Management Division to close
out SSC
Regional Management Division reconciles financial data
III - 43
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
EXHIBIT IH.24
COST RECOVERY REFERRAL DEVELOPMENT PROCESS
Initiation of Cost
Recovery Process
Regional program office prepares and submits cost recovery checklist through
Regional Cost Recovery Coordinator (RCRC) to Regional SFO. Checklist
identifies date through which costs are to be documented and date
documentation is requires.
Documentation process for costs begins.
RCRC obtains cost documentation package from SFO and prepares cost
summary.
RCRC requests site-specific reports generated by the Superfund Cost
Organization and Recovery Enhancement System (SCORES) to provide cost
basis for negotiations with PRPs.
Cost Documentation
and Reconciliation
Involves collecting and reviewing documentation to ensure accounting and cost
information are recorded correctly, costs are properly charged, ANs refer to
the appropriate site, and costs on documents are accurately reflected in IFMS.
SFO documents Regional Superfund costs and prepares cost summary,
computes indirect costs, provides expert and factual financial witness
testimony, and interprets financial documents and SCORES reports.
ORC reviews final cost summary and documentation in preparation for
litigation and takes appropriate action pursuant to the Privacy Act and
Confidential Business Information requirements.
Work Performed
Documentation and
Reconciliation
Involves collecting and reviewing documentation to ensure that costs are being
pursued for appropriate site activities.
RCRC assembles copies of any task creating document (WA, Purchase Order,
Delivery Order, etc.) as well as amendments or modifications, progress
reports and close-out reports for the tasks included in the cost recovery
referral.
RCRC works with the SFO to ensure correspondence between the cost and
work performed documentation.
ORC reviews final work performed documentation package and takes
appropriate action pursuant to the Privacy Act and Confidential Business
Information requirements.
Site File
Maintenance
Diligent maintenance is crucial to cost recovery and is a Regional
responsibility.
Financial files maintained by the FMO until 2 years after all cost recovery
litigation is complete.
Work performed files maintained by contracts officials or RCRC in
accordance with Agency disposal guidance.
Disposal of files is permitted after 20 years.
Cost recovery documentation should be maintained by the RCRC until
required by the litigation team.
February 19, 1996
III - 44
-------
OSWER Directive 9200.3-14-1B
Entering Enforcement Extramural Budget Data into WasteLAN
After the implementation of the IFMS transfer, Regional personnel will no longer be responsible for entering
obligations/tasking [Work Assignment (WA)] amounts into WasteLAN. Although Regions are still responsible for
entering planned financial data into WasteLAN, actual commitments and obligations will now be entered solely into
IFMS by the Regional FMO. From IFMS, the data will be downloaded into WasteLAN/CERCLIS on a nightly
basis.
To ensure that all appropriate financial data are reflected in WasteLAN, the following information should appear
on obligation documents: EPA identification number (EPA-ID), S/S ID, WasteLAN event or enforcement activity
codes and OU number, WA number, amendment number, and amount.
ANs must be established for each transaction before commitment and obligation. A CA is considered obligated
when it is signed by the Regional Administrator. An IAG is considered obligated when it is signed by the other
agency. Contracts are considered obligated when the CO signs the obligating document or, in the case of a ESS
WA, when the CO signs the WA. Regions also are responsible for reviewing and recommending payment of the
invoice/voucher (outlays) for these mechanisms. Once invoices are paid, these dollars are entered into IFMS. If
the obligation was generic and the invoice is site-specific, IFMS shows the funds deobligated from the generic
account and obligated and disbursed from the site-specific account.
Correcting Financial Data
The IMC or Regional Superfund Budget Coordinator can request, on a regular basis, a report from the Regional
financial office that contains all Superfund financial transactions in IFMS. The information in this report can be
compared with the funding documents and the information in WasteLAN. If there is a discrepancy between the
financial data in WasteLAN and IFMS, the funding document should be used to verify the information in both
systems. There are three kinds of corrections which may be needed on financial information in IFMS, as shown
in Exhibit 111.25.
Upon determining that the data on the funding document are correct and have been transferred correctly into
WasteLAN/CERCLIS, the IMC should give the Regional FMO a copy of the funding document, and any other
relevant documentation showing that the IFMS data has been entered incorrectly. The Regional IFMS administrator
is then responsible for correcting any data errors in IFMS. The IFMS administrator is the only person
authorized to correct data entry errors or change financial information in the IFMS data base. The OC has
issued standard procedures for correcting IFMS data. The IMC or designee should work with the Regional FMO
on a regular basis to make sure that all IFMS errors are corrected.
Errors in AN/DCN or other information on the original funding document can only be corrected by the same
process used to initially create the financial record (by a contract/PR or by amendment of the
IAG or CA).
EXHIBIT III.2S
CORRECTIONS TO FINANCIAL INFORMATION
Data entry errors in IFMS
Changing ANs or DCNs that were initially entered into IFMS
Correcting errors in the source funding document or making
other amendments to existing commitments or obligations
III - 45 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
OVERVIEW OF THE FTE DISTRIBUTION PROCESS
For FY 96 the Superfund Workload models and Regional FTE allocation remain frozen. While the freeze
ensures that total Regional Superfund resources will not be affected, shifting of resources within the Region among
the different program areas may occur. This includes shifts between the response and enforcement programs. All
shifts will be based on priorities established for the national budget.
A Headquarters/Regional Workgroup has been working since March 1993 to develop a revised workload model
that would be used to allocate both the Superfund response and enforcement FTEs. Headquarters is completing a
supplementary analysis of a methodology for distributing FTE among the Regions according to the number of Mega-
sites and NPL-caliber sites within each Region. The revised model is an active sites model with the following
categories:
Site Assessment;
Removal;
Remedial;
Enforcement; and
Contracts and Fiscal Management.
February 19, 1996 III - 46
-------
OSWER Directive 9200.3-14-1B
Index
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
This Page Intentionally
Left Blank
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
Acronyms, 1
Advice of Allowance (AOA), 111-10
Change Request Procedures, III-16
Flexibility, 111-14, 111-15
Process, III-11
Regional Allowances, III-11
SCAP, Relationship to, 111-19
AOA (see Advice of Allowance)
Archiving CERCLIS Sites, II-3
. Deferred to NRC, II-6
Deferred to RCRA, II-5
Field Descriptions, II-5
Guidelines, II-5
NFRAP, II-4, II-5
Removed from the NPL, II-6
Site Assessments with NFRAP Decisions,
II-5
Terms, II-4
Budget, III-l
AOA Procedures and Financial Reporting
Requirements, HI-10
CERCLIS/WasteLAN Financial Data, 111-42
FTE Distribution Process, 111-46
FY 96 National Budget, III-6
FY 96 Regional Budget, III-6
FY 97 National Budget, III-2
Outyear Budget Development, III-l
SCAP and Annual Regional Budget, III-8
Superfund Financial Management, 111-24
Change Request Procedures, III-16
CERCLIS/WasteLAN Financial Data
Entry, 111-42
Correcting Financial Data, 111-45
Enforcement Extramural Budget
Data, 111-45
Response and Federal Facility Data, 111-42
Construction Completions, II-3, 11-12
Early and Long-Term Actions
Performance Goals, II-2, 11-12
Targets and Measures, Appendix B
Enforcement
. Budget, III-7
Extramural, Entry .into WasteLAN, 111-45
Targets and Measures, Appendix C
Environmental Indicators, II-IS
Magnitude of Hazardous Reduction
(MOHR), IMS
Magnitude of Risk Reduction,
(MORR), 11-15, II-16
Federal Facilities
Budget, III-8
Performance Goals, II-l
Targets and Measures, Appendix D
Financial Data, 111-42
CERCLIS/WasteLAN Environment, 111-42
Correcting Financial Data, 111-45
Entering Enforcement Extramural Budget
Data into WasteLAN, 111-45
Entering Response and Federal Facility data
into WasteLAN, 111-42
Financial Management, 111-24
Account Number Structure, New, 111-26
Contacts, 111-24
Contracts, 111-27
Cooperative Agreements (CAs), 111-38
Correcting Financial Data, IH-45
Enforcement Extramural, IH-45
Funding Mechanisms, HI-27
Funding Processes, HI-27
Headquarters Responsibilities, HI-27
Interagency Agreements (lAGs), 111-38
"OZZVOWQ" Accounting Information,
111-26
Regional Responsibilities, HI-27
Superfund State Contracts (SSCs), 111-38
Tools and Systems, HI-25
WasteLAN, 111-42
Financial Tools and Systems, HI-25
Account Number, New, IH-26
Contracts, HI-24
Cooperative Agreements (CA), 111-38
Funding Mechanism, HI-27
Interagency Agreements (IAG), 111-38
"OZZVOWQ" Accounting Information,
IH-26
Superfund State Contracts (SSCs), 111-38
FTE Distribution Process, (see Budget)
FY 96 National Budget Development, III-5
FY 96 Regional Budget, IH-6
Enforcement Budget, IH-7
Federal Facilities Budget, IH-8
Response Budget, IH-7
February 19, 1996
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OSWER Directive 9200.3-14-1B
FY 97 Budget Development, III-2
Approval, III-3
Formulation, III-2
Program Characterization, III-2
Review Phase, III-2
Timeline, III-4
Goals and Priorities, 1-1
Government Performance Results Act (see
GPRA)
GPRA, II-1
Construction Completions, II-3, II-12
Early and Long Term Action Completions,
II-2, II-12
Magnitude of Hazardous Reduction (MOHR),
11-15
Magnitude of Risk Reduction, 11-15, II-16
Operational Processes, II-13
Outreach, II-3, 11-13
Performance Goals and Strategies, II-11
Program Description, II-1, 11-11
Risk Reduction, II-14
Screen and Assess Sites, II-2, 11-11
Validating Measured Values, 11-13
Integrated Financial Management Systems (see
IFMS)
IFMS
AOA Process, 111-10
AOA Change Request Procedures, III-16
Financial Management Tools. 111-25
Entering Enforcement Extramural Budget
Data. 111-45
"OZZV'OWQ" Accounting Information.
111-26
WasteLAN, Handling Financial Data. 111-42
NFRAP Decisions, II-4, 11-5
Archive Guidelines, 11-5
Deferred to NRC, II-6
Deferred to RCRA, II-5
Field Descriptions, II-5
Site Assessments, II-5
Oil Program, Appendix F
Operational Processes, Skills, and
Technology, II-13
Outreach, II-3, 11-13
Outyear Budget Development, HI-1
Partial Deletions, II-6
Performance Goals and Strategies II-11
Construction Completions, 11-12
Early and/or Long-Term Action
Completions, 11-12
Outreach, II-13
Risk Reduction, 11-15
Screen and Assess Sites, 11-11
Program Planning and Reporting
Requirements, II-1
Archiving CERCLIS Sites, II-3
FY 96 Performance Plan, II-11
GPRA, II-1, 11-11
Partial Deletion of NPL Sites, II-6
Risk Reduction, II-5
Regional Allowances, III-11
Regional Budget Development, III-9
Regional Analytical Budgets, III-10
Site Specific Travel, III-9
Risk Reduction, 11-15
Magnitude of Hazardous Reduction
(MOHR), II-15
Magnitude of Risk Reduction (MORR),
11-15, 11-16
SCAP, Annual Regional Budget's
Relationship to, III-8
AOA Utilization, 111-10
Initial Annual Regional Budget, III-9
SCAP, AOA Relationship to, III-19
Screen And Assess Sites
Performance Goals, II-2, II-ll
NFRAP Decisions, II-4, II-5
Targets and Measures, Appendix A
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
Acronyms
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
This Page Intentionally
Left Blank
February 19, 1996
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OSWER Directive 9200.3-14-1B
AA-
A/E
AAOE-
AA SWER
AA OECA
AAU -
AC-
ACP
ADCR-
AHRC -
ALT
AN-
AO-
AOA
AOC-
AOG
APR-
AR-
ARAR -
ARCS-
ARIP
ARM
ASF-
AST
ASTW -
ASU -
ATSDR -
ATSDR HAZDAT
BC/AOA -
BLM -
.BRAC -
BTAG-
BUREC -
CA-
CADD-
CAS No. -
CBD -
CD-
CED -
CEPP-
CEPPO -
CERCLA -
CERCLIS -
CERFA -
CERHELP -
CFO-
CIAO-
CLP-
CN-
CO-
COI-
CORA
CPB-
Assistant Administrator
Architect/Engineer
Assistant Administrator for the Office of Enforcement
Assistant Administrator for the Office of Solid Waste and Emergency Response
Assistant Administrator for the Office of Solid Waste and Emergency Response
Administrative Assistance Unit
Area Committee
Area Contingency Plan
Automated Document Control Register
Alternative Dispute Resolution
Allowance Holder/Responsibility Center
Alternate
Account Number .
Administrative Order
Advice of Allowance
Administrative Order on Consent
Agency Operating Guidance
Approved
Administrative Record
Applicable or Relevant and Appropriate Requirements
Alternative Remedial Contracting Strategy
Accidental Release Information Program
Administration and Resources Management
Above-ground Storage Facility
Above-ground Storage Tank
Above-ground Storage Tank Workgroup
Administrative Support Unit
Agency for Toxic Substances and Diseases Registry
Agency for Toxic Substances and Diseases Registry Hazardous Data System
Budget Control/Advice of Allowance
Bureau of Land Management
Base Realignment or Closure
Biological Technical Assistance Group
Bureau of Reclamation
Cooperative Agreement
Corrective Action Decision Document
Chemical Abstract Number
Commerce Business Daily
Consent Decree
CERCLA Enforcement Division (OWPE)
Chemical Emergency Preparedness and Prevention Program
Chemical Emergency Preparedness and Prevention Office (OSWER)
Comprehensive Environmental Response, Compensation, and Liability Act of
1980
Comprehensive Environmental Response, Compensation, and Liability
Information System
Community Environmental Response Facilitation Act
CERCLIS non-site specific data base
Chief Financial Officer
Citizen Information and Access Offices
Contract Laboratory Program
Commitment Notice
Contracting Officer
Conflict of Interest
Cost of Remedial Action
Contracts and Planning Branch (OWPE)
1
February 19, 1996
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OSWER Directive 9200.3-14-1B
CPCA-
CR-
CRCR-
CRP-
CWA
CWG -
3DB-
DA-
DAS
DCN-
DNAPL -
DOD-
DOE
DOI-
DOJ-
DOT
DPO
DRG-
EA- .
EBS -
EE/CA -
El
EMSL-
ENRD-
EPA -
EPA-ACH
EPA ID -
EPCRA -
EPI -
EPIC-
ERA -
ERCS-
ERD-
ERNS-
ERRS-
ERT-
ESAT-
ESC -
ESD -
ESF -
ESI -
ESI/RI -
ESS-
FCO-
FE-
FEMA-
FFA-
FFCA
FFEO-
FFRRO -
FFIS-
FFS-
FINDS -
FMC-Ci-
FMD-
FMFIA -
Core Program Cooperative Agreement
Community Relations
Cost Recovery Category Report
Community Relations Plan
Clean Water Act
Community Work Groups
Decision Document Database
Deputy Administrator
Delivery of Analytical Services
Document Control Number
Dense Non-Aqueous Phase Liquids
Department of Defense
Department of Energy
Department of the Interior
Department of Justice
Department of Transportation
Deputy Project Officer
District Response Group
Integrated Removal/Remedial Evaluation
Environmental Baseline Survey
Engineering Evaluation/Cost Analysis
Environmental Indicators
Environmental Monitoring Systems Laboratory
Environment and Natural Resources Division (DOJ)
Environmental Protection Agency
EPA Automated Clearing House
EPA Identification Number
Emergency Planning and Community Right to Know Act of 1986
Environmental Priorities Initiative
Environmental Photographic Interpretation Center
Expedited Response Action
Emergency Response Cleanup Services
Emergency Response Division (OERR)
Emergency Response Notification System
Emergency and Rapid Response Services
Environmental Response Team
Environmental Services Assistance Team
Enforcement Support Contract
Explanation of Significant Differences
Emergency Suppon Function
Enhanced Site Inspection
Expanded Site Inspection/Remedial Investigation
Enforcement Support Services
Funds Certifying Officer
Federal Enforcement
Federal Emergency Management Agency
Federal Facility Agreement
Federal Facility Compliance Agreement
Federal Facilities Enforcement Office
Federal Facilities Restoration and Reuse Office
Federal Facilities Information System
Focused Feasibility Study
Facility Index System
Financial Management Center - Cincinnati
Financial Management Division
Federal Managers Financial Integrity Act
February 19, 1996
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OSWER Directive 9200.3-14-1B
FMO-
FOIA-
FOSL-
FOST-
FR-
FRP-
FS-
FSC-
FSS-
FTE-
FUDS-
FY-
FY/Q -
GAD-
GAO-
GFO-
GICS-
GIS-
GNL-
GPRA-
HAZDAT -
HI-
HQ-
HRS-
HSCD-
HSWA-
HWC-
IAG-
IFMS-
IMC-
IMS-
IOTV -
IG-
IRM-
ISIF -
LAN -
LEPC -
LERP-
LOC-
LOE -
LTCS -
LIRA -
MARS
MBO-
MM/DD/YY
MMS-
MOHR-
MORR-
MOU-
MSCA-
NAPL-
NBAR-
NCP-
NFRAP -
NOAA
Financial Management Office
Freedom of Information Act
Finding of Suitability to Lease
Finding of Suitability to Transfer
Federal Register
Facility Response Plan
Feasibility Study
First and Subsequent Completion
First and Subsequent Start
Full-time Equivalent
Formerly Used Defense Sites
Fiscal Year
Fiscal Year/Quarter .
Grants Administration Division
Government Accounting Office
Good Faith Offer
Grants Information Control System
Geographic Information System
General Notice Letter
Government Performance and Results Act
Hazardous Data System
Hazard Index
Headquarters
Hazard Ranking System
Hazardous Site Control Division (OERR)
Hazardous and Solid Waste Amendments
Hazardous Waste Collection
Interagency Agreement
Integrated Financial Management System
Information Management Coordinator
Integrated Management Strategy
Interoffice Transfer Voucher
Inspector General
Initial Remedial Measure
Integrated Site Information Form
Local Area Network
Local Emergency Planning Committee
Local Emergency Response Plan
Letter of Credit
Level of Effort
Long Term Contracting Strategy
Long Term Response Action
Management and Accounting Reporting System
Management by Objectives
Month/Day/Year
Minerals Management Service
Magnitude of Hazard Reduction
Magnitude of Risk Reduction
Memorandum of Understanding
Multi-Site Cooperative Agreement
Non-Aqueous Phase Liquid
Non-Binding Allocation of Responsibility
National Oil and Hazardous Substances Pollution
Contingency Plan or National Contingency Plan
No Further Remedial Action Planned
National Oceanic and Atmospheric Administration
February 19, 1996
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OSWER Directive 9200.3-14-1B
NPL-
NPL-PAD
NRC-
NRS-
NRT-
NSEP
NSFCC -
NTC-
NTIS
OAM
OARM
OC-
OE-
OECA -
OERR-
O&F-
OFFE-
OIG-
O&M-
OMB-
OPA-
OPAC-
OPC-
OPM-
OPPE-
ORC-
ORD-
OSC-
OSRE-
OSW-
OSWER -
OU-
OUST-
OWPE-
PA-
PAH-
PC-
PCB-
PDBS -
PES-
PMSO
PNRS-
PO-
POD -
POLREP -
PQOP -
PR-
PRA-
PREP-
PRP
PRSC-
PSO-
QA-
QAPP-
QAT-
RA-
National Priorities List
National Priorities List - Production Assistance Database
National Response Center
National Response System
National Response Team
National Security Emergency Preparedness
National Strike Force Communication Center
Non-Time Critical
National Technical Information Services
Office of Acquisition Management
Office of Administration and Resources Management
Office of the Comptroller .
Office of Enforcement
Office of Enforcement and Compliance Assurance
Office of Emergency and Remedial Response (OSWER)
Operational and Functional
Office of Federal Facilities Enforcement (OE)
Office of the Inspector General
Operation and Maintenance
Office of Management and Budget
Oil Pollution Act of 1990
On-line Payment and Collections
Oil Program Center
Office of Program Management (OERR)
Office of Policy, Planning, and Evaluation
Office of Regional Counsel
Office of Research and Development
On-Scene Coordinator
Office of Site Remediation and Enforcement
Office of Solid Waste
Office of Solid Waste and Emergency Response
Operable Unit
Office of Underground Storage tanks (OSWER)
Office of Waste Programs Enforcement (OSWER)
Preliminary Assessment
Polyaromatic Hydrocarbons
Personal Computer
Polychlorinated biphenyls
Program Development and Budget Staff (OERR)
Planning and Evaluation Section (OERR)
Program Management Support Office (OWPE)
Preliminary Natural Resource Surveys
Project Officer
Program Operations Division (OFFE)
Pollution Report
Pre-Qualified Officers Procurement
Procurement Request
Prospective Purchaser Agreement
Preparedness Response Exercise Program
Potentially Responsible Party
Post Removal Site Controls
Program Support Office
Quality Assurance
Quality Assurance Project Plan
Quality Action Team
Remedial Action
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
RAC-
RADS-
RCMS-
RGP-
RCRA-
RCRC-
RD-
RDT-
RELAI
REMT-
RESAT -
RFP-
RI-
RIDS -
RI/FS -
RME-
ROD
RODEIS -
RP2M
RPM-
RPO-
RRT
RTP -
SACA -
SACM-
SAM -
SARA
SAS-
SCAP-
SCORES -
SEA-
SEP-
SERC -
SERP -
SETS -
SFO-
SI-
SIBAC -
SIF -
SIP-
SITE -
SMARTech
SMOA-
SMP-
SMRS -
SMSA -
SNAP-
SNL-
SOL-
SOW-
SPCC-
SRA-
SRIS-
SSA-
SSAB -
SSC-
Response Action Contract
Risk Assessment Data System
Removal Cost Management System
Regional Contingency Plan
Resource Conservation and Recovery Act
Regional Cost Recovery Coordinator
Remedial Design
Regional Decision Team
Responsive Electronic Link and Access Interface
Regional Emergency Preparedness Team
Regional Environmental Services Assistance Team
Request for Proposal
Remedial Investigation
ROD Information Data System
Remedial Investigation and Feasibility Study
Reasonable Maximum Exposure
Record of Decision
ROD and Enforcement Information System
Remedial Pipeline Project Management
Remedial Project Manager
Regional Project Officer
Regional Response Team
Research Triangle Park
Site Assessment Cooperative Agreement
Superfund Accelerated Cleanup Model
Site Assessment Manager
Superfund Amendments and Reauthorization Act of 1986
Special Analytical Services
Superfund Comprehensive Accomplishments Plan
Superfund Cost Organization and Recovery Enhancement System
Site Evaluation Accomplished
Standard Evaluation Procedures
State Emergency Response Commission
State Emergency Response Plans
Superfund Enforcement Tracking System
Servicing Finance Office
Site Inspection
Simplified Interagency Billing and Collection
Site Information Form
Site Inspection Prioritization
Superfund Innovative Technology Evaluation
Superfund Management and Reporting Technology
State Memorandum of Agreement
Site Management Plan
SCAP Management Reporting System
Standard Metropolitan Statistical Area
Superfund National Assessment Program
Special Notice Letter
Statute of Limitations
Statement of Work
Spill Prevention Control and Countermeasure
Superfund Reform Act
Superfund Report Information System
Site Screening and Assessment
Site Specific Advisory Board
Superfund State Contracts
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
S/S ID -
SSP-
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Site/Spill Identification Number
Site Safety Plan
Strategic Targeted Activities for Results System
Superfund Technical Assistance and Response Team
Technical Assistance Grants
Technical Assistance Team
To Be Determined
Technical Direction Document
Technical Enforcement Support
Technical Enforcement Support Work Assignment Tracking System
Toxic Substances Control Act
Total Quality Management
Technical Review Committees
Treatment, Storage, Disposal Facility
Unilateral Administrative Order
United States Army Corps of Engineers
United States Coast Guard
United States Fish and Wildlife Service
United States Geological Survey
Vessel Response Plan
Work Assignment
Work Assignment Manager
Zone Project Officer
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Organizational Charts
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Office of Solid Waste and Emergency Response
Technology Innovation
Office
Chemical Emergency
Preparedness and
Prevention Office
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Office of Program
Management
Office of the Assistant
Administrator (AA, DAA,
DAA, Ombudsman,
Superfund Reauthorization)
Office of Emergency
and Remedial
Response
Federal Facilities
Restoration and Reuse
Office
Outreach and Special
Projects Staff
Office of
Underground
Storage Tanks
Office of Solid
Waste
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Senior Process Managers
OERR Immediate Office
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Risk: David Bennett
Response Decision: Bruce Means (A)
Pipeline Integration: John Smith
Emergency Response: Mark Mjoness
Teaming: Phyllis Anderson (Special Assistant)
Director: Stephen Luftig
Deputy Director: Elaine Davies (A)
Deputy Director Larry Reed
Super-fund Reform Advocate:
William Ross
Special Assistant: Jan Baker
Patricia Tidwell
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September 1995
U.S. EPA
Office of Emergency and Remedial Response
Reorganization
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Office of Enforcement and Compliance Assurance
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Administration and
Resource Management
Support Staff
Enforcement Capacity
and Outreach Office
Office of
Compliance
Office of
Criminal
Enforcement
Assistant Administrator for
Enforcement and
Compliance Assurance
Office of
Federal
Activities
National
Enforcement
Investigations
Center
Federal Facilities.
Enforcement Office
Planning Prevention
and Compliance Staff
Site Remediation and
Enforcement Staff
Office of
Regulatory.
Enforcement
Office of Site
Remediation
Enforcement
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Office of Site Remediation Enforcement
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Regional Support Division
Office of Site Remediation
Enforcement
Regions 1, 2, 6& 9
Branch
Regions 5, 7, & 10
Branch
Regions 3, 4, & 8
Branch
Program Evaluation
and Coordination
Branch
Program Evaluation
Team
Program Coordination
Team
Remediation
Enforcement
Management Team
Policy and Program
Evaluation Division
Policy and Guidance
Branch
Policy and Guidance
Development Team
Policy Integration
Team
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OSWER Directive 9200.3-14-1B
Regional Map
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Program Implementation Procedures
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OSWER Directive 9200.3-14-1B
Appendix A: Site Screening and Assessment/Regional Decisions
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OSWER Directive 9200.3-14-1B
Site Screening and Assessment/Regional Decision Targets and Measures
Table of Contents
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
FY 96 TARGETS AND MEASURES A-l
Overview of FY 96 Site Screening and Assessment/Regional Decision Targets and Measures A-l
Superfund Durations : '. '. ...;..: A-l
Site Screening and Assessment/Regional Decision Definitions A-4
SSA-1 Site Characterization Starts A-4
SSA-2 Site Screening and Assessment Decisions A-5
Site Discovery (DS) A-7
Preliminary Assessments (PA) A-8
Site Inspections (SI) . A-9
Site Inspection Prioritizations (SIPs) A-ll
Expanded Site Inspections (ESI) . A-12
Integrated Expanded Site Inspection/Remedial Investigations (ESI/RI) A-13
Hazard Ranking System Package (HRS) A-15
Integrated Removal/Remedial Evaluations (EA) A-16
Regional Decisions A-17
Engineering Evaluation/Cost Analysis (EE/CA) A-18
Community Relations A-18
Support Agency Assistance A-19
Technical Assistance A-19
Technical Assistance Grants (TAGs) A-20
Remedial Investigations (RI) Starts A-20
ESI/RI Completion A-22
Feasibility Study (FS) Starts ;....... A-23
Combined RI/FS Stan . A-24
Stan of Public Comment Period (FS Report to Public) A-25
RI/FS Duration A-26
RDT-1 Decision Document Developed A-26
February 19, 1996
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OSWER Directive 9200.3-14-1B
Site Screening and Assessment/Regional Decision Targets and Measures
List of Exhibits
EXHIBIT A.I SITE SCREENING AND ASSESSMENT/REGIONAL DECISION ACTIVITIES A-3
EXHIBIT A.2 SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING
REQUIREMENTS A-28
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OSWER Directive 9200.3-14-1B
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
FY 96 TARGETS AND MEASURES
OVERVIEW OF FY 96 SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
TARGETS AND MEASURES
The Superfund Comprehensive Accomplishments Plan (SCAP) is used by the Assistant Administrator for the
Office of Solid Waste and Emergency Response (AA OSWER), Assistant Administrator for the Office of
Enforcement and Compliance Assurance (AA OECA), and senior Superfund managers to monitor the administrative
progress each Region is making towards achieving its Superfund goals. Superfund cleanup results are tracked
through targets and measures at the SCAP level as well as internal reporting measures. Those Superfund activities
not tracked at the SCAP level are monitored for internal management purposes by Headquarters (HQ).
For FY 96, the Superfund program will serve as a pilot performance plan project under the Government
Performance and Results Act (GPRA), which was discussed in Chapter II. SCAP will serve as the mechanism
through which the Office of Emergency and Remedial Response (OERR) will track GPRA progress. As such, the
program will set national goals based on historical performance and performance expectations within a limited
budget for the four performance goals in GPRA and track accomplishments in the activities contributing to those
goals. HQ will not establish specific Regional targets and measures for GPRA given the uncertainty with the
budget. Regions should continue to plan and report accomplishments in WasteLAN as they have traditionally.
There are no additional GPRA-related reporting requirements for the Regions in FY 96.
The differences between SCAP targets and measures remain the same (i.e., a pre-determined numerical goal
versus an activity deemed essential to tracking overall program progress, respectively); however, the program will
not emphasize these distinctions in FY 96. OERR will continue to track site assessment activities to document and
evaluate administrative program progress and to analyze program trends. SCAP accomplishments will be pulled
from the Comprehensive Environmental Response, Compensation, and Liability Information System (CERCLIS)
on a quarterly basis. Planning measures are used to project the number of events and activities that each Region
expects to perform during the year using anticipated resources. Reporting measures simply track the number of
events and activities that occur throughout the year and are used to evaluate overall progress through the cleanup
pipeline. Planning measures also report accomplishments.
The following pages contain, in pipeline order, the definitions of the FY 96 site screening and
assessment/Regional decision SCAP measures (with the prefix SSA or RDT), internal management planning and
reporting measures, and site screening and assessment project support activities. Exhibit A.I displays the full list
of site screening and assessment and Regional decision activities defined in this Appendix. Exhibit A.2, at the end
of this Appendix, identifies planning requirements for all site screening and assessment/Regional decision activities.
SUPERFUND DURATIONS
The Superfund program has tracked remedial pipeline durations for several years in the Superfund Senior
Management Reports as part of Superfund progress evaluation. As program, management emphasis shifts from
administrative progress to more comprehensive measurement of program progress, OERR will track additional
durations besides the remedial pipeline durations. These durations include: Engineering Evaluation/Cost Analysis
(.EE/CA) duration; Expanded Site Inspection/Remedial Investigation (ESI/RI) duration; removal duration; average
proposed listing to first removal or remedial action; and average duration from action memorandum to first removal
completion. In FY 96, OERR will track the average event and site durations presented below. These durations
are not SCAP measures; they are presented here for informational purposes only. HQ is responsible for calculating
and publishing the durations in the Superfund Senior Management Reports; however, Regions are responsible for
entering and maintaining accurate data from which durations can be derived.
A-l February 19, 1996
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OSWER Directive 9200.3-14-1B
The durations only cover non-Federal events and sites and are calculated based on actual dates. In addition,
they do not include takeovers (within events) or phased events. The following event durations are identified by (E)
and site durations are identified by (S):
Average Remedial Investigation/Feasibility Study (RI/FS) Duration (E)
Average Remedial Design (RD) Duration (E)
Average Remedial Action (RA) Durations (E)
Average Durations from Proposed Listing.to Final Listing (S)
Comparison of Average Durations from Proposed Listing to Final Listing and Proposed Listing to First RI/FS
Start (S)
Average Durations from Proposed Listing to First Record of Decision (ROD) (S)
Average Durations from Proposed Listing to First RD Start (S)
Average Durations from Proposed Listing to RA Start (S)
Average EE/CA Duration (E)
Average ESI/RI Duration (E)
Average Removal Duration: National Priorities List (NPL) and non-NPL (E)
Average Duration from Proposed Listing for First Removal or RA (S)
Average Duration from First Action Memorandum Signature to First Removal Completion (S)
February 19, 1996 A-2
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OSWER Directive 9200.3-14-1B
EXHIBIT A.I
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION ACTIVITIES
ACTJVI.TV
SSA-1 Site Characterization Starts
SSA-2 Site Screening and Assessment Decisions
Site Discovery
Preliminary Assessment (PA) Starts
PA Completions
Site Inspection (SI) Starts
SI Completions
Site Inspection Prioritization (SIP) Starts
SIP Completions
Expanded Site Inspection (ESI) Starts
ESI Completions
Integrated ESI/RI Starts
Integrated ESI/RI Completions
Hazard Ranking System (HRS) Package Starts
HRS Package Completions
Integrated Removal/Remedial Evaluation (EA) Starts
EA Completions
Regional Decisions
Engineering Evaluation/Cost Analysis (EE/CA)
Community Relations
Support Agency Assistance
Technical Assistance '
Technical Assistance Grants (TAGs)
RI Starts
FS Starts
Combined RI/FS Starts
Start of Public Comment Period (FS Report to Public)
RI/FS Duration
RDT-1 Decision Document Developed
SCAP
Measure
Measure
-
-
-
' -
-
-
-
-
-
-
-
-
-
'
-
-
. -
-
'
-
-
-
.
-
-
Target
87I1&KAI,
-
Reporting
Reporting
Planning
Reporting
Planning
Reporting
Planning
Planning
Reporting
Reporting
Reporting
Reporting
Planning
Reporting
Reporting
Reporting
Planning
-
-
-
-
Planning
Planning
Planning
Reporting
Reporting
-
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are planned
and reported quarterly.
A-3
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OSWER Directive 9200.3-14-1B
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION DEFINITIONS
SSA-I SITE CHARACTERIZATION STARTS
Definition of Target/Measure:
Site characterization involves the collection of field data from a hazardous substance site for the purpose of
characterizing the magnitude and severity that the hazard at the site poses to human health and the environment.
A site characterization start is defined as the first Superfund financed SI, combined PA/SI, Removal Investigation,
ESI, or Integrated ESI/RI at a site. Site characterization starts are tracked for non-Federal facilities only.
Definition of Accomplishment:
The Region will receive credit for a site characterization start when EPA or the State signs a letter, memo or form
approving the work plan or a Technical Direction Document (TDD) is issued to the contractor at a site and the
actual start date (C2140) is reported in WasteLAN for the first:
SI (C2101= SI); or
Combined PA/SI (C2101 = PA and C2101 = SI); or
Removal Investigation (C2101 = RS); or
ESI(C2101=ES);or
Integrated ESI/RI (C2101=SS).
Regions only will receive credit for the first site characterization event started at a site. Regions cannot receive
credit if a site characterization event began or was conducted at the site in a previous year. Credit is given for the
first activity started. A site only can receive credit once.
Changes in Definition FY 95 - FY 96:
Removal Investigation (C2101 = RS) added as a valid event. Integrated Removal/Remedial Evaluation
(C2101=EA), formerly known as Removal/Site Assessment Integrated Assessments, are no longer specifically
included in this measure to avoid potential double counting, which may result when EAs and their related site
assessment and removal events are recorded in WasteLAN.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Accomplishments are reported site specifically in WasteLAN as the actual start
date of the appropriate event. This is a SCAP measure. Funds for PAs, Sis, SIPs, ESIs, ESI/RIs, and Removal
Investigations are contained in the site characterization Advice of Allowance (AOA).
If a combined PA/SI is being performed, Regions must enter the same start date for both the PA and SI events.
If an integrated ESI/RI (C2101 = SS) is being performed, Regions should not enter an ESI start date.
February 19, 1996 A-4
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OSWER Directive 9200.3-14-1B
SSA-2 SITE SCREENING AND ASSESSMENT DECISIONS
Definition of Target/Measure:
Site screening and assessment decisions are made at Superfund sites upon completion of all site assessment events.
These decisions identify how to proceed with site response and are recorded in WasteLAN as event qualifiers
(C2103). These decisions include:
'H' - Higher priority for further assessment; or
'L' - Lower priority for further assessment; or
'G' - Recommended for HRS Scoring (i.e., development of HRS package, C2101 =HR); or
'N' - No further remedial action planned (NFRAP); or
'D' - Deferred to Resource Conservation and Recovery Act (Subtitle C) or the Nuclear Regulatory Commission
(NRC). Note: Federal Facilities cannot have deferred ('D') event qualifiers for site assessment events; or
'A' - Site is being addressed as part of an NPL site. A site having an event qualifier of 'A' should have an
NPL status Indicator (C0305) of 'A' and a Parent Site ID (C0102) as well; or
'F' - Referred to the removal program with further remedial assessment needed; or
'W - Referred to the removal program with no further remedial assessment needed.
Note: Not all decisions are applicable to each site assessment event. See Definition of Accomplishment for further
information.
This is a SCAP measure.
Definition of Accomplishment:
Since the site assessment process consists of several discrete evaluation stages, sites may receive credit for multiple
decisions. For example, sites with both a PA and SI completed during a given fiscal year would reach a decision
point upon completion of the PA as well as upon completion of the SI. This measure is designed to capture the
number of decisions made so a given site may receive credit for more than one decision during the same fiscal year.
Credit is given for each of the following site screening and assessment decisions made at a site:
NFRAP
Superfund site assessment activities are suspended when the appropriate Regional official signs a letter, form, or
memo approving the site assessment report (PA, SI, SIP, ESI, ESI/RI, or HRS Package) and makes a determination
that no further remedial action is planned (NFRAP) or required. No further Superfund remedial assessment work
will be taken at a site with a NFRAP determination unless new information warranting such action is presented to
EPA. The date of the NFRAP determination must be entered in WasteLAN as the actual completion date (C2141)
of the appropriate site assessment event along with a valid lead (C2117) and appropriate event qualifier
(C2103 = N).
NFRAP decisions should not be confused with CERCLIS archiving. NFRAP decisions are made from a site
assessment perspective only; they simply denote that further Superfund remedial assessment work is not required
based on currently available information. In contrast, the archival of CERCLIS sites is made only when no further
Superfund interest exists at a site. This means that sites are not archived if there are planned or ongoing removal
or enforcement activities, or if other Superfund interest still exists, even for sites which have had NFRAP decisions
made at them during site assessment activities.
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OSWER Directive 9200.3-14-1B
Note: If the NFRAP decision is reached at the conclusion of the site inspection prioritization (SIP) subevent, the
existing event qualifier (C2103) for the related site inspection event must be deleted and replaced with the NFRAP
determination (C2103 = N).
Further Evaluation
Upon completion of each site assessment event, the Region may determine that additional, more complex evaluation
activities are required to determine whether or not the site should be pursued for placement oh the NPL. This
decision is effective when the appropriate Regional official signs a letter, form, or memo indicating further
evaluation is required. A decision to conduct further evaluations at a site is recorded differently in WasteLAN
depending on what site assessment activity is being performed.
For PAs, Sis, and SIPs, further evaluation is denoted by either making a decision of higher priority (C2103 = H),
or lower priority (C2103 = L) for further evaluation, and recording this as the event qualifier (C2103) in
WasteLAN.
For ESIs and ESI/RIs, further evaluation is denoted by the decision to recommend the site for HRS Scoring
(C2103 = G).
Further evaluation activities upon completion of an HRS Package consist of HQ quality assurance and ultimately
a decision on whether to propose the site to the NPL. This need for further evaluation is denoted in WasteLAN
by recording an actual completion date (C2141) for the HRS Package (C2101 =HR) and leaving the event qualifier
field blank. .
Note: If the further evaluation decision is reached at the conclusion of a SIP subevent, the existing event qualifier
at the related site inspection event (C2103) must be deleted and replaced with the further evaluation decision
(C2103 = HorLorG).
Perform an Early Action
Upon completion of PAs, Sis, SIPs, ESIs, or ESI/RIs, the Region may determine that a time critical or non-time
critical (NTC) early action (removal authority) is necessary. This decision is effective when the appropriate
Regional official signs a letter, form, or memo approving the related site assessment report documenting completion
of the assessment activity and the need for early action. The decision is recorded for these events in WasteLAN
by entering either an 'F' (referred to the removal program with further remedial assessment needed) or a 'W'
(referred to the removal program with no further remedial assessment needed) as the event qualifier (C2103).
Note: If the decision to perform an early action is reached at the conclusion of a SIP subevent, the existing event
qualifier (G2103) for the related site inspection event must be deleted and replaced with the decision to perform an
early action (C2103 = F or W). \
Aggregate the Site into Another "Parent" NPL Site
Upon completion of PAs, Sis, SIPs, ESIs, or ESI/RIs, the Region may decide to collapse or combine a site into
an existing "parent" NPL site. This would be done when contamination at a non-NPL site is being addressed by
cleanup actions at an existing NPL site. This most frequently occurs at Federal Facilities and sites with an area-
wide groundwater contamination problem resulting from multiple sources. The decision to aggregate a site into an
existing NPL site requires additional data handling requirements as follows:
Upon completion (C2141) of the site assessment activity that led to the decision to aggregate the site, the Region
should enter an 'A' (addressed as part of an existing NPL site) in the Event Qualifier data field (C2103) in
WasteLAN. This decision should be documented in the letter, form, or memo approving the site assessment
report.
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OSWER Directive 9200.3-14-1B
The EPA ID number of the parent site must be entered into the Parent Site ID field in WasteLAN (C0102) for
the site which has been aggregated.
The NPL Status (C0305) for the site.being aggregated must be changed to A (Addressed as pan of an existing
NPL site).
After a site is aggregated into the parent site, no further work should be recorded at the aggregated site.
Instead, any further response work performed at the aggregated site should be recorded under the existing
parent NPL site, possibly as a separate operable unit.
Note: If the decision to aggregate the site is reached at the conclusion of a SIP subevent, the existing event qualifier
(C2103) for the related SI event (C2101 = SI) must be deleted and replaced by the decision to aggregate the site
(C2103 = A). .
Defer the Site to RCRA (Subtitle C) or the NRC
Upon completion of PAs, Sis, or SIPs at non-Federal Facilities, the Region may determine that the site is excluded
from Superfund consideration under policy, regulatory, or legislative restrictions and defer it to either the RCRA
program or to the NRC. The date the decision is documented in a letter, form, or memo signed by the appropriate
Regional official approving the site assessment report should be entered into WasteLAN as the actual completion
date (C2141) of the appropriate site assessment event, along with a valid event lead (C2117), and an event qualifier
(C2103 = D) (Deferred to RCRA Subtitle C or NRC).
Note: If the decision to defer the site is reached at the conclusion of a SIP subevent, the existing event qualifier
(C2103) for the related SI event (C2101 = SI) must be deleted and replaced by the decision to defer the site
(C2103 = D).
Changes in Definition FY 95 - FY 96:
To eliminate double-counting of decisions that are recorded for both the site assessment and integrated
removal/remedial evaluation (EA) events (formerly termed removal/site assessment integrated assessment), EA
decisions are no longer tracked by this measure (see Chapter II for more information on archiving sites).
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Accomplishments are reported site specifically in WasteLAN. This is a SCAP
measure. A NFRAP decision does not automatically equate to CERCLIS archival of a site. (See Chapter II for
more information on archiving sites.)
SITE DISCOVERY (DS)
Definition:
Site discovery is the process by which a potential hazardous waste site is brought to the attention of the EPA. The
process can occur through the use of several mechanisms, such as a phone call or referral by a State or another
government agency. All sites moving through the remedial assessment process must have a discovery event and
actual completion date recorded in WasteLAN.
The entry of a DS event and date initiates the remedial site assessment process and places the site on the backlog
of sites needing preliminary assessments. Site discovery completions is an internal reporting measure.
Definition of Accomplishment:
The completion of a site discover)' event is the date the Region is notified of a potential hazardous waste release/site.
Site discovery is documented by a letter, form, or memo to the file signed by the appropriate regional official that
a site has been identified as a potential hazardous waste site. Valid site discovery events require that the DS event
(C2101 =DS) and actual completion date (C2141) be entered into WasteLAN.
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OSWER Directive 9200.3-14-1B
Changes in Definition FY 95 - FY 96:
Although historically tracked in the same manner, this event is being added to this manual for the first time to
provide a more complete representation of site screening and assessment activities.
Special Planning/Reporting Requirements:
Actual start and planning dates are not required for site discovery events. Multiple discovery events are not
allowed.
PRELIMINARY ASSESSMENTS (PA)
Definition:
A Preliminary Assessment (C2101=PA) is the first phase of the site assessment that determines whether a site
should be recommended for further Comprehensive Environmental Response, Compensation, and Liability Act of
1980 (CERCLA) action. Federal, State, and local government files, geological and hydrological data, and data
concerning site practices are reviewed to complete the PA report. An on- or off-site reconnaissance also may be
conducted, although it is not required.
Regions may combine PA and SI activities where warranted by site conditions to reduce repetitive tasks and
ultimately costs. The combining of PA and SI activities is known as a "Combined Assessment."
With the implementation of Superfund Accelerated Cleanup Model (SACM), Regions also have been encouraged
to further reduce repetitive tasks and costs by combining site assessment and removal evaluation activities where
warranted by site conditions. Terminology for this work has been changed from "Removal/Site Assessment
Integrated Assessment" to "Integrated Removal/Remedial Evaluation" (C2101=EA), and is further discussed in a
separate section, below. Please note that when PAs are performed as part of an EA, information should be entered
for both the EA and PA events. Special reporting requirements also apply to PA events when they are performed
as part of a combined assessment, as noted below.
PA Starts is an internal reporting measure. PA Completions is an internal planning measure.
Definition of Accomplishment:
PA Starts - A PA (C2101 = PA) is started when the Region begins collecting data and performing other tasks
related to development of the PA report; or when the Region signs a letter, form, or memo to the contractor or State
(where applicable), requesting performance of a PA at a specific site or group of sites; or when EPA receives
written confirmation from a State that the State will conduct the PA; and WasteLAN contains the actual PA start
date (C2140) and valid event lead (C2117). PA start dates are not required but are used by HQ as an internal
reporting measure.
PA Completions - A Preliminary Assessment (C2101 = PA) is completed when:
A PA Report has been developed by EPA; or received by the Region from the Alternative Remedial Contracts
Strategy (ARCS), or Superfund Technical Assistance and Response Team (START) contractor; or received
from the State; and the appropriate Regional official signs a letter, form, or memo approving the PA report;
and
WasteLAN contains the actual PA completion date (C2141), a valid event lead (C2117), and a "decision" on
whether further activities are necessary in the Event Qualifier Field (C2103).
Valid decisions upon PA completion to be recorded in the WasteLAN event qualifier field (C2103) include:
'H' - Higher priority for further assessment Note: The next stage of assessment would typically be a SI
(C2101=SI); or
'L' - Lower priority for further assessment; or
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'N' - No further remedial action planned; or
'D' - Deferred to RCRA (Subtitle C) or the NRC. Note: Federal Facilities cannot have deferred ('D') event
qualifiers for site assessment events; or
'A' - Site is being addressed as part of an NPL site. A site having an event qualifier of 'A' should have an
NPL status Indicator (C0305) of 'A' and a Parent Site ID (C0102) as well; or
'F' - Referred to the removal program with further remedial assessment needed; or
'W - Referred to the removal program with no further remedial assessment needed.
If the PA is part of a combined' assessment, the same physical report may be used for both the PA and SI, as long
as it contains all of the elements that would have been addressed under separate PA and SI reports. The report
should state specifically that it covers both the PA and SI. The decision to move forward to conduct a SI as part
of a combined assessment is documented in the task assignment provided to the contractor [e.g., TDD or
Interagency Agreement (IAG)], by correspondence between EPA and the State, or by a form or memo to the file.
PA Completions is an internal planning measure for both non-Federal and Federal Facilities.
Changes in Definition FY 95 - FY 96:
There are no programmatic changes in definition for PAs this year. PA start definition has been added to provide
a more complete representation of site screening and assessment activities.
Special Planning/Reporting Requirements:
Although actual start and planning dates are not required for PAs, actual start dates are useful in identifying PA
event durations and the status of sites within the site assessment pipeline. Current HQ site assessment status reports,
including those scheduled for implementation in CERCLIS 3, are designed to make use of PA start dates, when
available. Note: If the PA is performed as part of a combined assessment. SI start dates are still required, even
though PA start dates are not.
Also for combined assessments, the PA completion date (C2141) entered into WasteLAN must be the same as the
SI completion date (C2141). Do not enter the PA completion date until there is a combined PA/SI report, even
though a determination has already been made that a SI is needed. PAs performed as part of a combined assessment
should receive an event qualifier of 'H,' which represents a high priority for further assessment.
For budget and resource allocations, separate projections must be made in CERHELP for EPA versus State PA
completions. PA completions (C2141) are reported site-specifically in WasteLAN. Only the first PA completion
at a site will be given credit for SCAP funding purposes. For Federal Facilities, EPA does not conduct the full
scope of work for PAs. Instead, EPA reviews PAs prepared and submitted by the Federal agency responsible for
the site. However, the same data is still required for both non-Federal and Federal Facility PAs in WasteLAN.
Federal Facility PA reviews are estimated, based on national averages, to take about one-third as long as a normal,
full-scale PA at a non-Federal Facility.
SITE INSPECTIONS (SI)
Definition:
The SI (C2101=SI) involves the 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. A SI
should provide adequate data to determine the site's MRS score.
Regions may combine PA and SI activities where warranted by site conditions to reduce repetitive tasks and
ultimately costs. The combining of PA and. SI activities is known as a "Combined Assessment."
A-9 February 19, 1996
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OSWER Directive 9200.3-14-1B
With the implementation of SACM, Regions have also been encouraged to further reduce repetitive tasks and costs
by combining site assessment and removal evaluation activities where warranted by site conditions. Terminology
for this work has been changed from "Removal/Site Assessment Integrated Assessment" to "Integrated
Removal/Remedial Evaluation" (C2101 =EA) and is further discussed in a separate section below. Please note that
when Sis are performed as part of an EA, information should be entered for both the EA and SI events. Special
reporting requirements also apply to SI events when they are performed as part of a combined assessment, as noted
below.
SI Starts is an internal reporting measure. SI Completions is an internal planning measure for non-Federal Facilities
and an internal reporting measure for Federal Facilities.
Definition of Accomplishment:
SI Starts - A SI (C2101 = SI) start date is defined as the date when EPA approves the site-specific SI work plan
(refer to OSWER Publication #9345.1-03 FS for further guidance on defining SI starts) and WasteLAN contains
the actual SI start date (C2140) and valid event lead (C2117). SI start dates are required and are used by HQ as
an internal reporting measure.
57 Completions - A SI (C2101 = SI) is completed when:
A SI Report has been generated by EPA; or received by the Region from the ARCS, or START contractor;
or received from the State; and the appropriate Regional official signs a letter, form, or memo approving the
SI report; and
WasteLAN contains the SI report approval date as the actual SI completion date (C2141), a valid event lead
(C2117), and a "decision" on whether further activities are necessary in the Event Qualifier Field (C2103).
Valid decisions upon SI completion to be recorded in the event qualifier field (C2103) include:
'H' - Higher priority for further assessment Note: The next stage of assessment could be an ESI (C2101 =ES),
an integrated ESI/RI (C2101 =SS), or preparation of an HRS package (C2101=HR); or
'L' - Lower priority for further assessment; or
'N' - No further remedial action planned; or
'D' - Deferred to RCRA (Subtitle C) or the NRC. Note: Federal Facilities cannot have deferred ('D') event
qualifiers for site assessment events; or
'A' - Site is being addressed as pan of an NPL site. A site having an event qualifier of 'A' should have an
NPL status Indicator (C0305) of'A'and a Parent Site ID (C0102) as well; or
'F' - Referred to the removal program with further remedial assessment needed; or
'W' - Referred to the removal program with no further remedial assessment needed.
If the SI is part of a combined assessment, the same physical report may be used for both the PA and SI, as long
as it contains all of the elements that would have been addressed under separate PA and SI reports. The report
should state specifically that it covers both the PA and SI.
SI Completions is an internal planning measure for non-Federal Facilities only. For Federal Facilities, SI
Completions are tracked as an internal reporting measure.
February 19, 1996 A-10
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OSWER Directive 9200.3-14-1B
Changes in Definition FY 95 - FY 96:
There are no programmatic changes in definition for Sis this year. A SI start definition has been added to provide
a more complete representation of site screening and assessment activities.
Special Planning/Reporting Requirements:
Planning dates are not required for Sis. Actual start and completion dates are required for Sis.
For combined assessments, the SI completion date (C2141) entered into WasteLAN must be the same as the PA
completion date (C2141). Do not enter the PA completion date until there is a combined PA/SI report, even though
a determination has already been made that an SI is needed. Note: PAs performed as part of combined assessments
should receive an event qualifier of 'H,' which represents a high priority for further assessment.
For budget and resource allocations, separate projections must be made in CERHELP for EPA versus State SI
completions. SI starts (C2140) and completions (C2141) are reported site-specifically in WasteLAN. Only the first
SI completion at a site will be given credit for SCAP funding purposes. Federal Facility Sis (starts and completions)
are tracked as an internal reporting measure. No funding is provided by HQ for Sis at Federal Facilities.
SITE INSPECTION PRIORITIZATIONS (SIPs)
Definition:
SIPs (C3101 =SP) require the gathering of additional information at sites that were evaluated under the original HRS
and still require NPL Listing decisions. The SIP is used to determine whether further site evaluation work is
necessary at these sites. SIPs should be performed only at sites that had a SI completion prior to August 1, 1992.
For most Regions, the original SIP backlog should have been completed in FY 95 with a few remaining in FY 96.
SIPs are recorded in WasteLAN as subevents (C3101 = SP) to the last completed site inspection event (C2101 =SI).
SIP Starts is an internal reporting measure. SIP Completions is an internal planning measure for non-Federal
Facilities and an internal reporting measure for Federal Facilities.
Definition of Accomplishment:
SIP Starts - A SIP (C3101 = SP) start is defined as the date the Region signs a letter, form, or memo requesting
a SIP be performed at a specific site. The date should be entered into WasteLAN as the actual start date (C3124)
of the SIP subevent. SIP start dates are not required, but are used by HQ as an internal reporting measure.
SIP Completions - A SIP (C3101 = SP) is complete when:
A SIP Report has been developed by EPA; or received by the Region from the ARCS or START contractor;
or received from the State; and the appropriate Regional official signs a letter, form, or memo approving the
SIP report; and
WasteLAN contains the SIP report approval date as the actual SIP completion date (C3125), and a "decision"
on whether further activities are necessary in the Event Qualifier Field (C2103) for the appropriate Site
Inspection event (C2101 =SI).
Valid decisions at the conclusion of a SIP, which should replace the existing SI event qualifier (C2103), include:
'H' - Higher priority for further assessment Note: The next stage of assessment could be an expanded site
inspection (C2101=ES), an integrated ESI/RI (C2101 =SS), or preparation of an HRS package (C2101 =HR);
or
'L' - Lower priority for further assessment; or
A-ll February 19, 1996
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OSWER Directive 9200.3-14-1B
'N' - No further remedial action planned; or
'D' - Deferred to RCRA (Subtitle C) or the NRC. Note: Federal Facilities cannot have deferred ('D') event
qualifiers for site assessment events; or
'A' - Site is being addressed as part of an NPL site. A site having an event qualifier of 'A' should have an
NPL status Indicator (C0305) of 'A' and a Parent Site ID (C0102) as well; or
'F' - Referred to the removal program with further remedial assessment needed; or
'W - Referred to the removal program with no further remedial assessment needed.
SIPs are typically performed as' stand-alone events. That is, they are not integrated with removal assessments or
removal investigations.
SIP Completions is an internal planning measure for non-Federal Facilities only. For Federal Facilities, SIP
Completions are tracked as internal reporting measures only.
Changes in Definition FY 95 - FY 96:
There are no programmatic changes in definition for SIPs this year. A SIP start definition has been added to
provide a more complete representation of site screening and assessment activities.
Special Planning/Reporting Requirements:
Actual start and planning dates are not required for SIPs. Actual completion dates are required for SIPs.
SIP starts (C3124) and completions (C3125) are reported site specifically in WasteLAN. Only the first SIP
completion at a site will be given credit for SCAP funding purposes. Federal Facility SIPs (starts and completions)
are tracked as an internal reporting measure. No funding is provided by HQ for SIPs at Federal Facilities.
EXPANDED SITE INSPECTIONS (ESI)
Definition:
The ESI (C2101 =ES) collects additional data beyond that collected in the SI to evaluate the site for HRS scoring.
ESIs are reserved for more complex sites that cannot be adequately characterized using standard SI methodologies.
Installation of groundwater monitoring wells is typical of activities performed under the ESI.
ESI Starts is an internal planning measure for non-Federal Facilities. ESI Completions is an internal reporting
measure for both non-Federal and Federal Facilities.
With the implementation of SACM, Regions also have been encouraged to further reduce repetitive tasks and costs
by combining site assessment and removal evaluation activities where warranted by site conditions. Terminology
for this work has been changed from "Removal/Site Assessment Integrated Assessment" to "Integrated
Removal/Remedial Evaluation" (C2101 =EA) and is further discussed in a separate section below. Please note that
when ESIs are performed as part of an EA, information should be entered for both the EA and ESI events.
Definition of Accomplishment:
ESI Starts - An ESI (C2101 = ES) start is defined as the date when EPA approves the site specific ESI work plan
and WasteLAN contains the actual ESI start date (C2140) and valid event lead (C2117). ESI start dates are used
by HQ as an internal planning measure for non-Federal Facilities only. ESI start dates for Federal Facilities are
used by HQ as an internal reporting measure.
February 19, 1996 A-12
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OSWER Directive 9200.3-14-1B
ESI Completions - An ESI (C2101 = ES) is complete when:
An ESI Report has been developed by EPA; or received by the Region from the ARCS or START contractor;
or received from the State; and the appropriate Regional official signs a letter, form, or memo approving the
ESI report; and
WasteLAN contains the ESI report approval date as the actual ESI completion date (C2141), a valid event lead
(C2117), and a "decision" oh whether further activities are necessary in the Event Qualifier Field (C2103).
Valid decisions upon ESI completion to be recorded in the event qualifier field (C2103) include:
'G' - Recommended for HRS Scoring (i.e., development of HRS package, C2101 =HR); or
'N' - No further remedial action planned; or
'A' - Site is being addressed as part of an NPL site. A site having an event qualifier of 'A' should have an
NPL status Indicator (C0305) of 'A' and a Parent Site ID (C0102); or
'F' - Referred to the removal program with further remedial assessment needed; or
'W - Referred to the removal program with no further remedial assessment needed.
ESI Completions is an internal reporting measure for both non-Federal and Federal facilities.
Changes in Definition FY 95 - FY 96:
There are no programmatic changes in definition for ESIs this year. A separate ESI definition has been added to
provide a more complete representation of site screening and assessment activities.
Special Planning/Reporting Requirements:
Planning dates are not required for ESIs. Actual start and completion dates are required for ESIs.
ESI starts (C2140) and completions (C2141) are reported site-specifically in WasteLAN. Only the first ESI start
at a site will be given credit for SCAP funding purposes. Federal Facility ESIs (starts and completions) are tracked
as an internal reporting measure only. No funding is provided by HQ for ESIs at Federal Facilities.
INTEGRATED EXPANDED SITE INSPECTION/REMEDIAL INVESTIGATION (ESI/RI)
Definition:
The integrated ESI/RI (C2101 =SS) is a SACM-initiated integrated assessment consisting of an ESI (C2101 =ES)
.and a RI (C2101=RI). Thfc ESI/RI is used to expedite remedial response by characterizing the magnitude and
' severity of a hazardous waste site in one stage as opposed to subsequent stages under the traditional ESI-NPL
Listing-RI approach. ESI/RIs should be performed at sites where conditions indicate that the HRS score will be
above 28.5 and a remedial response will be needed.
ESI/RIs may not always be feasible given known site conditions and activities completed to date. In some cases,
it may be more prudent to conduct a separate ESI or RI. RI activities may be conducted as part of an integrated
ESI/RI, a combined RI/FS or as a separate RI. The definitions for RI/FS Completion and RI Completion (see
definitions later in this appendix) are different from the definition for ESI/RI Completion. The definition of an
ESI/RI Completion is the same as that of an ESI Completion. If an ESI/RI event is recorded in WasteLAN, a
stand-alone ESI event (C2101 =ES) should not be recorded at that site.
A-13 February 19, 1996
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OSWER Directive 9200.3-14-1B
With the implementation of SACM, Regions have also been encouraged to further reduce repetitive tasks and costs
by combining site assessment and removal evaluation activities where warranted by site conditions. Terminology
for this work has been changed from "Removal/Site Assessment Integrated Assessment" to "Integrated
Removal/Remedial Evaluation" (C2101 =EA) and is further discussed in a separate section below. Please note that
when ESI/RIs are performed as part of an EA, information should be entered for both the EA and ESI/RI events.
ESI/RI Starts and Completions are internal reporting measures.
Definition of Accomplishment:
ESI/RI Starts - An ESI/RI (C2101 = SS) start date is defined as the date when EPA approves the site-specific
ESI/RI work plan and WasteLAN contains the actual ESI/RI start date (C2140) and valid event lead (C2117).
ESI/RI start dates are used by HQ as an internal reporting measure and are required.
ESI/RI Completions - An ESI/RI (C2101 = SS) is complete when:
An ESI/RI Report has been reviewed and accepted by the Region and the appropriate Regional official signs
a letter, form, or memo approving the ESI/RI report; and
The following has been recorded in WasteLAN: the ESI/RI report approval date as the actual ESI/RI
completion date (C2141), a valid event lead (C2117), and a "decision" on whether further activities are
necessary in the Event Qualifier Field (C2103).
Valid decisions upon ESI/RI completion to be recorded in the event qualifier field (C2103) include:
'G' - Recommended for HRS Scoring (i.e., development of HRS package, C2101 =HR); or
'N' - No further remedial action planned; or
'A' - Site is being addressed as part of an NPL site. A site having an event qualifier of 'A' should have an
NPL status Indicator (C0305) of 'A' and a Parent Site ID (C0102); or
'F' - Referred to the removal program with further remedial assessment needed; or
'W' - Referred to the removal program with no further remedial assessment needed.
ESI/RI Completions is an internal reporting measure for both non-Federal and Federal Facilities.
Changes in Definition FY 95 - FY 96:
There are no programmatic changes in definition for ESI/RIs this year. An ESI/RI start definition has been added
to provide a more complete representation of site screening and assessment activities.
Special Planning/Reporting Requirements:
Planned start and completion dates are not required for ESI/RIs. Actual start and completion dates are required for
ESI/RIs.
ESI events (C2101 =ES) should not be recorded separately in WasteLAN if they are conducted as part of an ESI/RI.
February 19, 1996 A-14
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OSWER Directive 9200.3-14-IB
HAZARD RANKING SYSTEM PACKAGE (HRS)
Definition:
The HRS Package (C2101 =HR) documents a numeric score of the relative severity of a hazardous substance release
or potential release based on: (1) the relative potential of substances to cause hazardous situations; (2) the likelihood
and rate at which the substances may affect human and environmental receptors; and (3) the severity and magnitude
of potential effects. The HRS Package also includes references arid documentation in support of the score. The
score is computed using the revised Hazard Ranking System (rHRS).
HRS Package Starts are not required but are tracked by HQ as an internal reporting measure. HRS Package
Completions is an internal planning measure.
Definition of Accomplishment:
HRS Package Starts - An HRS Package (C2101 = HR) start is defined as the date when EPA signs a memo, form,
or letter requesting development of an HRS Package for a specific site and WasteLAN contains the actual HRS
Package start date (C2140) and valid event lead (C2117). Although HRS Package start dates are not required, when
available, they are used by HQ as an internal reporting measure, specifically for identifying the status of sites in
the site assessment pipeline and for measuring activity durations.
HRS Package Completion - An HRS Package (C2101 = HR) is completed when an appropriate Regional official
signs a letter, form, or memo approving the HRS Package for a site, thereby indicating the HRS Package is ready
for HQ quality assurance. Submission of HRS Packages to HQ for technical assistance does not represent an HRS
Package completion. Since HRS Packages are pre-decisional, entry of HRS Package completion dates in WasteLAN
may be delayed until after the HRS Package has completed HQ quality assurance, or is proposed to the NPL. Entry
of an HRS Package completion date (C2141) into WasteLAN must be accompanied by a valid lead (C2117) and a
valid "decision" on whether further listing activities are necessary in the Event Qualifier Field (C2103). Valid
decisions upon HRS Package completion to be recorded in the event qualifier field include:
' ' - Site is being considered for proposal to the NPL; and
'N'- No further remedial action planned;
HRS Package Completions is an internal planning measure for both non-Federal and Federal Facilities.
Changes in Definition FY 95 - FY 96:
There are no programmatic changes in definition for HRS Packages this year. This event is being added to provide
a more complete representation of site screening and assessment activities.
Special Planning/Reporting Requirements:
Regional staff are currently responsible for entering HRS Package event information into WasteLAN including actual
start (C2140) and completion (C2141) dates,- event leads (C2117), and event qualifiers (C2103). HQ staff are
responsible for maintaining site characteristics data presented in the HRS Package following HQ quality assurance
activities. This information is currently recorded in the Superfund NPL Assessment Program (SNAP) system
maintained at HQ. Effective with CERCLIS 3, HQ staff will be responsible for entering HRS Package event
qualifiers since these decisions are made after HQ quality assurance activities.
Planned start and completion dates are not required for HRS Packages. Actual start and completion dates are
required for HRS Packages.
Entry of HRS event data into WasteLAN may be delayed until after the HRS Package has completed HQ quality
assurance, or is proposed to the NPL.
A-15 February 19, 1996
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OSWER Directive 9200.3-14-1B
INTEGRATED REMOVAL/REMEDIAL EVALUATION (EA)
Definition:
EAs (C2101=EA), formerly termed "Removal/Site Assessment Integrated Assessments," are SACM-originated
events integrating both site assessment (PA, SI, ES, or ESI/RI) and removal (RS or removal assessment) activities
to reduce the overall time and money spent characterizing site conditions. (The event code RS has been revised
to represent Removal Investigations at both non-NPL and NPL sites). The scope of the EA will depend on which
activities are being jointly conducted. Although the EA event is intended to track integrated removal and site
assessment events, it should not take the place of coding individual site assessment and removal events. In other
words, if an EA is conducted, it should be coded in WasteLAN along with the events represented by that EA, such
as an RS and an SI. EAs are tracked by HQ as an internal reporting measure. The individual events represented
by EAs are tracked separately under each respective category (he., RI and SI), which are then used as internal
planning or reporting measures. '
Definition of Accomplishment:
EA Starts - An EA (C2101 = EA) start date is defined as the date when EPA approves the site-specific EA work
plan and WasteLAN contains:
The actual EA start date (C2140) and valid event lead (C2117); and
The actual start date and event lead for the related site assessment event (PA, SI, ES, or ESI/RI) equal to that
recorded for the EA event; and
The actual start date and event lead for the related removal event (Removal Investigation or Removal
Assessment) equal to that recorded for the EA event.
EA start dates are required and are used by HQ as an internal reporting measure.
EA Completions - An EA (C2101 = EA) is complete when:
The EA report has been reviewed and accepted by the Region and an appropriate Regional official signs a
letter, form, or memo approving the EA report. The report must contain all of the information required for
the related site assessment event and must document the completion of a Removal Assessment or Removal
Investigation to determine whether a removal action is necessary. A note to the site file must also be prepared
indicating that the EA report meets all the requirements for the relate site assessment event(s); and
The EA report approval date is entered into WasteLAN as the actual EA completion date (C2141) with a valid
event lead (C2117); and
An actual complete date and event lead for the related site assessment event (PA, SI, ES, or ESI/RI) equal to
that recorded for the EA event is entered into WasteLAN; and.
An actual start date and event lead for the related removal event (Removal Investigation or Removal
Assessment) equal to that recorded for the EA event is entered into WasteLAN; and
A "decision" on whether further activities are necessary is entered into WasteLAN in the Event Qualifier Field
(C2103) for the related site assessment event (PA, SI, ES, or ESI/RI). Note that event qualifiers are allowed
for EA events but are not required. If entered, an EA event qualifier should be the same as that entered for
the related site assessment event. Valid EA event qualifiers, or decisions, include:
'H' - Higher priority for further assessment. Note: The next stage of assessment could be an SI
(C2101 =SI), expanded site inspection (C2101 =ES), an integrated ESI/RI (C2101 =SS), or preparation of
an HRS package (C2101 =HR); or
'L' - Lower priority for further assessment; or
February 19, 1996 A-16
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OSWER Directive 9200.3-14-1B
'N' - No further remedial action planned; or
'D' - Deferred to RCRA (Subtitle C) or the NRC. Note: Federal Facilities cannot have deferred ('D')
event qualifiers for site assessment events; or
'A' - Site is being addressed as part of an NPL site. A site having an event qualifier of 'A' should have
an NPL status Indicator (C0305) of 'A' and a Parent Site ID (C0102).
Note: "Referred to the removal program" decisions are feasible from a programmatic perspective since a decision
following completion of an EA may be to conduct an early action. However, these decisions are not allowed at EA,
ESI, or ESI/RI events in the current version of WasteLAN. They will be allowed in CERCLIS 3. These decisions
include: '
'F' - Referred to the removal program with further remedial assessment needed; or
'W - Referred to the removal program with no further remedial assessment needed.
In addition, recommendation for HRS scoring is a feasible decision if the EA represents a joint removal assessment
or removal investigation and an ESI or ESI/RI. Although it is not allowed currently in WasteLAN, CERCLIS 3
also will enable the use of the event qualifier 'G' to represent the decision to recommend a site for HRS scoring
(i.e., development of HRS package, C2101=HR). This specific qualifier should be used only when the site
assessment portion of an EA consists of an ESI or ESI/RI.
EA Completions is an internal reporting measure.
Changes in Definition FY 95 - FY 96:
Changed name of the event from "Removal/Site Assessment Integrated Assessment" to "Integrated
Removal/Remedial Assessment." Added ESI/RI (C2101 =SS) to the list of valid site assessment events that can be
conducted as part of an EA. Added event qualifier of 'G' to the list of valid event qualifiers, which will be
available for entry when CERCLIS 3 is implemented. Added an EA start definition to provide a more complete
representation of site screening and assessment activities.
Special Planning/Reporting Requirements:
Planning dates are not required for EAs. Actual start and completion dates are required for EAs.
EA event qualifiers are allowed for EA events but are not required. If entered, an EA event qualifier should be
the same as that entered for the related site assessment event.
REGIONAL DECISIONS
Definition:
. This measure will track decisions made by the Region [including the Regional Decision Team (RDT)] on whether
to perform site assessment, enforcement, and early and long-term actions. The RDT is empowered by the Region
to make those decisions that are delegated to its level. This body serves as a tool to ensure early and effective
communication and should provide input for the traditional line decision-making authorities. Though the structure
and responsibilities of the RDT vary from Region to Region, the RDT generally should provide policy and strategic
direction to designated site managers.
Definition of Accomplishment:
The Regional decisions are reported in WasteLAN as a subevent (C3101 = DC) to the point in the assessment or
response pipeline where the decision was made (i.e., PA, SI, ES, SS, or EA) to perform additional site assessment
activities, early or long-term actions, or take enforcement action (e.g., Potentially Responsible Party (PRP)
negotiations). These decisions are documented in a letter, form, or memo to the file. .
A-17 February 19, 1996
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OSWER Directive 9200.3-14-1B
The dates of the Region's decisions (C3101 = DC) are entered as the actual subevent completion dates (C3125).
Each decision must be documented in a memo to the file and reported separately. HQ will link the events/activities
the Region decided to perform to the Regional decision based on the subevent (C3101 = DC) completion date
(C3125) and the start dates (C2140 and C1716) of subsequent events/activities.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
This is an internal reporting measure. This definition is for regional tracking purposes only. See Definition of
Accomplishment for information on the WasteLAN reporting requirements.
ENGINEERING EVALUATION/COST ANALYSIS (EE/CA)
Definition:
The EE/CA identifies objectives for a NTC response action, and includes an analysis of cost, effectiveness, and
implementability of the various alternatives that may be used to satisfy these objectives.
Definition of Accomplishment:
The actual start date of an EE/CA is the date that the appropriate Regional official signs the EE/CA Approval
Memorandum. This information should be recorded in WasteLAN as the actual start date (C2140) of the EE/CA
event (C2101 = EE). The actual completion date of an EE/CA is the date that the appropriate Regional official
signs the Action Memorandum. This information should be recorded as the actual completion date (C2141) of the
EE/CA (C2101 = EE).
Changes in Definition FY 95 - FY 96:
EE/CAs are now being reported and tracked as events.
Special Planning/Reporting Requirements:
EE/CAs is an internal planning and reporting measure. They are planned and reported site-specifically in
WasteLAN. Funds for EE/CAs are contained in the site characterization AOA.
COMMUNITY RELATIONS
Definition:
Community Relations are the activities conducted in accordance with Superfund Amendments and Reauthorization
Act of 1986 (SARA), the National Contingency Plan (NCP), and the Community Relations Handbook to involve
the community in response activities conducted at a site.
Definition of Accomplishment:
The start of CR is the obligation or tasking of funds for the development of the Community Relations Plan (CRP)
or when EPA initiates work on the CRP. For RP-lead or Federal Facility sites where the PRP or other Federal
agency is preparing the CRP in accordance with an Administrative Order (AO), Consent Decree (CD), or IAG, the
start of CR is defined as EPA's written approval of the CRP. When EPA is preparing the CRP at RP- or EP-lead
sites, CR begins when EPA initiates work on the CRP.
The completion of CR is the deletion of the site from the NPL or the conclusion of an early action (removal
authority) at non-NPL sites.
Changes in Definition FY 95 - FY 96:
None
February 19, 1996 A-18
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OSWER Directive 9200.3-14-1B
Special Planning/Reporting Requirements:
CR activities at Federal Facilities are paid for by the Federal Facility budget. Planned and actual start and
completion dates are not required in WasteLAN. Funds may be planned site- (C2101 = CR) or non-site
specifically; however, they must be obligated or tasked site-specifically. Once funds are obligated, the non-site
specific amount must be reduced. Funds for CR activities are in the Federal Facility or site characterization AOAs.
SUPPORT AGENCY ASSISTANCE
Definition:
Support agency assistance are the activities performed by another entity in support of EPA. The.support agency
furnishes necessary data to EPA, reviews response data and documents, and provides other assistance to EPA.
EPA may provide States, political subdivisions, and Indian Tribes with funding to carry out a variety of management
responsibilities via a support agency Cooperative Agreement (CA) to ensure the meaningful and substantial
involvement in response activities.
Unless otherwise specified in the CA, all support agency costs, with the exception of RA or early action (remedial
authority) support agency costs, may be planned under a single Superfund account number designated specifically
for support agency activities. RA or early action (remedial authority) support agency activities must be planned site-
specifically and require cost share provisions.
Definition of Accomplishment:
The start of support agency assistance is the signature of the CA by the Regional Administrator or his designee.
The completion of support agency assistance is the completion of all remedial activities at the site.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
Support agency assistance is paid for by the response program and is contained in the site characterization AOA.
Planned and actual start and completion dates are not required in WasteLAN. Funds may be planned site-
(C2101 = MA) or non-site specifically; however, they must be obligated site-specifically. Once funds are
obligated, the non-site specific amount must be reduced.
TECHNICAL ASSISTANCE
Definition:
Technical assistance is support provided by a third party to EPA to conduct response activities. Third parties that
may provide assistance include the U.S. Army Corps of Engineers (USAGE), the U.S. Fish and Wildlife Service,
and ARCS, Response Action Contracts (RAC). or START contractors.
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 response activities for the stage at which technical assistance was requested.
Changes in Definition FY 95 - FY 96:
Added START contractors to the list of third panics that may provide Technical Assistance.
A-19 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
Special Planning/Reporting Requirements:
Planned and actual start 'and completion dates are not required in WasteLAN. Funds may be planned site-
(C2101 = TA) or non-site specifically; however, they must be obligated site-specifically. Once funds are obligated,
the non-site specific amount must be reduced. Funds for technical assistance are contained in the other response
ADA.
TECHNICAL ASSISTANCE GRANTS (TAGs)
Definition:
TAGs are provided under SARA to a community for technical assistance in dealing with Superfund issues at NPL
sites. .
Definition of Accomplishment:
The start of the TAG is the signature of the CA to the community group, which is the obligation of funds for the
TAG. The completion of the TAG is the completion of the final RA or early action, or the deletion of the site from
the NPL.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
Planned and actual start and completion dates are not required in WasteLAN. Funds may be planned site-
(C2101 = TG) or non-site specifically; however, they must be obligated site-specifically. Once funds are obligated,
the non-site specific amount must be reduced. Funds for TAGs at non-Federal Facility sites are contained in the
response budget and found in the other response AOA. Funds for TAGs at Federal Facility sites are contained in
the Federal Facility budget and found in the Federal Facility AOA.
REMEDIAL INVESTIGATION (RI) STARTS
Definition:
The RI is an investigation designed to characterize the site, assess the nature and extent of the contamination and
evaluate potential risk to human health and the environment.
The RI may be conducted alone, or as part of an integrated ESI/RI assessment, or a combined RI/Feasibility Study
(FS). The start of an ESI/RI is captured in the SCAP measure, SSA-1 Site Characterization Starts. The start of
an RI/FS is an internal planning and reporting measure. The RI start and RI/FS start definitions are the same.
Regions are not required to enter the RI start date if the RI is being conducted as pan of an ESI/RI, RI/FS, or
ESI/RI/FS.
Obligation of funds for forward planning, community relations and/or other support activities do not constitute a
RI start.
Definition of Accomplishment:
Fund-financed (Including F- and S-lead events) - Credit for a Fund-lead RI start is received when funds are
obligated and the actual start date (C2140) has been recorded in WasteLAN. Funds are obligated when:
The contract modification for the RI has been signed by the EPA Contracting Officer (CO); or
An IAG has been signed by the other Federal agency [or Bureau of Reclamation (BUREC)]; or
A CA has been signed by the Regional Administrator or designee to conduct a RI.
February 19, 1996 A-20
-------
OSWER Directive 9200.3-14-IB
If a subsequent RI is initiated without a new obligation of funds, the start date is defined as EPA's written approval
of the work plan for the subsequent RI.
PRP-fmanced (Includes RP-, MR-, and PS-lead events) - Credit for a PRP-lead (RP or MR) RI start is received
when one of the following enforcement actions occurs:
An Administrative Order on Consent (AOC), in which the potentially responsible parties (PRPs) agree to
conduct the RI, is signed by the Regional Administrator. The RI start date is the AOC completion date
(Regional Administrator signature date); or
A CD, in which the PRPs agree to conduct the RI, is referred by the Region to Department of Justice (DOJ)
or HQ. The RI start date is the date the Regional Administrator signs the memo transmitting the CD to HQ
or DOJ.
Credit for a PS-lead RI start is received when a State order or comparable enforcement document, in which the
PRPs agree to conduct the RI, is signed by the last appropriate State official or party and the site is covered by one
of the following:
State enforcement CA signed by the Regional Administrator; or
Superfund Memorandum of Agreement (SMOA) signed by the appropriate State and Regional official containing.
a schedule for RI work at the site; or
A general SMOA signed by the appropriate State and Regional officials covering remedial work to be
undertaken with schedules defined before work commences; or
Other State/EPA agreement signed by the appropriate State and Regional official.
If a subsequent RI is initiated without a new or amended AOC, CD, State order, or other comparable State
enforcement document, the start date for the RI is documented by a letter, form, or memo from EPA or the State
approving the work plan for the subsequent RI.
If an AOC, State order, or other comparable State enforcement document is amended for the subsequent RI, the
start date is the date the last State official or Regional Administrator signs the amendment. If an EPA CD is
amended, the start date is the date on which the memo transmitting the CD to HQ or DOJ is signed by the Regional
Administrator.
EP-lead - Credit for an EP-lead RI start is received on the date that the Region conducts the initial RI scoping
meeting. The start is documented by a memo to file containing the minutes from the meeting.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
Regions are not required to enter the RI start date if the RI is being conducted as part of an ESI/RI, RI/FS, or
ESI/RI/FS. The RI (C2101 = RI), combined RI/FS (C2101 = CO), or combined ESI/RI (C2101 = SS) actual
start date (C2140) is reported site-specifically in WasteLAN. For PRP-financed RIs, both the RI start (C2140) and
the CD start (C1716) or AO completion (C1717) dates must be entered into WasteLAN. These dates should be the
same. Funds for RIs and RI oversight are found in the site characterization AOA:
A-21 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
ESI/R1 COMPLETION
Definition:
An ESI/RI characterizes the magnitude and severity of a hazardous waste site. ESI/RI activities will be conducted
at sites where conditions indicate that the HRS score will be above 28.5 and a remedial response will be needed.
RI activities may be conducted as part of an integrated ESI/RI, a combined RI/FS or as a separate RI. The
definitions for RI/FS Completion and RI Completion are different from the definition for ESI/RI Completion. ESI
activities may be conducted separately or as pan of an integrated ESI/RI. The definition for completion of an ESI
is the same as the definition for an ESI/RI Completion. It is not necessary to enter the ESI or the RI completion
date in WasteLAN for an integrated ESI/RI. .
The ESI/RI start is defined in SSA-1, Site Characterization Starts.
Definition of Accomplishment:
The ESI/RI is complete when:
An ESI/RI report has been received by the Region from the ARCS or START contractor or from the State;
and
The appropriate Regional official signs a letter, form, or memo approving the ESI/RI report; and
A decision on whether further activities are necessary has been entered into the Event Qualifier Field (C2103).
Valid decisions upon completion of the ESI/RI include:
'G' - Recommended for HRS Scoring (i.e., development of HRS package, C2101=HR); or
'N' - No further remedial action planned; or
'A' - Site is being addressed as part of an NPL site. A site having an event qualifier of 'A' should have
an NPL status Indicator (C0305) of 'A' and a Parent Site ID (C0102); or
'F' - Referred to the removal program with further remedial assessment needed; or
'W - Referred to the removal program with no further remedial assessment needed.
The following must be recorded in WasteLAN:
The actual ESI/RI (C2101 = SS) completion date (C2141); and
A valid lead code (C2117); and
The decision on further action in the Event Qualifier data field (C2103).
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
See Definition of Accomplishment. ESI/RIcompletions are an internal planning measure. The completion date
(C2141) and event qualifier (C2103) must be entered for the ESI/RI (C2101 = SS). Regions are not required to
report an ESI completion date if the ESI is conducted as part of an integrated ESI/RI.
February 19, 1996 A-22
-------
OSWER Directive 9200.3-14-1B
FEASIBILITY STUDY (FS) STARTS
Definition:
The FS is used to develop and evaluate all potential remediation alternatives to clean a hazardous waste site.
The FS may be conducted alone, as part of an integrated ESI/RI/FS or a combined RI/FS. The start of an ESI/RI
is tracked by the SCAP measure, SSA-1 Site Characterization Starts. Combined RI/FS starts is an internal reporting
measure. Regions are not required to enter the FS start date if the FS is being conducted as part of a combined
RI/FS or ESI/RI/FS.
Obligation of funds for forward planning, community relations and/or other support activities does not constitute
a FS start.
Definition of Accomplishment:
Fund-financed (Including F- and S-lead events) - Credit for a Fund-lead FS start is received when funds are
obligated and the actual start date (C2140) is entered into WasteLAN. Funds are obligated when:
The contract modification for the FS has been signed by the EPA Contract Officer (CO); or
An IAG has been signed by the other Federal agency (USAGE or BUREC); or
A CA has been signed by the Regional Administrator or his designee to conduct a FS.
If a first or subsequent FS is initiated without a new obligation of funds, the start date is defined as the date of
EPA's written approval of the work plan for the FS.
PRP-financed (Includes RP-, MR-, and PS- lead events) - Credit for a responsible party-lead (RP or MR) FS is
received when one of the following enforcement actions occurs:
An AOC that addresses FS activities is signed by the Regional Administrator. The FS start date is the AOC
completion date (Regional Administrator signature date); or
A CD that addresses FS activities is referred by the Region to DOJ or HQ. The FS start date is the date of
signature by the Regional Administrator on the memo transmitting the CD to DOJ or HQ.
A PS-lead FS starts when a State order or comparable enforcement document that addresses FS activities is signed
by the last appropriate State official or party, and the site is covered by one of the following:
State enforcement CA signed by the Regional Administrator; or
SMOA signed by the appropriate State and Regional official containing a schedule for FS work at the site; or
Other State/EPA agreement signed by the appropriate State and Regional official.
If a first or subsequent FS is initiated without a new or amended AOC, CD, State order, or other comparable State
enforcement document, the start date of the FS is documented by a letter, form, or memo from EPA or the State
approving the work plan for the subsequent FS.
If an AOC, State order, or other comparable State enforcement document is amended for the first or subsequent
FS, the actual start date is the date the last State official or the Regional Administrator signs the amendment. If
an EPA CD is amended, the start date is the date the Regional Administrator signs the memo transmitting the CD
to HQ or DOJ.
A-23 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
EP-lead - Credit for an EP-lead FS start is received on the date that the Region conducts the initial FS scoping
meeting. The start date is documented by a memo to file containing the minutes from the meeting.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
Regions are not required to enter the FS start date if the FS is being conducted as part of a combined RI/FS or
ESI/RI/FS. The FS (C2101 = FS) or combined RI/FS (C2101 = CO) actual start date (C2140) is entered into
WasteLAN site-specifically. For a PRP-financed FS, both the FS start date (C2140) and the CD start date (C1716),
or the AO completion date (C1717) must be entered into WasteLAN. These dates should be the same. Funds for
FS and FS oversight are contained in the site characterization AOA.
COMBINED RI/FS START
Definition:
The RI/FS is an investigation designed to characterize the site, assess the nature and extent of the contamination,
evaluate potential risk to human health and the environment, and develop and evaluate potential remediation
alternatives.
RI/FS activities may be conducted separately, as part of the combined RI/FS, or as part of an integrated ESI/RI or
integrated ESI/RI/FS. The ESI/RI start is tracked by the SCAP measure, SSA-1 Site Characterization Starts.
Obligation of funds for forward planning, community relations and/or other support activities do not constitute a
RI/FS start.
Definition of Accomplishment:
Fund-financed (Including F- and S-lead events) - Credit for a Fund-lead RI/FS start is received when funds are
obligated and the actual RI/FS start date (C2140) is reported in WasteLAN. Funds are obligated when:
The contract modification for the RI/FS has been signed by the EPA CO; or
An IAG has been signed by the other Federal agency (USAGE or BUREC); or
A CA has been signed by the Regional Administrator or designee to conduct a RI/FS.
If a first or subsequent RI/FS is initiated without a new obligation of funds, the start date is defined as the date of
EPA's written approval of the work plan for the RI/FS.
PRP-financed (Includes RP-, MR-, and PS-lead events) - Credit for a PRP-lead (RP or MR) RI/FS start is
received when one of the following enforcement actions occurs:
An AOC that addresses RI/FS activities is signed by the Regional Administrator. The RI/FS start date is the
AOC completion date (Regional Administrator signature date); or
A CD that addresses RI/FS activities is referred by the Region to DOJ or HQ. The RI/FS start date is the date
the Regional Administrator signs the memo transmitting the CD to HQ or DOJ.
February 19, 1996 A-24
-------
OSWER Directive 9200.3-14-1B
A PS-lead RI/FS starts when a State order or comparable enforcement document that addresses RI/FS activities is
signed by the last appropriate State official or party and the site is covered by one of the following:
State enforcement CA signed by the Regional Administrator; or
SMOA signed by the appropriate State and Regional official containing a schedule for RI/FS work at the site;
or
Other State/EPA agreement signed by the appropriate State and Regional officials.
If a first or subsequent RI/FS is initiated without a new or amended AOC, CD, State order, or other comparable
State enforcement document, the start date of the RI/FS is documented by a letter, form, or memo from EPA or
the State approving the work plan for the subsequent RI/FS.
If an AOC, State order, or other comparable State enforcement document is amended for the first or subsequent
RI/FS, the start date is the date on which the last State official or Regional Administrator signs the amendment.
If an EPA CD is amended, the start date is the date on which the memo transmitting the CD to HQ or DOJ is
signed by the Regional Administrator.
EP-lead - Credit for an EP-lead RI/FS start is received when the Region has the initial RI/FS scoping meeting.
The start is documented by a memo to file containing the minutes from the meeting.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
Regions are not required to report a combined RI/FS start if an ESI/RI or separate RI and FS are being conducted.
The combined RI/FS (C2101 = CO), or ESI/RI (C2101 = SS), or RI (C2101 = RI) and FS (C2101 = FS) actual
start dates (C2140) are entered into WasteLAN site-specifically. For a PRP-financed RI/FS, the RI/FS start date
(C2140) and the CD start date (C1716), or AO completion date (C1717) must be entered into WasteLAN. These
dates should be the same. Funds for RI/FS and RI/FS oversight are contained in the site characterization AOA.
Combined RI/FS starts is an internal planning and reporting measure.
START OF PUBLIC COMMENT PERIOD (FS REPORT TO PUBLIC)
Definition:
The FS or RI/FS report is released to the public when the contamination at the site has been characterized and
alternatives for remediation have been .evaluated.
Definition of Accomplishment:
The start of public comment (FS report to public) is accomplished on the date the appropriate Regional official signs
a letter transmitting RI/FS reports and the proposed plan to the site repository for public review. This date must
be recorded in WasteLAN as the actual completion date (C3125) of the FS or combined RI/FS subevent, 'CF,' start
of public comment period (C2101 =FS or CO and C3101 =CF).
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
Accomplishments are based on the first proposed plan released to the public for each FS or RI/FS, regardless of
lead. Start of public comment period (FS report to public) is an internal reporting measure.
A-25 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
RI/FS DURATION
Definition:
The RI/FS is an investigation designed to characterize the site, assess the nature and extent of contamination,
evaluate potential risk to human health and the environment, and develop and evaluate potential remediation
alternatives.
The RI/FS starts with the obligation of Fund monies or the signature of an AO for the RI or combined RI/FS and
culminates with the signature of the ROD.
The objective of this measure is to focus oh good project management of critical portions of the traditional remedial
pipeline and establish a methodology which accurately assesses program performance. Duration trends provide
indicators of areas that require attention: .
Only RI/FS projects that started post-SARA will be used for comparison and evaluation purposes.
Definition of Accomplishment:
This measure includes all combined RI/FS projects that have a targeted completion date in FY 96. The RI/FS
duration will be calculated based on the RI or combined RI/FS Start and Decision Document Developed (FS or
RI/FS completion) definitions specified in this Manual. Regional performance in FY 96 will be compared to:
The Regional and national average duration of RI/FS projects completed in FY 94 and FY 95;
The Regional and national average duration of RI/FS projects completed in previous quarters of FY 96.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
CERCLIS will automatically look at actual RI or combined RI/FS start dates and actual ROD completion dates.
HQ will perform the analysis of the average durations. Fund and PRP durations will be tracked. At sites where
a single, site-wide RI and OU specific FSs and RODs are conducted, Links data will be used to calculate durations.
RI/FS duration is an internal reporting measure.
RDT-1 DECISION DOCUMENT DEVELOPED
Definition of Target/Measure:
A "Decision Document" is developed to identify each decision (at NPL, non-NPL, and NPL-caliber sites) to:
Perform an emergency or time-critical early action (removal authority); or
Perform a NTC early action (remedial or removal authority); or
Perform a long-term action.
Definition of Accomplishment:
Early Actions (Removal Authority) (Emergency, Time Critical, or NTC) - The date the On-Scene Coordinator
(OSC), AA SWER, or designated Regional official signs the first or original Action Memorandum for each early
action (removal authority). (Regions will not receive credit for subsequent Action Memos, e.g., ceiling increases
at the same removal.) The date of the signature is recorded in WasteLAN as the actual completion date (C3125)
of the removal subevent. Approval of Action Memo (C2101 = RV and C3101 = AM or RM). If a presumptive
remedy is used at the site, it must be recorded in the Technical Information Type (C3401 = PR) in WasteLAN.
February 19, 1996 A-26
-------
OSWER Directive 9200.3-14-1B
Early or Lang-Term Actions under Remedial Authority - The date the Regional Administrator/Deputy Regional
Administrator or the A A SWER signs the ROD for each early or long-term action under remedial authority. This
date must be reported in WasteLAN as the actual RI/FS (C2101 = CO) or FS (C2101 = FS) and ROD
(C2101 = RO) completion date (C2141). Final RODs will be tracked as a component of this target. If a
presumptive remedy is used at the site, it must be recorded in the Technical Information Type (C3401 = PR) in
WasteLAN. If a presumptive remedy is not used, the Remedial Technology Technical Information Type
(C3401 = RT) and the appropriate Technical Information Qualifier (C3402 - C3411) must be entered into
WasteLAN.
For State-lead, State-signed RODs, where the ROD also is signed by EPA, accomplishments are reported as the
date the State signs the ROD (as long as the date of the EPA signature precedes or is the same as the date of the
State signature).
These decisions will be tracked separately but reported on a combined basis.
Changes in Definition FY 95 - FY 96:
Clarification was added to the Definition of Accomplishment for State-lead, State-signed RODs.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Accomplishments are reported site-specifically in WasteLAN. This is a SCAP
target.
A-27 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
EXHIBIT A.2 (1 OF 8)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING REQUIREMENTS
Planning Requirements
SCAP Target or Measure?
Internal Management?
Planned Site Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site Specifically
or in Non-Site Specific
Portion of WasteLAN?
AOA Category, if Fund-
Financed?
AOA Category for
oversight?
Basis for AOA?
SSA-* Slfe
Characterizatioa
Starts
Measure
No
Whole Site
Site Specific
Site
Characterization
Site
Characterization
Site or Non-Site
Plans
- 8SMI&*
Screening and
"&s$mm$& \
Decisions::
Measure
-
No
Whole Site
Site Specific
N/A
N/A
N/A
SI&lHseovery
\ .
* . :
-.
Reported
No
Whole Site
Site Specific
N/A
N/A
N/A
leti0ns
-
Planned
No
Whole Site
Site Specific
Site
Characterization
N/A
N/A
SJPStarfc
-
Reported .
No
Whole Site
Site Specific
Site
Characterization
N/A
N/A
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are planned and
reported quarterly.
February 19, 1996
A-28
-------
OSWER Directive 9200.3-14-1B
EXHIBIT A.2 (3 OF 8)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING REQUIREMENTS
Planninja Requiremenfcs -,
SCAP Target or Measure?
Internal Management?
Planned Site Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site Specifically
or in Non-site Specific
Portion of WasteLAN?
AOA Category, if Fund-
Financed?
AOA Category for
oversight?
Basis for AOA?
SIP Comp}«tt08$
-
Planned
No
Whole Site
Site Specific
Site
Characterization
N/A
N/A
EM Starts :
-
Planned
No
Whole Site
Site Specific
Site
Characterization
N/A
N/A
I§| ContpJetlotts
-
Reported
No
Whole Site .
Site Specific
Site
Characterization
N/A
N/A
ESI/RISlarts
-
Reported
Yes
Operable Unit
Site Specific
N/A
N/A
N/A
EXHIBIT A.2 (4 OF 8)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING REQUIREMENTS
Plaao)|»gR6
-------
OSWER Directive 9200.3-14-1B
EXHIBIT A.2 (5 OF 8)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING REQUIREMENTS
Planning Requirements
SCAT Target or Measure?
Internal Management?
Planned Site Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site Specifically
or in Non-site Specific
Portion of WasteLAN?
AOA Category, if Fund-
Financed?
AOA Category for
oversight?
Basis for AOA?
JEA ComptefSom
-
Reported
No
Whole Site
Site Specific
N/A
N/A
N/A
JUgJ<*H»l .. i
Oeefeiorcs "-
-
Reported
No
Operable Unit
Site Specific
N/A
N/A
N/A
JB&CA
-
Planned
Yes
Operable Xinit
Site Specific
Site
Characterization
Site
Characterization
Site Specific
Plans
Community
Itelatioas
-
.
Not Required
Operable Unit
Not Required
Site
Characterization
Site
Characterization
or Federal
Facility
Site or Non-Site
Specific Plans
EXHIBIT A.2 (6 OF 8)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING REQUIREMENTS
PJauaSn^ Requirements
SCAP Target or Measure?
Internal Management?
Planned Site Specifically?
Planned/Reported on
Operable Unit or Whole Site
Basis?
Reported Site Specifically or
in Non-site Specific Portion of
WasteLAN?
AOA Category, if Fund-
Financed?
AOA Category for oversight?
Basis for AOA?
Support Ageocy
Assistance
-
-
Not Required
Whole Site
Not Required
Site Characterization
Site Characterization
Site or Non-Site
Specific Plans
TfecJtttteal Assistaioefc
-
-
Not Required
Operable Unit
Not Required
Other Response
Site Characterization
Site or Non-Site
Specific Plans
Tschniesl AssSsiaxK*
Grants
.
-
Not Required
Whole Site
Not Required
Other Response
Other Response or
Federal Facility
Site or Non-Site
Specific Plans
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are planned
and reported quarterly.
February 19, 1996
A-30
-------
OSWER Directive 9200.3-14-IB
EXHIBIT A.2 (7 OF 8)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING REQUIREMENTS
* "
Planning Requirements
SCAP Target or Measure?
Internal Management?
Planned Site Specifically?
Planned/Reported on
Operable Unit or Whole Site
Basis?
Reported Site Specifically or
in Non-site Specific Portion of
WasteLAN?
AOA Category, if Fund-
Financed?
AOA Category for oversight?
Basis for AOA?
, MSfcttfe^ !
-
Planned
Yes*
Operable Unit
Site Specific
Site Characterization
Site Characterization
Site Specific Plans
FS Starts , j
-
Planned
Yes*
Operable Unit
Site Specific
Site Characterization
Site Characterization
Site Specific Plans
Combined RJ/FS
Starts
-
Planned
Yes*
Operable unit
Site Specific
Site Characterization
Site Characterization
Site Specific Plans
EXHIBIT A.2 (8 OF 8)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION PLANNING REQUIREMENTS
f
f
P&oalttg itapiptpeate
SCAP Target or Measure?
Internal Management?
Planned Site Specifically?
Planned/Reported on
Operable Unit or Whole Site
Basis?
Reported Site Specifically or
in Non-site Specific Portion of
WasteLAN?
AOA Category, if Fund-
Financed?
AOA Category for oversight?
Basis for AOA?
SJatfof-hlfclfe ;
Comment Period {M i
Report to PwWfe) !
-
Reported
Yes
Operable Unit
Site Specific
N/A
N/A
N/A
m/f$j>uraiioe <-.
f ':
-
Reported
No
Operable Unit
Site Specific
N/A
N/A
N/A
JUXT"! Decfe&ox*
fioetuneat Developed
?
Target
Yes
Operable unit
Site Specific
N/A
N/A
N/A
*"To be determined" sites are allowed for firsi starts.
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are planned
and reported quarterly.
A-31
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OSWER Directive 9200.3-14-IB
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OSWER Directive 9200.3-14-IB
Appendix B: Early /Long-Term Actions
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OSWER Directive 9200.3-14-1B
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OSWER Directive 9200.3-14-1B
Early and Long-Term Action
Targets and Measures
Table of Contents
EARLY AND LONG-TERM ACTION FY 96 SCAP TARGETS AND MEASURES B-l
Overview of FY 96 Early and Long-Term Action Targets/Measures B-l
Superfund Durations B-l
Early and Long-Term Action Definitions ......... . B-4
Community Relations ...:... ; . B-4
Support Agency Assistance B-4
Technical Assistance B-5
Technical Assistance Grants (TAGs) B-5
Treatability Studies B-6
Design Assistance B-6
Remedial Design (RD) Start B-7
RD Completion B-8
Remedial Action (RA) Start B-8
RA Contract Award B-9
ACT 5 Sites Addressed Through Early or Long-Term Action On-Site Construction Starts ... B-10
ACT-6 Early or Long-Term Action Completions B-12
ACT-7 NPL Site Construction Completions Through Early Actions,
Long-Term Actions, or RODs B-14
Operational and Functional (O&F) B-18
Long Term Response Action (LTRA) B-18
NPL Site Completions B-19
Groundwater Monitoring B-23
Operation and Maintenance (O&M) B-24
Five-Year Reviews B-24
NPL Deletion Initiation . -B-25
El - 1A Progress Through Environmental Indicators
(Addressing Immediate Threats at NPL and Non-NPL Sites) B-26
El - IB Progress Through Environmental Indicators
(Achieving Permanent Cleanup Goals) B-28
February 19, 1996
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OSWER Directive 9200.3-14-1B
Early and Long-Term Action Targets and Measures
List of Exhibits
EXHIBIT B.I EARLY AND LONG-TERM ACTION ACTIVITIES B-3
EXHIBIT B.2 LONG-TERM ACTION FLOW CHART .-' B-30
EXHIBIT B.3 EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS . B-31
February 19, 1996
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OSWER Directive 9200.3-14-1B
EARLY AND LONG-TERM ACTION
FY 96 SCAP TARGETS AND MEASURES
OVERVIEW OF FY 96 EARLY AND LONG-TERM ACTION TARGETS/MEASURES
The Superfund Comprehensive Accomplishments Plan (SCAP) is used by the Assistant Administrator for the
Office of Solid Waste and Emergency Response (AA OSWER), Assistant Administrator for the Office of
Enforcement and Compliance Assurance (AA OECA), and senior Superfund managers to monitor the administrative
progress each Region is making .towards achieving its Superfund goals. Superfund cleanup results are tracked
through targets and measures at the SCAP level as well as internal reporting measures. Those Superfund activities
not tracked at the SCAP level are monitored for internal management purposes by Headquarters (HQ).
For FY 96, the Superfund program will serve as a pilot performance plan project under the Government
Performance and Results Act (GPRA), which was discussed in Chapter II. SCAP will serve as the mechanism
through which the Office of Emergency and Remedial Response (OERR) will track GPRA progress. As such, the
program will set national goals based on historical performance and performance expectations within a limited
budget for the four performance goals in GPRA and track accomplishments in the activities contributing to those
goals. HQ will not establish specific Regional targets and measures for GPRA given the uncertainty with the
budget. Regions should continue to plan and report accomplishments in WasteLAN as they have traditionally.
There are no additional GPRA-related reporting requirements for the Regions in FY 96.
The differences .between SCAP targets and measures remain the same (i.e., a pre-determined numerical goal
versus an activity deemed essential to tracking overall program progress, respectively); however, the program will
not emphasize these distinctions in FY 96. OERR will continue to track site assessment activities to document and
evaluate administrative program progress and to analyze program trends. SCAP accomplishments will be pulled
from the Comprehensive Environmental Response, Compensation, and Liability Information System (CERCLIS)
on a quarterly basis. Planning measures are used to project the number of events and activities that each Region
expects to perform during the year using anticipated resources. Reporting measures simply track the number of
events and activities that occur throughout the year and are used to evaluate overall progress through the cleanup
pipeline. Planning measures also report accomplishments.
The following pages contain, in pipeline order, the definitions of the FY 96 early and long-term action activities,
SCAP measures (with the prefix ACT), internal management planning and reporting measures, and early and long-
term action project support activities. Exhibit B.I, displays the full list of early and long-term action activities
defined in this Appendix. Exhibit B.2, at the end of this appendix, illustrates the long-term action process. Exhibit
B.3, also at the end of this Appendix, identifies planning requirements for all early and long-term action activities.
SUPERFUND DURATIONS
The Superfund program has tracked remedial pipeline durations for several years in the Superfund Senior
Management Reports as part of Superfund progress evaluation. As program management emphasis shifts from
administrative progress to more comprehensive measurement of program progress, OERR will track additional
durations besides the remedial pipeline durations. These durations include: Engineering Evaluation/Cost Analysis
(EE/CA) duration; Expanded Site Inspection/Remedial Investigation (ESI/RI) duration; removal duration; average
proposed listing to first removal or remedial action; and average duration from action memorandum to first removal
completion. In FY 96, OERR will track the average event and site durations presented below. These durations
are not SCAP measures;-they are presented here for informational purposes only. HQ is responsible for calculating
and publishing the durations in the Superfund Senior Management Reports; however, Regions are responsible for
entering and maintaining accurate data from which durations can be derived.
B-l February 19, 1996
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OSWER Directive 9200.3-14-1B
The durations only cover non-Federal events and sites and are calculated based on actual dates. In addition,
they do not include takeovers (within events) or phased events. The following event durations are identified by (E)
and site durations are identified by (S):
Average Remedial Investigation/Feasibility Study (RI/FS) Duration (E)
Average Remedial Design (RD) Duration (E)
Average Remedial Action (RA) Durations (E)
Average Durations from Proposed Listing to Final Listing (S)
Comparison of Average Durations from Proposed Listing to Final Listing and Proposed Listing to First RI/FS
Start (S) ' ' '
Average Durations from Proposed Listing to First Record of Decision (ROD) (S)
Average Durations from Proposed Listing to First RD Start (S)
Average Durations from Proposed Listing to RA Start (S)
Average EE/CA Duration (E)
Average ESI/RI Duration (E)
Average Removal Duration: National Priorities List (NPL) and non-NPL (E)
Average Duration from Proposed Listing for First Removal or Remedial Action (RA) (S)
Average Duration from First Action Memorandum Signature to First Removal Completion (S)
February 19, 1996 B-2
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OSWER Directive 9200.3-14-1B
EXHIBIT B.I
EARLY AND LONG-TERM ACTION ACTIVITIES
ACTIVITY j ' '
Community Relations
Support Agency Assistance
Technical Assistance
Technical Assistance Grants (TAGs)
Treatability Studies
Design Assistance
RD Start
RD Completion
RA Start
RA Contract Award
ACT-5 Sites Addressed Through Early or Long-Term Action On-Site
Construction Starts
ACT-6 Early and Long-Term Action Completions
ACT-7 NPL Site Construction Completions Through Early Actions,
Long-Term Actions, or RODs
Operational and Functional (O&F)
Long Term Response Action (LIRA)
NPL Site Completions .
Groundwater Monitoring
Operation and Maintenance (O&M)
Five- Year Reviews Started
Five- Year Reviews Completions
NPL Deletion Initiation
EI-1 Progress Through Environmental Indicators (El)
I1W0RM&NCE
MEASURES
' -
.
'
*
-
-
Internal Planning
Internal Planning
Internal Planning
Internal Planning
SCAP Reporting
SCAP Reporting
SCAP Planning and
Reporting
-
*
-
*
-
*
.
*
SCAP Reporting
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Those measures displayed in
bold type are program priorities for FY 96. .
* These activities are planned for budgetary purposes.
B-3
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OSWER Directive 9200.3-14-1B
EARLY AND LONG-TERM ACTION DEFINITIONS
COMMUNITY RELATIONS (CR)
Definition:
CRs are the activities conducted in accordance with SARA, the National Contingency Plan (NCP), and the
Community Relations Handbook to involve the community in response activities conducted at a site.
Definition of Accomplishment:
.The start of CR is the obligation or tasking of funds for the development of the Community Relations Plan (CRP)
or when EPA initiates work on the CRP. For RP-lead or Federal Facility sites where the PRP or other Federal
agency is preparing the CRP in accordance with an Administrative Order (AO), Consent Decree (CD), or
Interagency Agreement (IAG), the start of CR is defined as EPA's written approval of the CRP. When EPA is
preparing the CRP at RP- or EP-lead sites, CR begins when EPA initiates work on the CRP.
The completion of CR is the deletion of the site from the NPL or the conclusion of an early action at non-NPL or
NPL caliber sites.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
CR activities at Federal Facilities are paid for by the Federal Facility budget. Planned and actual start and
completion dates are not required in WasteLAN. Funds may be planned site (C2101 = CR) or non-site specifically;
however, they must be obligated or tasked site specifically. Once funds are obligated, the non-site specific amount
must be reduced. Funds for CR activities are in the Federal Facility or site characterization Advice of Allowance
(AOA).
SUPPORT AGENCY ASSISTANCE
Definition:
The activities performed by another entity in support of EPA comprise support agency assistance. The support
agency furnishes necessary data to EPA, reviews response data and documents, and provides other assistance to
EPA. .
EPA may provide states, political subdivisions, and Indian Tribes with funding to carry out a variety of management
responsibilities via a support agency Cooperative Agreement (CA) to ensure the meaningful and substantial
involvement in response activities.
Unless otherwise specified in the CA, all support agency costs, with the exception of RA support agency costs, may
be planned under a single Superfund account number designated specifically for support agency activities. RA
support agency activities must be planned site specifically and require cost share provisions.
Definition of Accomplishment:
The start of support agency assistance is the signature of the CA by the Regional Administrator or his designee.
The completion of support agency assistance is the completion of all remedial activities at the site.
Changes in Definition FY 95 - FY 96:
None
February 19, 1996 B-4
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OSWER Directive 9200.3-14-1B
Special Planning/Reporting Requirements:
Support agency assistance is paid for by the response program and is contained in the site characterization AOA.
Planned and actual start and completion dates are not required in WasteLAN. Funds may be planned or obligated
site (C2101 = MA) or non-site specifically; however, they must be outlayed site specifically.
TECHNICAL ASSISTANCE
Definition:
Technical assistance is support provided by a third party to EPA to conduct response activities. Third parties that
may provide assistance include U.S. Army Corps of Engineers (USAGE), U.S. Fish and Wildlife Service,
Alternative Remedial Contracting Strategy (ARCS), Superfund Technical Assistace and Response team (START)
and Response Action Contracts (RAC) contractors.
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 response activities.for the stage at which technical assistance was requested.
Changes in Definition FY 95 - FY 96:
Added START contractors to the list of third parties what may provide technical assistance.
Special Planning/Reporting Requirements:
Planned and actual start and completion dates are not required in WasteLAN. Funds may be planned site
(C2101 = TA) or non-site specifically; however, they must be obligated site specifically. Once funds are obligated,
the non-site specific amount must be reduced. Funds for technical assistance are contained in the other response
AOA.
TECHNICAL ASSISTANCE GRANTS (TAGs)
Definition:
TAGs are provided under the Superfund Amendments and Reauthorization Act of 1986 (SARA) to a community
for technical assistance in dealing with Superfund issues at NPL sites.
Definition of Accomplishment:
The start of the TAG is the signature of the CA to the community group which is the obligation of funds for the
TAG. The completion of the TAG is the completion of the final RA .or early action, or the deletion of the site from
the NPL.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
Planned and actual start and completion dates are not required in WasteLAN. Funds may be planned site
(C2101 = TG) or non-site specifically; however, they must be obligated site specifically. Once funds are obligated,
the non-site specific amount must be reduced. Funds for TAGs at non-Federal Facility sites are contained in the
response budget and found in the other response AOA. Funds for TAGs at Federal Facility sites are contained in
the Federal Facility budget and found in the Federal Facility AOA.
B-5 February 19, 1996
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OSWER Directive 9200.3-14-1B
TREATABILITY STUDIES
Definition:
Treatability studies are laboratory or field tests used to evaluate and implement one or more remedial alternatives.
This definition also covers post-ROD treatability studies.
Definition of Accomplishment:
Fund-financed - If unexpended ESI/RI, FS, or RD funds are used for the treatability study, the start date is the date
of EPA's written approval, as reflected in WasteLAN, of the treatability study work plan. The completion is the
written approval of the report on the results of the treatability study.
PRP-financed - The treatability study starts when EPA approves, in writing, the treatability study work plan
submitted by the Potentially Responsible Parties (PRPs). The completion is the approval of the report on the results
of the treatability study.
Changes in Definition FY 95 - FY 96:
Deleted the definition obligation of funds for treatability studies.
Special Planning/Reporting Requirements:
Treatability study (C2101 = TS) planned and actual start (C2130 and C2140) and completion (C2131 and C2141)
dates are not required in WasteLAN. Treatability studies are funded as part of an ESI/RI, RI/FS, or RD. Dollars
are not budgeted, planned, or obligated separately.
DESIGN ASSISTANCE
Definition:
Design assistance activities are undertaken by the USACE in preparation for initiating RD activities. This includes:
Synopsizing RD requirements in the Commerce Business Daily (CBD); and
Developing architect/engineer (A/E) firm pre-selection list; and
Contacting A/E firms on the pre-selection list to ascertain interest in project; and
Developing A/E selection list; and
Tentatively selecting A/E firm.
Definition of Accomplishment:
The initiation of design assistance is the signature of the IAG by USACE (obligation of funds). The completion
of design assistance is the start of RD.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
Funds for design assistance should be obligated prior to the signature of the ROD. Planned and actual start and
completion dates are not required in WasteLAN. Funds may be planned site (C2101 =DA) or non-site specifically;
however, they must be obligated site specifically. Once funds are obligated, the non-site specific amount must be
reduced. Funds for design assistance are in the site characterization AOA.
February 19, 1996 B-6
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OSWER Directive 9200.3-14-1B
REMEDIAL DESIGN (RD) START
Definition:
The RD converts the remedy selected in the ROD into a final design package for RA. The obligation of funds for
design assistance or technical assistance does not constitute a RD start.
Pre-design activities will not be counted as a RD start.
Definition of Accomplishment:
Fund-Financed (Includes F- and S-lead events) - A Fund RD is started when funds are obligated. An obligation
is made when: .
The EPA Contracting Officer (CO) signs the contract modification for the RD; or
A CA is signed by the Regional Administrator or his designee; or
An IAG is signed by the other Federal agency.
In those instances where design assistance is conducted prior to ROD signature, and there is not a new obligation
of funds for a subsequent RD, the start of RD is defined as the written approval of the work plan to conduct these
activities. If there is a new obligation of funds, the start of RD is defined as the date funds are obligated. When
a RD has been prepared by other parties (e.g., water lines where the city already prepared plans and specifications)
or plans developed for a similar site will be used, the RD actual start date is the same as the RA actual start date.
PRP-financed (Includes MR-, RP-, and PS-lead events) - For MR and RP lead, the start is credited on the date
the earlier of the following actions takes place:
The enforcement document under .which the RD is to be conducted:
For an Administrative Order on Consent (AOC), this is the date of signature of the AOC for RD by the
Regional Administrator or his designee, or the date of signature of an amendment to an existing AOC to
include RD;
For a Unilateral Administrative Order (UAO), this is the date of the PRP's written notice of intent to
comply with the UAO;
For a CD, this is either ihe date the CD is lodged by the DOJ, or the date the CD is entered with the court
(depending on the wording of the CD); or
An official written notice to proceed is issued by EPA to the PRP.
For PS-lead sites, credit will be given based on the issuance or effective date of a state order or other comparable
state enforcement document for RD (or combined RD/RA). If the RD is covered by a pre-existing State order,
credit will be based on the notice 10 proceed date.
Changes in Definition FY 95 - FY 96:
The PRP-financed RD definition was revised to identify the effective date of each of the settlement tools.
Special Planning/Reporting Requirements:
The actual start date (C2140) of the RD (C2101 =RD) must be entered into WasteLAN. Accomplishments are
reported site specifically in WasteLAN. Funds for RDs are in the site characterization AOA. This is an internal
planning measure.
B-7 February 19, 1996
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OSWER Directive 9200.3-14-1B
RD COMPLETION
Definition:
The RD converts the remedy selected in the ROD into a final design package for RA.
Definition of Accomplishment:
A RD is complete when:
Fund-financed (Includes F- or S-lead events) - EPA approves, in writing, the final design package.
PRP-financed (Includes MR-, RP-, and PS-lead events)- EPA approves, in writing, the final design package.
For state enforcement-lead (PS) RDs, the RD is complete when the state approves the final design package.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
The actual completion date (C2141) of the RD (C2101 =RD) must be entered into WasteLAN. Accomplishments
are reported site specifically in WasteLAN. This is an internal planning measure.
REMEDIAL ACTION (RA) START
Definition:
A RA is the implementation of the remedy selected in the ROD.
Definition of Accomplishment:
Fund-financed ( F- or S-lead events) - Credit for a RA start is given on the date a contract modification for the
RA is signed by the EPA CO or the IAG is signed by the other Federal agency or CA is awarded, and funds are
obligated.
Credit for a subsequent RA start under an existing IAG is given on the date the amendment to the IAG to include
the new work is approved.
The actual start date is entered into WasteLAN with the RA (C2101 =RA).
PRP-financed (RP-, MR- or PS-lead events) - Credit for a RA start is given when one of the following occurs and
has been recorded in WasteLAN:
If work is performed by the PRPs under the same CD or UAO as the RD, the RA start is the date EPA
approves, in writing, the PRP RD package (RD completion); or
If the PRP is doing work under a state order or comparable enforcement document, and the site is covered by
a state enforcement cooperative agreement or state Memorandum of Agreement (SMOA) (PS-lead) with a
schedule for long-term action work at the site, and EPA approved the ROD, the RA start is the date the state
approves, in writing, the PRP RD package; or
February 19, 1996 B-8
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OSWER Directive 9200.3-14-1B
Where the Fund performed the RD or the RD was done under a settlement/order for RD and the PRPs are
doing the RA under the terms of a CD, UAO or judgment for RA only, the RA start date (C2140) is the same
as the date (C2807) of the PRP's written notice of intent to comply with the UAO (C1701=UA and
C2801 =NC) or the date the CD is transmitted by the Regional Administrator to HQ or the DOJ (as recorded
in WasteLAN as the actual CD (C1701 =CD) start (C1716) and actual RA start (C2140)). Where the PRP is
in significant non-compliance with the UAO, credit will be withdrawn.
For both Fund- and PRP-financed actions - The Region must enter the technology of the RA into the Technology
Information Type data field (C3401 = RT or PR). If the Technology Information Type is Remedial Technology
(RT), the remedial technology information qualifier (C3402 - C3411) also must be entered.
Changes in Definition FY 95 - FY 96:
None ' . .
Special Planning/Reporting Requirements:
This is an internal planning measure. The actual start date (C2140) of the RA (C2101 =RA) and the appropriate
enforcement information must be entered into WasteLAN. The Region must enter the remedial technology
information type and qualifiers (C3400 record) associated with the RA into WasteLAN. Funds for Fund-financed
RAs are planned on a site specific basis and are placed by name in the RA AOA. Funds for oversight of RP-lead
Ras are planned on a site specific basis and are found in the site characterization AOA. See Long-Term Action
Flow Chart at the end of this Appendix (Exhibit B.2).
RA CONTRACT AWARD
Definition:
Award of RA contract is the date a contract for construction of the remedy is awarded.
Definition of Accomplishment:
Fund-financed (F- or S-lead events) - Date (recorded in WasteLAN as an actual completion date) when the EPA,
a state, USAGE, or Bureau of Reclamation (BUREC) awards (signs) a contract to initiate a Fund-financed RA.
If the RAC or ARCS contractor is assigned RA responsibility, the award of RA contract is defined as the date the
RA subcontract is signed by the ARCS contractor. If the Emergency Response Cleanup Services (ERCS) or
Emergency and Rapid Response Services (ERRS) contractor will be performing the RA, award of RA contract is
defined as the date the contract modification for the RA is signed by the EPA CO.
PRP-financed (RP-, MR- or PS-lead events) - Date (recorded in WasteLAN as an actual completion date) when
the PRP awards a contract to initiate the RA, as documented in a memorandum to the site file.
Changes in Definition FY 95 - FY 96:
PRP accomplishment definition was revised.
Special Planning/Reporting Requirements:
The actual completion date (C3125) must be placed in WasteLAN with the RA subevent, Award of RA Contract
(C2101 =RA and C3101 = AC). See Long-Term Action Flow Chart at the end of this Appendix (Exhibit B.2). This
is an internal planning measure.
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OSWER Directive 9200.3-14-1B
ACT 5 SITES ADDRESSED THROUGH EARLY OR LONG-TERM ACTION ON-SITE
CONSTRUCTION STARTS
Definition of Target/Measure:
This measure counts all sites (NPL, non-NPL or NPL caliber) where either early or long-term cleanup actions have
been initiated to address risks to human health and the environment.
Definition of Accomplishment:
Long-Term Action (RA On-Site Construction) - A site is addressed by a long-term action when the EPA, ARCS,
RAC, the USAGE, BUREC, state or PRP, or their contractors, have mobilized for on-site construction of the long:
term action remedy selected in the ROD.
A memo to file documenting that the contractor has mobilized to begin construction or a report of mobilization from
the contractor is required.
Fund-financed (F- and S-lead) - The following data must be entered into WasteLAN:
The date of on-site construction as the RA on-site construction subevent (C2101 =RA and C3101 =RO)
actual completion date (C3125); and
A "final" NPL status indicator (C305=F).
PRP-financed (RP-, MR- or PS-lead events) - The work must be in compliance with an AOC, UAO, CD, or
judgment. The date of on-site construction must be documented in a memorandum to the site file stating when
the contractor mobilized on site to commence substantial and continuous remedial activity. A copy of a report
of mobilization from the contracting party is also acceptable. The date of on-site construction must be entered
into WasteLAN as the RA on-site subevent (C2101 =RA and C3101 =RO) actual completion date (C3125).
Early Action - A site is addressed by an early action when the EPA, RAC, ARCS, ERRS, ERCS, state, or PRP,
or their contractors, have mobilized for construction of the early action specified in the ROD or Action
Memorandum.
Early Action (Removal Authority) - A POLREP documenting that the contractor has mobilized for construction
of the removal (emergency, lime-critical, or non-time critical) is required to document the accomplishment.
The following data must be entered into WasteLAN:
The date of on-site construction as the early action (C2101 =RV) actual start date (C2140);
- The early acrion category code (C2118). classifying the early action as time critical (TC), non-time critical
(NT), or emergency (EM); and
- The NPL status indicator (C305) as Proposed (P), NPL caliber (S), Final (F), or Non-NPL (N).
If a PRP is doing the work, it must be in compliance with an AOC, UAO, CD, or judgment.
The following documentation is required:
A Polution Report (POLREP) documenting that the contractor has mobilized for construction of the
removal; AND
An AOC signed by the PRPs and the designated Regional official; or
A UAO signed by the designated Regional official; or
February 19, 1996 B-10
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OSWER Directive 9200.3-14-1B
- A CD signed by the PRPs, the designated Regional official, and the Federal judge; or
A judgment signed by the Federal judge
Early Action (Remedial Authority)
Fund-financed (F- and S-lead) - A memorandum to the file or other documentation stating that the contractor
has mobilized for construction of the early action (remedial authority) is required to document the
accomplishment. The following data must be entered into WasteLAN:
The date of obligation of funds for the early action (remedial authority) as the actual RA (C2101 =RA)
start date (C2140). Funds are obligated when the GO signs the contract modification, the IAG is
signed by the other Federal agency, or a CA is signed by the Regional Administrator or his/her
designee; and ''' .
The date of early action under remedial authority on-site construction as the RA on-site construction
subevent (C2101=RA and C3101=RO) actual completion date (C3125); and
The early action category code (C2118=EA); and
- The NPL status indicator as Proposed or Final (C305=P or F).
PRP-financed (RP-, MR-, or PS-lead) - The work must be in compliance with an AOC, UAO, CD, or
judgment. The following information must be entered into WasteLAN:
The date of early action (remedial authority) on-site construction as the RA on-site construction
subevent (C2101 =RA and C3101 =RO) actual completion date (C3125); and
The early action category code (C2118=EA).
The following documentation is also required:
Memo to the file documenting that the contractor has mobilized to being the early action (remedial
authority); or
Report of mobilization from the contractor; AND
A UAO signed by the designated Regional official; or
- A CD signed by the PRPs. the designated Regional official, and the Federal judge; or
A judgment signed by the Federal judge.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Only the first early or long-term action will be counted in this measure.
Regions cannot receive credit if an early action (removal or remedial) or RA began or was conducted at the site in
a previous year. Credit is given for the first activity started, and a site can only receive credit once. This is a SCAP
reporting measure. Early and long-term action starts will be tracked separately for internal management purposes.
The date of mobilization for RA on-site construction (C2101 = RA and C3101 = RO) will be used for purposes
of establishing the statute of limitation (SOL) determination.
B-ll February 19, 1996
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OSWER Directive 9200.3-14-1B
ACT-6 EARLY OR LONG-TERM ACTION COMPLETIONS
Definition of Target/Measure:
Early actions (removal or remedial) are responses performed at NPL, non-NPL or NPL caliber sites that eliminate
or reduce threats to public health or the environment from the release, or potential release, of hazardous substances.
These risk reduction activities can be conducted as emergency responses, time-critical or NIC removal actions, or
as early actions (remedial authority). This measure tracks each early action completion at a site.
Long-term actions are cleanup responses intended to achieve the completion of more extensive site remediation such
as restoration of surface and groundwater resources. This measure tracks each long-term action completion at
a site.
Early and long-term action completions will be tracked separately but accomplishments will be reported on a
combined basis.
Definition of Accomplishment:
Early Action (Removal Authority)
A Fund-financed early action (removal authority) is considered complete when the actions specified in the
Action Memorandum are met, OR when a ROD is signed which encompasses the actions specified in the Action
Memorandum, OR when the contractor has demobilized and left the site (as documented in the POLREP and
recorded as the removal (C2101 =RV) actual completion date (C2141) in WasteLAN).
A PRP-financed early action (removal authority) is considered complete when the Region has certified that the
PRPs have fully met the terms of an AOC, UAO, CD, or judgment and EITHER have completed the actions
specified in the Action Memorandum (as documented in the POLREP and recorded as the removal
(C2101=RV) actual completion date (C2141) in WasteLAN) OR a ROD is signed which encompasses the
actions specified in the Action Memorandum.
The completion of all early actions (removal authority) are credited under this measure.
Exceptions:
Temporary demobilization and temporary storage on-site are not considered completions, unless temporary storage
is the only action specified in the Action Memorandum to mitigate threats to public health, welfare, and the
environment. Likewise, temporary off-site storage of hazardous substances at a Treatment, Storage, and Disposal
(TSD) facility other than the facility of ultimate disposal is a continuation of the action, not a completion, unless
temporary off-site storage at a TSD is the only action specified in the Action Memorandum. In addition, an early
action would not be considered complete if:
The Action Memorandum requires the EPA contractor to monitor the hazardous substances stored on-site or
additional contractor expenditures are anticipated; or
Hazardous substances are being stored at an off-site facility, other than the ultimate TSD facility required in
the Action Memorandum.
February 19, 1996 B-12
-------
OSWER Directive 9200.3-14-1B
An early action would be considered complete if:
The scope of work for the action does not specify final off-site disposal of hazardous substances; the substances
have been stabilized and are stored on-site due to circumstances such as the unavailability of a final
treatment/disposal remedy; and no additional Comprehensive Environmental Response, Compensation, and
Liability Act (CERCLA) removal authority funds are anticipated to be expended on this action. In this
instance, no CERCLA removal authority funds will be expended for long-term site O&M. Any long-term site
O&M (greater than 6 months) should be performed by the PRP or another agency (e.g., the state); or
Hazardous substances are being stored off-site at the location of final disposal, and no additional contractor
expenditures are anticipated for this action.
A Long-Term Action or Early Action (Remedial Authority) .
These actions are considered complete (Fund- or PRP-financed) when:
Construction activities are complete;
A final inspection has been conducted;
The remedy is O&F; and
The designated Regional or state (PS-lead) official (Branch Chief or above) signs a letter accepting the RA or
Early Action Report certifying that construction is complete.
Accomplishments are credited based on the date the designated Regional (or state) official signs a letter accepting
the RA or Early Action Report. The date of the acceptance of the RA or Early Action Report must be entered into
WasteLAN with the RA event (C2101 =RA or C2101 =RA arid C2118=EA). The date must be entered as an actual
completion date (C2141) into WasteLAN.
The completion of all long-term actions or early actions (remedial authority) will be credited under this measure.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. Early and long-term action completions will be tracked separately but
accomplishments will be reported on a combined basis. All early and long-term action completions will receive
credit under this measure. See Long-Term Action Flow Chart at the end of this Appendix (Exhibit B.2).
B-13 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
ACT-7 NPL SITE CONSTRUCTION COMPLETIONS THROUGH EARLY ACTIONS,
LONG-TERM ACTIONS, OR RODS
Definition of Target/Measure:
Construction at a NPL site is considered complete when:
Physical construction is complete for the entire site as a result of one or several early or long-term actions; or
A ROD is signed for the only Operable Unit (OU) stating that no remediation is required; or
A ROD' is signed for the final OU stating that all necessary remediation was previously completed; or
A ROD is signed for the final OU stating that the only remediation necessary is the implementation of an
institutional control(s).
Sites that receive credit under this measure will have no further response actions, other than the ongoing
"long-term response action" (LTRA) component of the cleanup actions being performed. Regions receive
credit for construction completion only once per site.
Accomplishments under this measure will count toward the goal of 650 site construction completions by the end of
the year 2000.
Definition of Accomplishment:
The following tables have been added to more clearly depict coding and accomplishment requirements:
NPL Site Construction Completion
Throwgfc larly Actions {R«m«dJal Atrthar%> or Long-Tfcrm
Definition of Accomplishment
Actual Completion Date
Coding Required
Construction activities at all
OUs are complete; and
A pre-final inspection for the
final OU has been conducted;
and
A Preliminary Site Close-Out
Report (C3101=CC) has
been prepared*
Date the designated Regional
official signs the Preliminary
or Final Superfund Site Close-
Out Report
The completion date of the report
must be entered into WasteLAN as
the actual completion date (C3125) of
the subevent, Preliminary Close-Out
Report Prepared (C2101 =RA and
C3101=CCorC2101=RA,
C2118=EA, andC3101=CC), or
the actual completion date (C3125) of
the subevent, Final Superfund Site
Close-Out Report Prepared
(C2101 =RA and C3101 =CL, or
C2101=RA, C2118=EA, and
C3101=CL).
A Preliminary Site Close-Out report is not required if the Region immediately prepares a Final
Superfund Close-Out Report (C3101=CL).
February 19, 1996
B-14
-------
OSWER Directive 9200.3-14-1B
KOBs that Document ConstrnetioB OotapMea
{There should be no further carty or long-term actions
a*
Definition of Accomplishment
Actual Completion Date
Coding Requirements
ROD for the only OU that states
that no remediation is required at
the site.
Date Regional
Administrator/Deputy Regional
Administrator signs the ROD.
Regions must enter the following
into WasteLAN: The date of
ROD signature as the actual ROD
(C2101 =RO) completion date
(C2141) and the actual
completion date (C2135) of the
Final Superfund Site Close-Out
Report (C2101 =RO and
C3101=CL); the Technical
Information Type (C3401=RT);
and the Actions Deemed
Unnecessary technical qualifier
(C3402=AC).
ROD for the final OU that states
that all necessary remediation is
complete at the site. The ROD
must include a construction
completion certification or a
separate Final Superfund Site
Close-Out Report must be
prepared and signed by the
Regional Administrator.
Date Regional
Administrator/Deputy Regional
Administrator signs the ROD or
the date the Regional
Administrator signs the Final
Superfund Site Close-Out Report.
Regions must enter the following
into WasteLAN:
RODs with a construction
completion certification - The
date of ROD signature as the
actual ROD (C2101=RO)
completion date (C2141) and
the actual completion date
(C2135) of the Final Superfund
Site Close-Out Report
(C2101 =RO and C3101 =CL);
the Technical Information Type
(C3401=RT); and the
Necessary Actions Complete
technical qualifier
(C3402=NA).
RODs with separate Final
Superfund Site Close-Out
Report - the actual ROD
(C2101 =RO) completion date
(C2141); the Technical
Information Type
(C3401=RT); the Necessary
Actions Complete technical
qualifier (C3402=NA); and the
actual completion date (C2135)
of the Final Superfund Site
Close-Out Report (C2101=RO
andC3101=CL).
B-15
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
RODs that Document Construction Completion (continued) "
<
{There should be aa further early or long-term actions - -
conducted & the site after these ROD$ ar« 5lp«J.>
Definition of Accomplishment
ROD for the final OU that states
that the only necessary
remediation at the site is the
implementation of institutional
control(s). The ROD must
include a construction completion
certification or a separate Final
Superfund Site Close-Out Report
must be prepared and signed by
the Regional Administrator.
Actual Completion Date
Date Regional
Administrator/Deputy Regional
Administrator signs the ROD or
the date die Regional
Administrator signs the Final
Superfund Site Close-Out Report.
Coding Requirements
Regions must enter the following
into WasteLAN:
RODs with a construction
completion certification - "The
date of ROD signature as the
actual ROD(C2101=RO)
completion date (C2141) and
the actual completion date
(C2135) of the Final Superfund
Site Close-Out Report
(C2101 =RO and C3101 =CL);
the Technical Information Type
(C3401=RT); and the
Institutional Controls
Implemented technical qualifier
(C3402=IC).
RODs with separate Final
Superfund Site Close-Out
Report - the actual ROD
(C2101 =RO) completion date
(C2141); the Technical
Information Type
(C3401 =RT); the Institutional
Controls Implemented technical
qualifier (C3402=IC); and the
actual completion date (C2135)
of the Final Superfund Site
Close-Out Report (C2101=RO
andC3101=CL).
NOTE: A ROD that includes a construction completion certification is equivalent to a Final Superfund
Site Close-Out Report.
February 19, 1996
B-16
-------
OSWER Directive 9200.3-14-1B
Baily AfJttetts (Etftttuwal Attffeorily)
Definition of
Accomplishment
Actual Completion
Date
Coding Required
Fund-Financed:
Contractor demobilized
(recorded in POLREP)
PRP-Financed:
Region certifies PRPs or
their contractor have
completed the early actions
specified in the Action
Memorandum and fully met
the terms of AO, CD or
judgment
Both Fund- and PRP-
Financed:
A Final Superfund Site
Close-Out Report has been
prepared and signed by the
Regional Administrator/
Deputy Regional
Administrator, OR
A ROD that includes a
construction completion
certification is signed for
the final OU that states that
all necessary remediation is
complete.
Date Regional
Administrator/ Deputy
Regional Administrator
signs the ROD or Final
Superfund Site Close-
Out Report
The Region must enter the following into
WasteLAN:
The removal (C2101=RV) actual
completion date (C2141) (as reported in the
POLREP); and .
The early action event qualifier that
indicates that the site is cleaned up
(C2103=C);and
The actual completion date (C3125) of the
removal subevent, Final Close-Out Report
(C2101= RV and C3101=CL). OR
The date of ROD signature as the actual
completion date (C2141) of the ROD
(C2101=RO) and the actual completion
date (C3125) of the Final Superfund Site
Close-Out Report (C2101=RO and
C3101=CL), the Technical Information
Type (C3401 = RT), and the Necessary
Actions Complete technical qualifier (C3402
= NA).
NOTE: A ROD that includes a construction completion certification is equivalent to a Final
Superfund Site Close-Out Report. There should be no further early or long-term actions
conducted at the site after this ROD or Close-Out Report is signed. Regions may receive
credit under this measure if LTRA is ongoing at another OU.
B-17
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The appropriate removal qualifier must also be entered into WasteLAN for
early actions (removal or remedial) time-critical (C2118 = TC), non-time critical (C2118 = NT), emergency
(C2118 = EM) or early action (remedial) (C2118 = EA). This is a SCAP planning and reporting measure.
Accomplishments under this measure will count toward the goal of 650 NPL Construction Completions by the end
of the year 2000. Regions identified sites to meet the goal prior to the start of the FY. Only the final early or long-
term action or ROD at the site receives credit under this measure. Regions may receive credit under both the NPL
Site Completion and ACT-7, NPL Site Construction Completion measures, as a result of the same long-term action,
early action (remedial) or ROD. There is only one NPL construction completion at a site.
OPERATIONAL AND FUNCTIONAL (O&F)
Definition:
O&F means the activities required to determine that the remedy is functioning properly and is performing as
designed. O&F activities are part of RA when a Fund-financed RA is conducted. Physical construction may be
complete before the start of O&F. EPA funds O&F activities for a period up to one year after the final inspection,
or until EPA and the state jointly determine that the remedy is functioning properly and is performing as designed,
whichever is earliest. EPA may extend the one-year period, as appropriate.
Definition of Accomplishment:
The completion of O&F is the date on which the lead and support agencies (F- or S-lead RA) or the EPA and/or
state official and PRPs (RP-, MR-, or PS-lead RA) agree through an inspection that the remedy is operating in
accordance with the standards contained in the ROD and RD. This documentation is presented in the RA Report.
Normally, O&F completion will occur within one year following completion of construction. The actual completion
date is reported with the RA subevent, O&F (C2101 =RA and C3101 =OF).
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
Since it is a subevent, O&F (C2101 =RA and C3101 =OF) only has a completion date (C3125).
LONG TERM RESPONSE ACTION (LTRA)
Definition:
LTRAs are response actions undertaken for the purpose of restoring ground or surface water quality. These actions
require a continuous period of on-site activity before cleanup levels, specified in the ROD or Action Memorandum,
are achieved.
For Fund-financed RAs involving treatment or other measures to restore contaminated ground or surface water
quality, the operation of such treatment or measures for a period up to 10 years after the construction or installation
and commencement of operation will be considered part of RA.
Activities required to maintain the effectiveness of such treatment or measures following the 10-year period, or after
RA is complete, whichever is earlier, shall be considered O&M. Ground or surface water measures initiated for
the primary purpose of providing drinking water, not for the purpose of restoring ground or surface water shall not
be considered treatment.
February 19, 1996 B-18
-------
OSWER Directive 9200.3-14-1B
Definition of Accomplishment:
LIRA begins when EPA and the state (Fund-financed LTRA) or EPA and/or the state and the PRPs (RP-, MR-,
or PS-lead) determine that the RA is O&F. (See definition of O&F.) Typically, this is when the letter accepting
the RA Report is signed by the designated Regional official. The completion date is the point at which the levels
specified in the ROD or Action Memorandum have been achieved and all necessary Superfund response required
to protect human health or the environment has been completed, or ten years after the remedy becomes O&F,
whichever is earliest.
Changes in Definition FY 95 - FY 96:
None ' .
Special Planning/Reporting Requirements:
LTRA is planned on a site specific basis (C2101 =LR) in WasteLAN and is used for resource allocation purposes
only. Funds for LTRA are issued site specifically in the RA AOA. Funds for oversight of RP-lead LTRA are
contained in the site characterization AOA. See Long-Term Action Flow Chart at the end of Appendix (Exhibit
B.2).
NPL SITE COMPLETIONS
Definition of Target/Measure:
An NPL site is completed when:
Cleanup goals are reached as a result of one or several early or long-term actions; or
A ROD is signed for the only OU at a site stating that no remediation is required; or
A ROD is signed for the final OU at a site stating that all necessary remediation is complete; or
A ROD is signed for the final OU stating that the only necessary remediation is the implementation of an
institutional control(s).
Sites that receive credit under this measure will have achieved final cleanup goals or have no further response
actions, including LTRA. Regions receive credit for a site completion only once per site.
Definition of Accomplishment:
The following table has been added to more clearly depict coding and accomplishment requirements.
B-19 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
NPL Site C«M&jl<*laa£ Tteo^h Final Ixnig Tfe»tt A<*io« or J&rl? Attfoa
Definition of Accomplishment
Actual Completion Date
Coding Required
Construction activities at all
OUs are complete; and
LIRA at all OUs is complete;
and
A pre-fmal inspection of the
site has been conducted; and
A Preliminary Site Close-Out
Report has been prepared and
signed by the designated
Regional official*; and
A final inspection has been
conducted; and
The remedy is O&F; and
A letter accepting the RA or
. Early Action Report has been
signed by the designated
Regional official (Branch Chief
or above); and
A Final Superfund Site Close-
Out Report has been prepared.
Date the Regional Administrator
signs the Final Superfund Site
Close-Out Report.
The completion date of the Final
Superfund Site Close-Out Report
must be entered into WasteLAN
as the actual completion date
(C3125) of the subevent, Final
Superfund Site Close-Out Report
(C2101 =RA and C3101 =CL or
C2101=RA, and C2118=EA,
andC3101=CL).
* A Preliminary Site Close-Out Report documents the completion of physical construction; summarizes site
conditions and construction activities; and, as appropriate, provides the schedule for the joint final
inspection (required before the start of the O&F phase); approval of the O&M work plan, and
establishment of institutional controls.
A Preliminary Site Close-Out Report is unnecessary if the Region immediately prepares a Final Superfund
Site Close-Out Report.
February 19, 1996
B-20
-------
OSWER Directive 9200.3-14-1B
Docoxnent S&e Completion
the site
after this KbB is suited. If 1/fltA is ongoing at another O0t the signature
of *he jR.0J> «UJ o
-------
OSWER Directive 9200.3-14-1B
KQDs That Docwmeat Site ta»}>!etia» &o»tftR»e
T8A» o>ad«w*ed at the $Sfc
after this ROB i& s%ne& If LIRA is ongoing at another 00, the signature
of lite JRO1> «rfll not ^ creai^ «s » site «8»|>let!o» a«»tn|^M«»eat4
^ *
Definition of Accomplishment
ROD for the final OU that states
that the only necessary
remediation at the. site is the
implementation of institutional
control(s). The ROD must
include a construction completion
certification or a separate Final
Superfund Site Close-Out Report
must be prepared and signed by
the Regional Administrator.
Actual Completion Date
Date Regional
Administrator/Deputy Regional
Administrator signs the ROD or
the date the Regional
Administrator signs the Final
Superfund Site Close-Out Report.
Coding Requirements
Regions must enter the following
into WasteLAN:
RODs with a construction
completion certification - The
date of ROD signature as the
actual ROD(C2101=RO)
completion date (C2141) and
the actual completion date
(C2135) of the Final Superfund
Site Close-Out Report
(C2101 =RO and C3101 =CL);
the Technical Information Type
(C3401=RT);andthe
Institutional Controls
Implemented technical qualifier
(C3402=IC).
RODs with separate Final
Superfund Site Close-Out
Report - the actual ROD
(C2101 =RO) completion date
(C2141); the Technical
Information Type
(C3401=RT); the Institutional
Controls Implemented technical
qualifier (C3402=IC); and the
actual completion date (C2135)
of the Final Superfund Site
Close-Out Report (C2101 =RO
andC3101=CL).
NOTE: A ROD'that includes a construction completion certification is equivalent to a Final Superfund
Site Close-Out Report.
February 19, 1996
B-22
-------
OSWER Directive 9200.3-14-1B
Changes in Definition FY 95 - FY 96:
Revised measure to track only NPL site completions. Site completions through early actions (removal authority)
are tracked through the signature of a ROD stating that all necessary remediation is complete.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. See Long-Term Action Flow Chart at the end of this Appendix (Exhibit B.2).
Regions may receive credit under both the NPL Site Completion and ACT-7, NPL Site Construction Completion
measures, as a result of the same long-term action, early action (remedial), or ROD. There is only one site
completion at a site. Only the final ROD, long-term action, or early action (remedial authority) at the site receives
credit under this measure.
GROUNDWATER MONITORING
Definition:
Groundwater monitoring is defined as the collection and analysis of groundwater samples as a result of a ROD that
addresses groundwater contamination at a site. The ROD will specify that 1) groundwater monitoring is the only
action that will be taken at the site, or 2) groundwater monitoring is the only action that will be implemented during
a groundwater cleanup.
Definition of Accomplishment:
Credit is given for a groundwater monitoring (C2101=GM) start (C2140) when:
Fund-financed (F- or S-lead) - Funds are obligated for the groundwater monitoring. Funds are obligated
when:
A contract modification for groundwater monitoring is signed by the EPA CO; or
A CA for groundwater monitoring is signed by the Regional Administrator or his/her designee; or
An IAG for groundwater monitoring is signed by the other Federal agency.
PRP-financed (RP-, MR-, or PS-lead) - PRP-financed groundwater monitoring starts when:
An AOC which includes groundwater monitoring is signed by the PRPs and the designated Regional
official; or
. - A UAO which includes groundwater monitoring is signed by the designated Regional official.
Groundwater monitoring completion is defined as the date (C2141) of a memorandum that determines that
groundwater monitoring is no longer necessary. This memorandum should be included in the Final Superfund
Close-Out Report or five-year review report. If this memorandum is not included in these documents, credit will
be given on the date the memorandum is approved by EPA management. The date of the completion should be
entered into WasteLAN with the Ground Water Monitoring event (C2101 =GM).
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
See Definition of Accomplishment. For PRP-financed groundwater monitoring, the actual start date (C2140) of the
monitoring and the actual completion date (C1717) of the AO must be entered into WasteLAN.
B-23 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
OPERATION AND MAINTENANCE (O&M)
Definition:
O&M means the activities required to maintain the effectiveness or the integrity of the remedy, and, in the case of
Fund-financed measures to restore ground or surface waters, continued operation of such measures beyond a period
of ten years or when the remediation levels are achieved, whichever is earlier. Except for ground or surface water
actions covered under Section 300.435(f)(3)of the NCP, O&M measures are initiated after the remedy has achieved
the RA or early action (remedial authority) objectives and remediation goals in the ROD or CD, and is determined
to be O&F. The state or PRP is totally responsible for these activities for the time period specified in the ROD or
other appropriate documents.
Definition of Accomplishment:
The start of O&M (C2101 =OM) is defined as the date (C2140) upon which the designated Regional official signs
a letter accepting the RA or Early Action Report. This report documents that work has been performed within
desired specifications and that the remedy is O&F. The completion (where appropriate) of O&M is defined as the
date (C2141) specified in a CA, Superfund State Contract (SSC), or CD.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
O&M is planned site specifically (C2101 =OM) in WasteLAN and is used for resource allocation purposes only.
Funds for oversight of O&M are contained in the site characterization AOA. See Long-Term Action Flow Chart
at the end of this Appendix (Exhibit B.2).
FIVE-YEAR REVIEWS
Definition of Target/Measure:
Five-year reviews are intended to evaluate whether the response action implemented at a NPL site remains protective
of public health and the environment; is functioning as designed; and necessary operation and maintenance is being
performed. EPA will conduct five-year reviews of any site at which a remedy, upon attainment of the ROD or
Action Memorandum cleanup levels, will not allow unlimited use and unrestricted exposure. Five year reviews
generally involve a site visit or documentation of conditions noted through ongoing presence at the site.
EPA is responsible for conducting five year reviews at all sites where required. Consistent with relevant settlement
agreements, a lead agency may authorize PRPs to visit sites for five year review purposes and to conduct studies
and investigations for EPA. Five year reviews are conducted on a site-wide basis.
Definition of Accomplishment:
Five Year Review Starts - Credit is given for a five-year review start when:
Fund-financed (F, S, or EP-lead) - EPA or the State begins any of the tasks discussed in the five year review
guidance, "Structure and Components of Five Year Reviews," OSWER Directive 9355.7-02 (May 23, 1991)
or its first supplement, OSWER Directive 9355.7-02A (July 24, 1994). This action may be documented by
a memo to the file or EPA approval of a work plan for the five year review.
PRP-financed (RP-, MR-, PS-lead) - EPA approves the five year review workplan submitted by the PRPs under
the terms of a settlement agreement.
The actual start date (C2140) for the five-year review (C2101 =FA) must be entered into WasteLAN.
February 19, 1996 B-24
-------
OSWER Directive 9200.3-14-1B
Five Year Review Completions
The five-year review is complete on the date the EPA division director signs a determination stating whether the
remedy is, or is not, protective of human health and the environment. The actual completion date (C2141) for the
five-year review (C2101 =FA) must be entered into WasteLAN.
The five-year review should start within five years of the first RA or early action (remedial authority) start (as
defined in ACT-5, Sites Addressed Through Early or Long-Term Action On-Site Construction Starts) that results
in any hazardous substances, pollutants, or contaminants remaining at the site. The five-year review must be
complete within five years of the start of on-site construction.
Changes in Definition FY 95 - FY 96:
Combined five year review starts and completes into one definition. Fund-lead starts were changed from the site
visit to tasks specified in the five year review guidance. PRP-lead starts changed from mobilization to EPA
approval of the work plan. Completions changed from five year review report to the division directors
determination whether the remedy is protective of human health and the environment. In addition, completions are
no longer tracked by lead.
Special Planning/Reporting Requirements:
Five-year review starts and completes must be planned and reported site specifically (C2101=FA) in WasteLAN.
Funds are allocated in the RA AOA. See Long-Term Action Flow Chart at the end of this Appendix (Exhibit B.2).
NPL DELETION INITIATION
Definition:
With state concurrence, EPA may delete sites from the NPL when it determines that no further response is
appropriate under CERCLA. In making that determination, EPA considers:
Whether responsible or other parties have implemented all appropriate and required response actions;
Whether all appropriate Fund-financed responses under CERCLA have been implemented and EPA has
determined that no further cleanup by responsible parties is appropriate; or
Whether the release of hazardous substances poses no significant threat to the public health, welfare or the
environment, thereby eliminating the need for remedial action.
EPA will consider deleting the entire site or portions of sites from the NPL, as appropriate. EPA will consider
partial deletion for portions of sites when no further response is appropriate for that portion of the site. Such
portions may be a defined geological unit of the site, or may be a specific medium at the site. State concurrence
will be required for any partial deletion.
Definition of Accomplishment:
The deletion process for either the entire site or a portion of the site starts when a Notice of Intent to Delete is
published in the Federal Register.
The deletion process for either the entire site or a portion of the site is complete when the Notice of Deletion is
published in the Federal Register.
Changes in Definition FY 95 - FY 96:
Added in a discussion of partial deletions.
B-25 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
Special Planning/Reporting Requirements:
The actual start (C2140) and completion (C2141) dates for entire site or partial site deletions are to be reported in
WasteLAN with the "ND" event (C2101 =ND). Additional guidance for coding partial deletions will be developed
and distributed at a later date. Until new coding guidance is developed, Regions should indicate in the SCAP Note
whether the deletion action encompasses the entire site or is a partial site deletion. HQ is reviewing the tracking
of partial deletions.
El - 1A PROGRESS THROUGH ENVIRONMENTAL INDICATORS
(ADDRESSING IMMEDIATE THREATS AT NPL AND NON-NPL SITES)
Definition of Target/Measure:
This measure tracks how often acute threats to human health have been eliminated at NPL, NPL caliber, and non-
NPL sites by preventing exposure to contaminated materials. This reduction will be measured in four areas: 1)
sites with immediate (early) actions; 2) sites where an alternate water supply was provided; 3) sites where affected
populations were relocated; and 4) sites where security was provided. Progress recorded by this indicator should
reveal success in addressing immediate threats.
Definition of Accomplishment:
Sites with immediate (early) actions
All sites with a completed early actions under removal authority (C2101=RV) will be counted. (See ACT-6 for
early action under removal authority definition, coding and documentation requirements.)
Sites where an alternate water supply was provided - The following data must be entered into WasteLAN:
The medium is land (C1571 =LA); and
The material is soil (C2501 =SO); and
. Drinking water was provided in any of the following ways (enter all that apply):
Permanent water supply (C3401 =W1); or
Temporary water supply (C3401 =W2); or
Water supply reinstated (C3401 =W3); and
The receptor type is:
Residential population (C3441 =R); or
Industrial population (C3441 = I); and
The number of people protected (C3442); and
The population protection date (C3426).
Regions must document in a memo to the file or POLREP that an alternate drinking water source was supplied.
February 19, 1996 . B-26
-------
OSWER Directive 9200.3-14-1B
Sites where affected populations were relocated - The following data must be entered into WasteLAN:
The medium is land (C1571 =LA); and
The material is soil (C2501 =SO); and
The population was relocated in any of the following ways (enter all that apply):
Permanent relocation (C3401=Ul);or
- Temporary relocation (C3401=U2); or
Population returned (C3401 =U3); and
The receptor type is:
Residential population (C3441 =R); or
Industrial population (C3441=I); and
The number of people protected (C3442); and
The population protection date (C3426).
Regions must document in a memo to the file or POLREP that affected populations were relocated.
Sites where security was provided - The following data must be entered into WasteLAN:
The medium is land (C1571 =LA); and
The material is soil (C2501= SO); and
Site security was provided in any of the following ways (enter all that apply):
Fence constructed (C3401 =Sl);or
- Guards posted (C3401=S2); or
Other measures (e.g., deed restriction) (C3401=S3); and
The receptor type is:
Residential population (C3441 =R); or
Industrial population (C3441 =1); and
The population protection date (C3426) is recorded.
Regions must document in a memo to the file or POLREP that site security measures were implemented.
Changes in Definition FY 95 - FY 96:
None
B-27 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. Accomplishment data will be reported through the El module in WasteLAN.
El- IB PROGRESS THROUGH ENVIRONMENTAL INDICATORS
(ACHIEVING PERMANENT CLEANUP GOALS)
Definition of Target/Measure:
This measure tracks cleanup progress at NPL sites by measuring the level of cleanup goal attainment. Goal
attainment levels are tracked as follows: 1) goals fully achieved; 2) goals partially achieved; 3) cleanup underway;
and 4) media affected. Goal attainment levels are tracked at-the media level for each NPL site.
This measure also tracks whether a direct contact threat exists and/or has been eliminated as a result of cleanup
actions.
Definition of Accomplishment:
Progress toward final cleanup goals
Full achievement of site goals for a medium at a NPL site (groundwater = 'GW, surface water = 'SW,
land = 'LA' and air = 'AI'):
All cleanup actions for a given medium (C1571 =GW or SW or LA or AI) are complete; and
All ROD cleanup goals for that medium have been achieved; and
No further cleanup work is expected for that medium.
The level of goal attainment must be entered into WasteLAN as "Fully Achieved" (C1572=F). Regions must
document in a RA or Early Action Report, POLREP or a memo to the file that all cleanup goals for a given medium
have been achieved. (For specific coding and documentation requirements for cleanup action completions, see ACT-
6, Early and Long-Term Action Completions.)
Partial achievement of goals for a medium at a NPL site:
At least one cleanup action has been completed for a medium (C1571 =GW or SW or LA or AI), and
At least one ROD cleanup goal for that medium has been achieved.
The level of goal attainment must be entered into WasteLAN as "Partially Achieved" (C1572=P). Regions must
document in a RA or Early Action Report, POLREP or memo to the file that one or more cleanup goals for a given
medium have been achieved. (For specific coding and documentation requirements for cleanup action completions,
see ACT-6, Early and Long-Term Action Completions.)
Cleanup underway at a NPL site:
. At least one cleanup action has been initiated for a medium (C1571 =GW or SW or LA or AI).
The level of goal attainment must be entered into WasteLAN as "Cleanup Underway" (C1572=U). Regions must
document in an Action Memorandum or memo to the file that cleanup actions for a given medium have begun. (For
specific coding and documentation requirements for cleanup action starts, see ACT-5, Sites Addressed through Early
and Long-Term Action On-Site Construction Starts.)
February 19, 1996 B-28
-------
OSWER Directive 9200.3-14-1B
Medium Affected at a non-NPL or NPL site:
A medium (C1571 =GW or SW or LA or AI) has been affected at a NPL site, but no cleanup work has begun;
or
A removal was performed at a NPL site prior to the establishment of long-term cleanup goals; or
An affected medium has been identified at a non-NPL site.
The level of goal attainment must be entered into WasteLAN as "Medium Affected" (C1572=A). Regions must
document in a POLREP or a memo to the file that a given medium meets one of these criteria.
Direct contact threats - The following data must be entered:
The medium is land (C1571=LA); and
The direct contact threat is:
- Eliminated (C1573 = Y); or
Remains (C1573 = N); or
Does not exist (C1573=Z).
Regions must document in a POLREP, ROD, RA or Early Action Report, or memo to the file that a given direct
contact threat meets one of these criteria.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. Accomplishment data will be reported through the El module in WasteLAN.
B-29 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
EXHIBIT B.2
LONG-TERM ACTION FLOW CHART
Mobilization/
Award of RA RA On-Site
RA Start Contract Construction
C2101=RA """ C2101=RA, Start
C310I-AC C2101-RA,
C3101-RO
ACT-5
* NOTE: A Preliminary Closc-Out Report is not rcc
prepares a Final Supcrfund Site Close-Oui
>
/Isthisthe\
-*\ Final Site >
\ RA? /
Yes
RA Construction
Completion/
Preliminary
aose-Out Report*
C2101=RA,
C3101=CC
* t T
Oroundwater I LTRA 1 b & M
iMonitoringJI 11
No - Rf yn/Ac
Completion * *<
l_> C2101=RA \
1 Five Year
| 1 Reviews
No
'AreallV
Construe tion^v
:tivities at the \
te complete, /
including /.
ACT^ N^LTRA^
Yes I
i '
vfni O'« r* l ' I
Final Superfund Site
Close-Out Report **
C210i=RA,
C3101-CL
NPL Archive
Deletion "* Site from
C2101-ND CERCLIS
ACT-7
uircd if the Region immediately
Report.
February 19, 1996
B-30
-------
OSWER Directive 9200.3-14-1B
EXHIBIT B.3 (1 OF 7)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
Planning RegutceuwBts
SCAP Planning or Reporting
Measure?
Internal Planning or Reporting
Measure?
Planned Site-Specifically?
Planned/Reported on Operable
Unit or Whole Site Basis?
Reported Site-Specifically or in
Non-site Specific Portion of
WasteLAN?
AOA Category, if Fund-
Financed?
AOA Category for oversight?
Basis for AOA?
CoiBBtuaSty Relations
-
-
Not Required
Operable Unit
Not Required
Site Characterization
Site Characterization
Site- or Non-Site
Specific Plans
Support Agency
AssBtaoc*
-
-
Not Required
Whole Site
Not Required
Site Characterization
Site Characterization
Site- or Non-Site
Specific Plans
Tedmkal Assistance
<5r»nfe {TA
-------
OSWER Directive 9200.3-14-1B
EXHIBIT B.3 (3 OF 7)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
Piannbg Requirements '.
SCAP Planning or
Reporting Measure?
Internal Planning or
Reporting Measure?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in Non-site Specific
Portion of WasteLAN?
AOA Category, if Fund-
Financed?
AOA Category for
oversight?
Basis for AOA?
a#
-
Planning
Yes
Operable Unit
Site Specific
Site Characterization
Site Characterization
Site-Specific Plans
m
CwnpJetlwss
-
Planning
Yes
Operable Unit
Site-Specific
N/A
N/A
N/A
RA
Sfsrts
-
Planning
Yes
Operable Unit
Site-Specific
Remedial Action
Site
Characterization
Site-Specific Plans
RA
Contract Awwrtf
-
Planning
Yes
Operable Unit
Site-Specific
N/A
N/A
N/A
EXHIBIT B.3 (4 OF 7)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
Planning Reqajrements
SCAP Planning or
Reporting Measure?
Internal Planning or
Reporting Measure?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in Non-site Specific
Portion of WasteLAN?
AOA Category, if Fund-
Financed?
AOA Category for
oversight?
Basis for AOA?
AX«$ Sifias Ad4*ess
-------
OSWER Directive 9200.3-14-1B
EXHIBIT B.3 (5 OF 7)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
Planning Requuvowofe
SCAP Planning or
Reporting Measure?
Internal Planning or
Reporting Measure?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in Non-site Specific
Portion of WasteLAN?
AOA Category, if Fund-
Financed?
AOA Category for
oversight?
Basis for AOA?
Operational and
FttnctfwHtf {O&E)
-
-
No
Operable Unit
Site-Specific
N/A
N/A
N/A
Loa^rXferm Rtspoase:
: , Aetwis {I»TRA}
-
-
Yes
Operable Unit
Site-Specific
Remedial Action
Site Characterization
Site-Specific Plans
mi Site Conations
-
-
Yes
Whole Site
Site-Specific
N/A
N/A
N/A
EXHIBIT B.3 (6 OF 7)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
p&nftisf te^ufojsittfrtjfc
SCAP Planning or Reporting
Measure?
Internal Planning or
Reporting Measure?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole Site
Basis?
Reported Site-Specifically or
in Non-site Specific Portion
of WasteLAN?
AOA Category, if Fund-
Financed?
AOA Category for oversight?
Basis for AOA?
Grwindwatcr Monitoring
-
'
Yes
Operable Unit
Site-Specific
Site Characterization
Site Characterization
Site-Specific Plans
Operation and
Mbiateiiitftte {O&M}
-
Yes
Operable Unit
Site-Specific
N/A
Site Characterization
Site-Specific Plans
Jjtvft-Yaar Reviews
Started
-
-
Yes
Whole Site
Site-Specific
Remedial Action
Site Characterization
Site-Specific Plans
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis.
B-33
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
EXHIBIT B.3 (7 OF 7)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
PlaBBjag IfeqwrvBitBte
SCAP Planning or
Reporting Measure?
Internal Planning or
Reporting Measure?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically
or in Non-site Specific
Portion of WasteLAN?
AOA Category, if
Fund-Financed?
AOA Category for
oversight?
Basis for AOA?
FfwrYear Ite«tew
Completion
-
'
Yes
Whole Site
Site-Specific
N/A
N/A
N/A
NPLJtetettoa Iidtiadaa
-
*
Yes
Whole Site .
Site-Specific
N/A
N/A
N/A
£1-1 P*<»tm£ Hmnijjh
EnvSranmeota!! Indicators
Reporting
-
No
. Whole Site
Site-Specific
N/A
N/A
N/A
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis.
February 19, 1996
B-34
-------
OSWER Directive 9200.3-14-1B
Appendix C: Enforcement
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
This Page Intentionally
Left Blank
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
Enforcement Targets and Measures
Table of Contents
ENFORCEMENT FY 96 SCAP TARGETS AND MEASURES C-l
Overview C-l
Enforcement Target and Measure Definitions C-3
Potentially Responsible Party (PRP) Search Starts , C-3
PRP Search Completions .. . ; C-3
Section 104(e) Letters Issued ..-, C-4
Section 104(E) Referrals and Orders Issued '. C-4
Issuance of General Notice Letters (GNLs) C-4
Issuance of Special Notice Letters (SNLs) C-5
ENF-1 Duration from Regional Decision or ROD to PRP Cleanup
Negotiation Completion : C-5
ESI/RI/FS Negotiation Starts C-7
RD/RA Negotiation Starts C-7
ENF-2 Cleanup Negotiation Completions C-8
State Order for ESI/RI/FS . C-10
State Consent Decree for RD/RA C-10
ENF-3 Settlements for Cleanup Actions C-10
ENF-4 Section 122(g) Settlements and Number of PRPs C-12
ENF-5 Percentage of PRP Lead Cleanup Actions to All Cleanup
Actions '. C-13
Section 106, 106/107, 107 Case Resolution C-14
Administrative Record Compilation . . '. C-14
Issue Demand Letter C-15
Cost Recovery Actions/Decisions < $200,000 C-15
ENF-6 Past Costs Addressed > $200,000 C-16
ENFORCEMENT FY 96 MEASURES OF SUCCESS C-19
Development of Measures of Success C-19
Enforcement Measures of Success Definitions , '. . C-19
Use of Alternative Dispute Resolution (ADR) : C-19
Settlements Where EPA Settled Based on Ability-to-Pay Determinations C-20
Recoverable Past Costs That Have Been Addressed Program to Date C-21
Prospective Purchaser Agreements (PPA) C-22
Number and Amount of CERCLA Penalties Assessed Via Judgment C-23
Number and Amount of Supplemental Environmental
Projects (SEP) Agreed Upon Under CERCLA C-23
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
Enforcement Targets and Measures
List of Exhibits
EXHIBIT C.I ENFORCEMENT ACTIVITIES C-2
EXHIBIT C.2 ENFORCEMENT PLANNING REQUIREMENTS C-25
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
ENFORCEMENT
FY 96 SCAT TARGETS AND MEASURES
OVERVIEW
The Superfund Comprehensive Accomplishments Plan (SCAP) is used by the Assistant Administrator for the
Office of Solid Waste and Emergency Response (AA OSWER), Assistant Administrator for the Office of
Enforcement and Compliance Assurance (AA OECA), and senior Superfund managers to monitor the administrative
progress each Region is making towards achieving its Superfund goals. Superfund cleanup results are tracked
through targets and measures at the SCAP level as well as internal reporting measures. Those Superfund activities
not tracked at the SCAP level are monitored for internal management purposes by Headquarters (HQ).
For Fiscal Year (FY) 96, the Superfund program will serve as a pilot performance plan project under the
Government Performance and Results Act (GPRA), which was discussed in Chapter II. SCAP will serve as the
mechanism through which the Office of Emergency and Remedial Response (OERR) will track GPRA progress.
As such, the program will set national goals based on historical performance and performance expectations within
a limited budget for the four performance goals in GPRA and track accomplishments in the activities contributing
to those goals. HQ will not establish specific Regional targets and measures for GPRA given the uncertainty with
the budget. Regions should continue to plan and report accomplishments in WasteLAN as they have traditionally.
There are no additional GPRA-related reporting requirements for the Regions in FY 96.
The differences between SCAP targets and measures remain the same (i.e., a pre-determined numerical goal
versus an activity deemed essential to tracking overall program progress, respectively); however, the program will
not emphasize these distinctions in FY 96. OERR will continue to track site assessment activities to document and
evaluate administrative program progress and to analyze program trends. SCAP accomplishments will be pulled
form the Comprehensive Environmental Response, Compensation, and Liability Information System (CERCLIS)
on a quarterly basis. Planning measures are used to project the number of events and activities that each Region
expects to perform during the year using anticipated resources. Reporting measures simply track the number of
events and activities that occur throughout the year and are used to evaluate overall progress through the cleanup
pipeline. Planning measures also report accomplishments.
The following pages contain, in pipeline order, the definitions of the FY 96 enforcement SCAP measures (with
the prefix ENF), internal management planning and reporting, and enforcement project support activities. Exhibit
C.I displays the full list of enforcement activities defined in this Appendix. Exhibit C.2, at the end of this
Appendix, identifies planning requirements for all enforcement activities.
This appendix has been expanded to include the new enforcement "Measures of Success" that were devised by
HQ in consultation with the Regions. These measures; which can be found following the description of the existing
SCAP measures, have been developed to respond to an increasing demand for information that is not currently
tracked or reported through the SCAP process. By supplementing the existing SCAP targets and measures with
these Measures of Success, the program hopes to produce a more complete picture of enforcement-related successes
and accomplishments at Superfund sites than is currently available. Specific enforcement Measures of Success
definitions and reporting requirements are contained in this appendix.
C-l February 19, 1996
-------
OSWER Directive 9200.3-14-1B
EXHIBIT C.I
ENFORCEMENT ACTIVITIES
Acnwrsr, , - " :
5 !
Potentially Responsible Party (PRP) Search Starts
PRP Search Completions
Section 104(e) Letters Issued
Section 104(e) Referrals and Orders Issued
Issuance of General Notice Letter (GNLs)
Issuance of Special Notice Letter (SNLs)
ENF-1 Duration from Regional Decision or Record of Decision
(ROD) to PRP Cleanup Negotiation Completion
Expanded Site Inspection/Remedial Investigation/Feasibility Study
(ESI/RI/FS) Negotiation Starts
Remedial Design/Remedial Action (RD/RA) Negotiation Starts
ENF-2 Cleanup Negotiation Completions
State Orders for ESI/RI/FS
State Consent Decree for RD/RA
ENF-3 Settlements for Cleanup Actions (including dollar value)
ENF-4 Section 122(g) Settlements and Number of Parties
ENF-5 Percentage of PRP Lead Cleanup Actions to All Cleanup
Actions
Section 106, 106/107, 107 Case Resolution
Administrative Record Compilation Completion
Issue Demand Letter
Cost Recovery Actions/Decisions < S200K
ENF-6 Past Costs Addressed > $200,000
, SCAT
<.
-
-
-
-
-
-
Measure
-
-
Target
-
-
Measure
Target
Measure
-
-
-
Target
iNmtNAL :
', ~.
Reporting
Reporting
Reporting
Reporting
Reporting
Reporting
Reporting
Planning
-
Reporting
Reporting
-
-
-
Reporting
Reporting
Reporting
Reporting
-
fcJOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are planned
and reported quarterly.
February 19, 1996
C-2
-------
OSWER Directive 9200.3-14-1B
ENFORCEMENT TARGET AND MEASURE DEFINITIONS
Note: WasteLAN coding requirements contained in the definitions are only for key data elements. For a full list
of requirements and suggested data elements, see the Enforcement Data Quality Manual.
POTENTIALLY RESPONSIBLE PARTY (PRP) SEARCH STARTS
Definition:
A PRP search identifies PRPs at the site. At all sites, the PRP search activities should be initiated as soon as
possible after the Region decides that a response (removal or remedial) action is likely to be required at the site.
It should be completed in time to send a GNL, which should be approximately two months before the SNL date and
at least 90 days prior to the obligation of funds for an ESI/RI, or RI/FS, or early or long-term action.
Definition of Accomplishment:
If the National Priorities List (NPL) PRP search (C1701 = NS) or non-NPL PRP search (C1701 = RP) is being
conducted by a contractor, the actual start date (C1716) is considered to be the date the work assignment is signed
by the Contracting Officer (CO). If it is conducted by EPA in-house, the actual start date (C1716) is the day the
EPA staff develops the PRP search plan. The start is documented by the written workplan.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
PRP searches (C1701 =RP or NS) are planned and funds requested on a site or non-site specific basis. Non-site
specific projections for PRP searches should be placed in CERHELP. PRP search starts is an internal reporting
measure.
PRP SEARCH COMPLETIONS
Definition:
A PRP search completion constitutes the completion of the activities taken by the Region to identify PRPs at a site.
Definition of Accomplishment:
The NPL PRP search (C1701 = NS) or non-NPL PRP search (C1701 = RP) is complete when all applicable
activities described in the Agency's PRP Search Manual have been completed, a PRP search outcome report with
a list of PRPs has been prepared, and the actual completion date (C1717) and the outcome (C1719) of the search
have been entered into WasteLAN. If no PRPs are found, the actual completion date (C1717) and the outcome of
the search (C1719) also are entered into WasteLAN. This definition applies to both Phase I (single owner, operator
site) and Phase II (multi-generator site) PRP searches.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
PRP search completions (C1701 = RP or NS) are planned on a site or non-site specific basis. The search outcome
(C1719) and the number of PRPs found (C1720) are to be entered into WasteLAN. Non-site specific projections
for PRP searches should be placed in CERHELP. PRP search completions is an internal reporting measure.
C-3 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
SECTION 104(E) LETTERS ISSUED
Definition:
This is a letter issued under Section 104(e) of the Superfund Amendments and Reauthorization Act of 1986 (SARA).
It requests information from PRPs on matters such as: the nature and extent of a release or threatened release at
a site; the nature and quantity of hazardous materials at the site; financial indemnification; and financial ability of
the PRP to pay for possible response actions.
Definition of Accomplishment:
This activity is accomplished on the date the information request letter is signed by the appropriate EPA official and
entered into WasteLAN as a milestone (C2801=IL) under an enforcement activity, with an actual milestone
completion date (C2807).
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
Issuance of 104(e) letters will continue to be recorded at the milestone level (C2801=IL) under an enforcement
activity (C1701 = RP or other enforcement activity), with an actual milestone completion date (C2807). Section
104(e) letters issued is an internal reporting measure.
SECTION 104(E) REFERRALS AND ORDERS ISSUED
Definition:
Section 104(e) referrals/orders are enforcement actions to compel PRPs to respond to EPA requests for information
or to obtain site access.
Definition of Accomplishment:
The date of the memo from the Regional Administrator transmitting the Section 104(e) referral to HQ or to the
Department of Justice (DOJ) is recorded in WasteLAN as the actual start date (C1716) of the Section 104(e) referral
(C17Q1 =SF). The date a Section 104(e) order [generally under the auspices of a Unilateral Administrative Order
(UAO)] is signed by the Regional Administrator is recorded in WasteLAN as the actual completion date (C1717)
of theUAO(C1701=UA).
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
The actual start date (C1716) of the referral (C1701 = SF) or the completion date (C1717) of the order (C1701 =
UA) is entered into WasteLAN site specifically. The statute (C2771) reported in WasteLAN should be '104e'. This
is an internal reporting measure.
ISSUANCE OF GENERAL NOTICE LETTERS (GNLs)
Definition:
Letter sent by EPA under Section 122 of SARA informing recipients of their potential liability for cleanup actions
at the site. It is usually sent out during the PRP search or during preparation for negotiations.
Definition of Accomplishment:
This activity is accomplished on the date the GNL is signed by the appropriate EPA official and the actual milestone
completion date (C2807) is recorded in WasteLAN at the milestone level (C1701 =RP or NS and C2801 =NI).
February 19, 1996 C-4
-------
OSWER Directive 9200.3-14-1B
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
General Notice Letters are recorded at the milestone level. They are an internal reporting measure.
ISSUANCE OF SPECIAL NOTICE LETTERS (SNLs)
Definition:
A SNL is a letter from EPA to the PRPs informing them of their potential liability and inviting them to offer to
conduct the planned response action(s) at the she. This letter, under Section 122(e) of SARA, triggers a negotiation
moratorium allowing the PRPs to consider EPA's invitation to negotiate. The moratorium period varies depending
on the response action (ESI/RI/FS, RD, RA, early action under remedial authority, groundwater monitoring/
institutional controls) and can be extended if necessary.
Definition of Accomplishment:
This activity is accomplished on the date the SNL is signed by the appropriate EPA official. The date of the letter
is reported in WasteLAN as the actual completion date (C2807) of the SNL milestone (C1701 = RP or NS and
C2801 = SN). The date of issuance of the SNL also constitutes the start of cleanup negotiations, including RD/RA
negotiations (C1701 = FN, AN, NG, or RN).
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
SNLs are recorded at the milestone level. They are an internal reporting measure. Groundwater
monitoring/institutional controls are to be entered into WasteLAN as C2731 = GM.
ENF-1 DURATION FROM REGIONAL DECISION OR ROD TO PRP CLEANUP
NEGOTIATION COMPLETION
Definition of Target/Measure:
This measures the duration from the Regional decision to proceed with a time critical or Non-Time Critical (NTC)
early action (removal authority), or a ROD for an early action (remedial authority) (for NPL and non-NPL sites)
or long-term action, to negotiation completion.
Definition of Accomplishment:
Early Action (Removal Authority)
The duration is measured from the date of a memo 10 the file documenting the Regional decision to perform an early
action under removal authority to the negotiation completion date.
The following information must be reported in WasteLAN for the Regional decision:
The actual completion dale of the Regional decision (C3101 =DC) as a subevent to the point in the pipeline
where the decision was made (C2101 =PA, SI, ES, EA, or SS); and
The event qualifier (C2103) of "W" (site referred to the removal program for response) or "F" (site
referred to the removal program but remedial response still required).
C-5 February 19, 1996
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OSWER Directive 9200.3-14-1B
Negotiations (C1701 =NG or RN) for early actions under removal authority are considered complete (C1717)
when:
An Administrative Order on Consent (AOC) or a UAO is signed by the Regional Administrator; or
A Consent Decree (CD) is referred to DOJ or HQ under Section 106 or 106/107; or
Funds are obligated for a Fund-financed removal. Funds are obligated when a contract modification is
signed by the CO; or a Cooperative Agreement (CA) is signed by the designated Regional official; or an
Interagency Agreement (IAG) is signed by the other Federal agency. If funds are not available and the
Region determines a UAO is not appropriate, and HQ concurs in writing, the negotiation (C1701= RN
or NG) completion date (C1717) is the date of the HQ memorandum concurring with the Regional decision.
Note: The remedy type (C2731) for removals is'RV. .
Lang-Term Action or Early Action (Remedial Authority)
The duration is measured from the date the ROD (C2101 =RO) is signed (C2141) by the Regional Administrator
or the A A OSWER to the negotiation completion date.
Negotiations (C1701 =NG or AN) for long-term action or early action (remedial authority) are complete (C1717)
when:
A memo is signed by the Regional Administrator transmitting the signed CD under Section 106 or Section
106/107 and a 10 point analysis to DOJ or HQ; or
A UAO for an early action (remedial authority), RD, RA, or groundwater monitoring/institutional controls is
signed by the Regional Administrator; or
A memo is signed by the Regional Administrator transmitting the Section 106 or 106/107 injunctive referral
to DOJ or HQ to compel the PRPs to perform the cleanup (early action (remedial authority), RD, RA,
groundwater monitoring/institutional controls) as specified in a UAO to DOJ or HQ; or
EPA and the PRPs are notified by a memo from DOJ of the date on which they will proceed to trial under an
existing case; or
Funds are obligated through contract modification signed by the CO, the IAG signed by the other Federal
agency, or CA signed by the appropriate Regional official for a Fund-financed early action (remedial authority),
RD, RA, or groundwater monitoring/institutional controls. If funds are not available and the Region determines
a UAO is not appropriate and HQ concurs in writing, the negotiation completion date is the date of the HQ
memorandum concurring with the Regional decision.
Note: The remedy types (C2731) for RD and RA are 'RD' and 'RA,' respectively. The remedy type (C2731)
for early actions (remedial authority) is 'RA' with an enforcement remedy qualifier (C2741) of 'EA'.
Durations will be calculated for all PRP cleanup negotiations completed in FY 96. The durations for NPL and non-
NPL sites will be tracked separately but reported as a combined total.
Changes in Definition FY 95 - FY 96:
None
February 19, 1996 C-6
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OSWER Directive 9200.3-14-1B
Special Planning/Reporting Requirements:
Data on durations will be developed using CERCLIS. The durations will be calculated using the ROD (C2101 =RO)
actual completion date (C2141) or the Regional decision (C3101=DC) actual completion date (C3125) and the
cleanup negotiation (C1701=NG or AN or RN) actual completion dates (C1717). In addition to the negotiation
activity and the completion date, Regions must enter the outcome (C1719) of the negotiations, the remedies
sought/achieved through negotiations (C2731), and, if necessary, the remedy qualifier (C2741). HQ will conduct
the duration analysis. Groundwater monitoring/institutional controls are to be entered into WasteLAN as
(C2731 = GM).
Duration trends will continue to focus on good project management of critical events, and address the need for
continuous improvement relative to meeting the program's goal of accelerating cleanups and reducing risks.
Duration data will be coupled with specific analyses of problem factors to determine the causes of delays. This
measure will not be used for performance evaluation purposes. For additional reporting requirements see Definition
of Accomplishments. This is a SCAP measure.
ESI/RI/FS NEGOTIATION STARTS
Definition:
ESI/RI/FS negotiations are discussions between EPA and the PRPs on their liability, willingness, and ability to
conduct the ESI/RI/FS.
Definition of Accomplishment:
ESI/RI/FS negotiations start when:
The first SNL is signed by the appropriate EPA official. This date is reported in WasteLAN as the start
(C1716) of negotiations (C1701 =NG or FN) and the completion (C2807) of the SNL milestone (C2801 =SN),
or
A Section 122 (a) waiver of SNL is signed by the appropriate EPA official with the intent to pursue negotiations
without moratorium procedures. This date is reported in WasteLAN as the start (C1716) of negotiations
(C1701 =NG or FN) and the completion (C2807) of the SNL waiver (C2801 =NW).
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
If the Region does not plan to perform ESI/RI/FS negotiations at a site, negotiation dates should not be placed in
WasteLAN. The start of ESI/RI/FS negotiations (C1701 =FN or NG) should be planned site specifically. The
enforcement remedy codes (C2731 =SS, CO, RI, or FS) are to be entered into WasteLAN. ESI/RI/FS negotiation
starts is an internal reporting measure.
RD/RA NEGOTIATION STARTS
Definition:
RD/RA negotiations are discussions between EPA and the PRPs on their liability, willingness, and ability to
implement the long-term remedy selected in the ROD for the site or Operable Unit (OU).
C-7 February 19, 1996
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OSWER Directive 9200.3-14-1B
Definition of Accomplishment:
RD/RA negotiations start when:
The first SNL is signed by the appropriate EPA official. This date is reported in WasteLAN as the start
(C1716) of negotiations (C1701 =NG or AN) and the completion (C2807) of the SNL milestone (C2801 =SN);
or
A Section 122(a) waiver of SNL signed by the appropriate EPA official with the intent to pursue negotiations
without moratorium procedures. This date is reported in WasteLAN as the start (C1716) of negotiations
(C1701 =NG or AN) and the completion (C2807) of the SNL waiver (C2801 =NW).
Changes in Definition FT 95 - FY 96:
None . .-'
Special Planning/Reporting Requirements:
If the Region does not plan to conduct RD/RA negotiations, dates should not be entered into WasteLAN. The start
of RD/RA negotiations is planned site specifically (C1701= AN or NG). The enforcement remedy codes
(C2731=RD or RA) are to be entered into WasteLAN. RD/RA negotiation starts is an internal planning and
reporting measure.
ENF-2 CLEANUP NEGOTIATION COMPLETIONS
Definition of Target/Measure:
Cleanup negotiations are discussions between EPA and the PRPs on their liability, willingness, and ability to conduct
the cleanup. Negotiations are complete (for NPL and NPL caliber sites) when a decision has been made as to how
the Region will proceed with the cleanup.
Definition of Accomplishment:
Credit is given at NPL sites when:
A signed CD under Section 106 or Section 106/107 and a 10 point analysis for RD, RA, groundwater
monitoring/institutional controls, early action (remedial authority), or a time critical or NTC early action
(removal authority) is referred by the Regional Administrator to either DOJ or HQ. The actual negotiation
(C1701=NG or AN or RN) completion date (C1717) is the date of the Regional Administrator's signed
transmittal memo, which is the actual CD (C1701 =CD) start date (C1716); or
A UAO for RD, RA., groundwaier monitoring/institutional controls, early action (remedial authority), or a time
critical or NTC early action (removal authority) is signed by the Regional Administrator. The actual negotiation
(C1701=NG or AN) completion date (Cl717) is the date the UAO is signed which is the UAO (C1701=UA)
actual completion date (C 1717); or
A Section 106 or Section 106/107 injunctive referral to compel the PRP to perform the cleanup (RD or RA)
as specified in a UAO is referred by the Regional Administrator to DOJ or HQ. The actual negotiation
(C1701=NG or AN) completion date (C1717) is the date of the Regional Administrator's transmittal memo,
which is the actual litigation (C1701 =LT. CL or SX) start date (C1716); or
EPA and PRPs are notified by a memo from DOJ of the date on which they will proceed to trial under an
existing case. The actual negotiation (C170I =NG or AN) completion date (C1717) is the same as the date
(C2807) the trial begins (C280I = TR); or
February 19, 1996 C-8
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OSWER Directive 9200.3-14-1B
An AQC for RD only or an AOC for Groundwater Monitoring (GM) or Institutional Controls is signed by the
Regional Administrator. Where an AOC for RD only is issued, no credit will be given for the subsequent RA
negotiation starts and completions. Credit will be given under ENF-3, Settlements for Cleanup Actions, for
the referral of a CD for RA to DOJ or HQ. The actual negotiation (C1701=NG or AN) completion date
(C1717) is the date the AOC is signed by the Regional Administrator, which is the new AOC (C1701 =AC)
actual completion date (C1717).
For amended AOCs, the Enforcement Activity Judicial Civil Type (C1718) must be coded as "A" (amended)
and the amendment date tracked under the AOC milestone (C2801) "AA" (activity amended) with an actual
milestone date (C2807); or
An AOC for a time critical or NTC early action (removal authority) is signed by the Regional Administrator.
Both the start and completion dates are required to get credit for the completion. The actual negotiation
(C1701 =NG or RN) start date (C1716) is the date the written Or verbal notice of potential liability is provided
to the PRPs. The actual negotiation (C1701 = NG or RN) completion date (C 1717) is the date the AOC is
signed by the Regional Administrator, which is the AOC (C1701=AC) actual completion date (C1717); or
Funds are obligated through a contract modification signed by the CO, an IAG signed by the other Federal
agency, or a CA signed by the designated Regional official for a Fund-financed time critical or NTC early
action (removal authority), early action (remedial authority) or long-term action. The actual negotiation (C1701
= NG, RN, or AN) completion date (C1717) is the date funds are obligated. If funds are not available and
the Region decides a UAO is not appropriate and HQ concurs (in writing), the actual negotiation (C1701 =
NG, RN, or AN) completion date (C1717) is the date of the HQ memorandum concurring with the decision
not to issue the UAO.
Credit is given at NPL caliber sites when:
A signed CD under Section 106 or Section 106/107 and a 10 point analysis for RD, RA, groundwater
monitoring/institutional controls, early action (remedial authority), or a time critical or NTC early action
(removal authority) is referred by the Regional Administrator to either DOJ or HQ. The negotiation
(C1701 =NG or AN or RN) actual completion date (C1717) is the date of the Regional Administrator's memo
transmitting the CD to HQ, which is the CD (C1701 =CD) actual start date (C1716); or
A UAO or an AOC to initiate a time critical or NTC early action (removal authority) is signed by the Regional
Administrator. Both the start and completion dates are required to get credit for the completion. The actual
negotiation (C1701=NG or RN) completion date (C1717) is the date the order is signed by the Regional
Administrator, which is the AOC (C1701=AC) actual completion date (C1717); or
Funds are obligated through contract modification signed by the CO, an IAG signed by the other Federal
agency, or a CA signed by the designated Regional official for a Fund-financed time critical or NTC early
action (removal authority). The actual negotiation (C1701 =NG or RN) completion date (C1717) is the date
funds are obligated. If funds are not available and the Region decides a UAO is not appropriate and HQ
concurs (in writing), the actual negotiation (C1701 =NG or RN) completion date (C1717) is the date of the HQ
memorandum concurring with the decision not to issue the UAO.
This measure will track and report NPL and NPL caliber sites separately.
Changes in Definition FY 95 - FY 96:
Language added specifying accomplishment criteria. In order to get credit for early action (removal authority)
negotiation completions, Regions must have also entered the early action (removal authority) start date into
WasteLAN.
Special Planning/Reporting Requirements:
This is a SCAP target. Cleanup negotiation completions are planned site specifically. The actual completion date
is reported in WasteLAN with either the generic negotiation activity code (C1701=NG), the RD/RA negotiation
C-9 February 19, 1996
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OSWER Directive 9200.3-14-1B
activity code (C1701 =AN) or the removal negotiation activity code (C1701 = RN). The enforcement remedy codes
(C2731) and enforcement remedy qualifier (C2741), if necessary, the outcome of the negotiations (C1719), and the
statute (C2771) must also be reported in WasteLAN. Groundwater monitoring/institutional controls are to be
reported in WasteLAN as C2731 = GM.
STATE ORDER FOR ESI/RI/FS
Definition:
Administrative Order (AO) or CD signed by the State and the PRPs for the PRPs to conduct the ESI/RI/FS.
Definition of Accomplishment:
The date the last State official signs the order or CD. All WasteLAN coding requirements for AOs and CDs apply.
The enforcement activity type (C1701) should be State decree ("SD") or State order ("SO") and the actual
completion date should be placed in C1717. In addition, the remedy field (C2731) must denote that the AO/CD
was issued for an ESI/RI/FS (C2731 =CO, RI, FS, SS).
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Projections for AOs for ESI/RI/FS are made site specifically. State orders for
ESI/RI/FS is an internal reporting measure.
STATE CONSENT DECREE FOR RD/RA
Definition:
Judicial agreement between the State and the PRPs fully or partially settling a claim under the Comprehensive
Environmental Response, Compensation, and Liability Act (CERCLA). The settlement may be for response work,
or both response and cost recovery work.
Definition of Accomplishment:
Date the State CD is signed by the PRPs and all appropriate State officials. All WasteLAN coding requirements
for CDs apply. The enforcement activity type (C1701) should be State decree ("SD") and the actual completion
date should be reported in C1717. In addition, the remedy field (C2731) must denote that the CD was issued for
RD and/or RA (C2731 = RD, RA), or groundwater monitoring/institutional controls (C2731 = GM).
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
See Definition of Accomplishment. State CD for RD/RA is an internal reporting measure. Groundwater
monitoring/institutional controls are to be reported in WasteLAN as (C2731 = GM).
ENF-3 SETTLEMENTS FOR CLEANUP ACTIONS
Definition of Target/Measure:
Settlements are the enforcement actions through which the PRP agrees to conduct the cleanup work. This measure
will require reporting of both the number of settlements as well as the estimated value of the response work for each
of those settlements.
February 19, 1996 C-10
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OSWER Directive 9200.3-14-1B
Definition of Accomplishment:
Settlements at NPL, NPL-caliber, and non-NPL sites include:
A CD signed by the Regional Administrator and PRPs and 10-point analysis is transmitted by the Regional
Administrator to DOJ and HQ, under Section 106 or 106/107 for PRPs to conduct or pay for the response
action [ESI/RI, FS, RD, RA, groundwater monitoring/institutional controls, time critical or NIC early action
(removal authority) or early action (remedial authority)]. Credit for the CD referral (C1701 =CD) is the date
on the Regional Administrator's transmittal memo to HQ or to the DOJ as recorded in WasteLAN as the actual
start date (C1716). This includes CDs for mixed funding and cash out settlements. The remedy qualifier for
cash out (CO), mixed work (MW), or preauthorization (PA) must be entered into WasteLAN Enforcement
Remedy Qualifier (C2741-C2750) data field; or
A UAO is signed by the Regional Administrator for RD, RA, groundwater monitoring/institutional controls,
time critical or NTC early action (removal authority) or early action (remedial authority), and PRPs provide
written notice of intent to comply with the UAO. Credit for UAOs is given on the date of the PRPs written
notice of intent to comply with the order. This is reported in WasteLAN as the notice of intent to comply
(C2801 = NC) actual completion date (C2807). The order (C1701 = UA) actual completion date (C1717) is
the date it is signed.
If a PRP initially complies with a UAO, and later a CD is agreed to for the same work, credit will be given
for the UAO when the PRPs provide written notice of intent to comply. Credit will be given for the CD when
it is referred by memo to HQ or DOJ. At this point the UAO is converted to a CD and Regions will receive
credit for the CD only and not the UAO. The compliance status code (C1726) for the UAO must be changed
to "V" (converted to CD). The Region must report the estimated or actual, if known, value (C2907) of the
work actually performed by the PRP under the UAO with a financial type (C2903) of "W" (estimated value
of work actually performed). The Region must also report the estimated value (C2907) of the work to be
performed by the PRPs under the CD with a financial type (C2903) of "R" (estimated PRP work to be
performed). (The total estimated value of the PRP work is the sum of the dollars associated with the UAO
(C2903=W) and the dollars associated with the CD (C2903=R)). If the PRPs did not conduct any work under
the UAO, the dollars associated with the estimated value of work actually performed (C2903=W) should be
"O"; or
A Section 106 or 106/107 injunctive referral to compel the PRP to perform the cleanup (RD, RA, early action
(remedial authority), or NTC early action (removal authority)) as specified in a UAO is transmitted by the
Regional Administrator to DOJ or HQ. Credit for the referral (C1701 =CL, SX or LT) is based on the date
the Regional Administrator signs the transmittal letter as recorded in WasteLAN as the actual start date
(C1716). Remedies reported in WasteLAN for the litigation should be the same as those reported for the UAO;
or
An AOC is signed by the Regional Administrator for an ESI/RI, FS, time critical or NTC early action (removal
authority) or RD, or an existing AOC for ESI/RI, or FS is amended for RD only. The Region must notify HQ
in writing of its intent to issue SNLs to initiate cleanup negotiations within a specified period after the AOC
signature date. The date the Regional Administrator signs the new AOC (C1701=AC) is reported in
WasteLAN as the actual completion date (C1717). For amended AOCs, the Enforcement Activity Judicial Civil
Type (C1718) must be coded as "A" (amended) and the amendment date (C2807) reported with the AOC
milestone (C2801) "AA" (activity amended).
Settlements will be reported as a combined total for CDs, AOCs, and UAOs where the PRPs have provided written
notice of their intent to comply.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Groundwater monitoring/institutional controls are to be reported in WasteLAN
C-ll February 19, 1996
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OSWER Directive 9200.3-14-1B
as C2731 = GM. The dollar value of each settlement (C2907= amount and C2903=R or W), the remedy type
(C2731), remedy OU (C2733), and, if necessary, remedy qualifier (C2741-C2750), must be reported in WasteLAN.
This is a SCAP measure.
ENF-4 SECTION 122(g) SETTLEMENTS AND NUMBER OF PRPs
Definition of Target/Measure:
This is the total number of administrative or judicial settlements that are reached solely under Section 122(g) of
SARA, with PRPs qualified as de minimis or de micromis under Section 122(g). This type of settlement results in
PRPs paying a minor portion of the estimated response costs at the site, and is embodied in a CD or AOC. If the
total response costs at the site exceed $500,000 (excluding interest), the AOC can only be signed (issued) by the
Regional Administrator after prior written approval from DOJ. If DOJ does not approve or disapprove the order
within 30 days, the order is considered approved and can then be signed by the Regional Administrator. The DOJ
and the Regional Administrator can agree to extend the 30-day period if necessary.
This target counts the total number of de minimis and de micromis settlements (both the pre-ROD and post-ROD)
under Section 122(g). The number of PRPs offered the settlement and those who settle are also reported under this
target.
Definition of Accomplishment:
Credit is given for de minimis and de micromis Section 122(g) settlements in the following two categories with all
accomplishments counting against the target.
Category 1: Total de minimis and de micromis settlements and number of parties offered as well as signatories to
each settlement:
When an AOC (C1701 = AC) is signed by the Regional Administrator, as reported in WasteLAN as the actual
completion date (C1717). This should include the number of parties offered, as well as signatories (C1720)
to the settlement.
When the Regional Administrator signs the memorandum transmitting the CD (C1701 = CD) signed by the
de minimis or de micromis parties (and the Regional Administrator) to the DOJ, as reported in WasteLAN as
the actual start date (C1716). This should include the number of parties offered, as well as signatories (C1720)
to the settlement.
Category 2: "Early" de minimis and de micromis settlements:
When an AOC (C1701 = AC) is signed by the Regional Administrator prior to the first remedy selection (ROD
signature) at the site, or where the Region estimates the costs for future operable units that are being addressed
by the settlement. The date the AOC is signed is entered into WasteLAN as the actual completion date
(C1717). This should include the number of parties offered, as well as signatories (C1720) to the settlement.
When the Regional Administrator signs the memorandum transmitting the CD (C1701 = CD) signed by the
de minimis or de micromis parties (and the Regional Administrator) to DOJ, prior to the first remedy selection
(ROD signature) at the site, or where the Region estimates the costs for future operable units that are being
addressed by the settlement. This should include the number of parties offered as well as signatories (C1720)
to the settlement.
The remedy qualifiers (C2741-C2750 = de minimis landowner ('DL') or de minimis generator ('DG') and statute
code (C2771 = 122 (g)) for de minimis must be entered into WasteLAN.
Changes in Definition FY 95 - FY 96:
None
February 19, 1996 C-12
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OSWER Directive 9200.3-14-IB
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Regions may receive credit for settlements at a site in both Category 1 and
Category 2.
Since many de minimis and de micromis settlements are cash outs, Regions must also enter the remedy qualifier for
"cashout" (C2741-C2750 = 'CO') and the settlement dollars (C2907) that will be used for future (C2903 = 'R')
or past (C2903 = 'F') work covered by the settlement.
Currently, CERCLIS only allows one number to be entered in the Number of PRPs data element (C1720). HQ is
evaluating alternatives such that both the number of parties offered settlement and the number of parties that settled
can be captured in the system. Until changes are made in WasteLAN/CERCLIS, Regions should maintain a record
of the number of parties offered settlements outside of the system.
ENF-5 PERCENTAGE OF PRP LEAD CLEANUP ACTIONS TO ALL CLEANUP
ACTIONS
Definition of Target/Measure:
This measure calculates as the percentage of RP-lead cleanup actions (early and long-term) to all cleanup actions
(early and long-term).
A RP-lead cleanup action is defined as those actions where PRPs or their contractor(s) have mobilized for
implementation of the time critical or NTC early action (removal authority) (C2101 = RV and C2118 = TC or NT)
selected by the Region and reflected in the Action Memorandum (C2101 =RV and C3101 =AM or RM); or early
action (remedial authority) (C2101=RA and C2118=EA), RD/RA (C2101=RD or RA) or groundwater
monitoring/institutional controls (C2101 = GM) documented in a ROD (C2101 =RO). The cleanup action must be
performed in compliance with a Federal AOC, UAO, CD or judgment, or State (PS-lead only) order or decree.
A cleanup action that is taken over by the Fund due to substantial non-compliance will not be counted as a RP-lead
cleanup action.
"All cleanup actions" is defined as those actions where EPA or EPA contractors, a State or State contractors, PRP
or PRP contractors have mobilized for construction of the time critical or NTC early action (removal authority)
(C2101 = RV and C2118 = TC or NT) specified in the Action Memorandum (C2101 =RV and C3101 =AM or
RM), or the response actions specified in the ROD (C2101=RO) for early actions (remedial authority) (C2101 =
RA and C2118=EA), RD/RA (C2101=RD or RA), or groundwater monitoring/institutional controls (C2101 =
GM).
Accomplishments will be based on the start date (C2140) of the response action (time critical and NTC early actions
(removal authority), RD, RA, expedited response action (ERA), or early action (remedial authority), or groundwater
monitoring/institutional controls).
The percentage of RP-lead early and long-term actions will be tracked separately (by removal and remedial
categories as well as by NPL and NPL caliber) but reported as a combined total.
Definition of Accomplishment:
See Definition of Target/Measure.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
See Definition of Target/Measure. Data for this measure will be obtained using CERCLIS. HQ will perform the
analysis. RP-lead cleanup must have an event lead code in WasteLAN (C2117) of "RP", "PS", or "MR".
C-13 February 19, 1996
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OSWER Directive 9200.3-14-1B
Groundwater monitoring/institutional controls are to be entered into WasteLAN as C2101 = GM. This is a SCAP
measure.
SECTION 106, 106/107, 107 CASE RESOLUTION
Definition:
Case resolution is the conclusion of a Section 106, 106/107, or 107 judicial action by a full settlement, a final
judgment, a case dismissal, or a case withdrawal.
Definition of Accomplishment:
Credit for case resolution is given when:
A CD is entered in the court and signed by the judge fully addressing the complaint with all parties;
The region receives a memo or letter from DOJ, withdrawing the case;
A decision document is submitted by the judge dismissing the case; or
A trial has concluded and a judgment rendered and signed by the judge fully addressing the complaint.
The case resolution (C1701 =CL, SV, SX, or LT) actual completion date (C1717) is the same as the milestone or
activity actual completion date and is defined as follows:
Date full settlement CD is entered. This is the CD (C1701 =CD) completion and the litigation completion dates
(C1717);
Date case is withdrawn (C2801 = WD) as the milestone completion date (C2807) and litigation completion date
(C1717);
Date case is dismissed (C2801 =DI) as the milestone completion date (C2807) and litigation completion date
(C1717); or
Date judgment is entered (C1701 =JG), as the judgment completion and the litigation completion dates (C1717).
Changes in Definition FY 95 - FY 96:
None . . "
Special Planning/Reporting Requirements:
See Definition of Accomplishment. In addition, the enforcement remedy code (C2731), remedy OU (C2733),
financial type (C2903 = F or R), and financial amount (C2907) must be entered into WasteLAN. This is an internal
reporting measure.
ADMINISTRATIVE RECORD COMPILATION
Definition:
An Administrative Record (AR) is a compilation of all documents that EPA used to make a specific decision on the
appropriate response action to be taken at a Superfund site, whether the document supports or opposes the Agency's
selected action. SARA specifies that ARs be compiled at sites where responses under remedial or removal authority
are planned or are occurring, or where EPA is issuing a UAO or initiating litigation.
February 19, 1996 C-14
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OSWER Directive 9200.3-14-IB
Definition of Accomplishment:
The AR compilation (C2101 = AR) begins when the letter is signed transmitting the AR to the site repository and
the actual start date (C2140) is entered into WasteLAN. The AR compilation is complete when the certification.
of completion memo is signed by the program office and the actual completion date (C2141) is entered into
WasteLAN.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
The stan and completion of the compilation of the AR must be reported site specifically (C2101=AR) in
WasteLAN. It is recorded at the event level. An "E" or "V must be recorded in the Event Qualifier field (C2103)
to indicate the AR is for a remedial.or a removal activity, respectively. The completion of the Administrative
Record Compilation is an internal reporting measure.
ISSUE DEMAND LETTER
Definition:
A Section 122(e) letter issued pursuant to Section 107 from EPA to the PRP requesting that the PRP reimburse the
Fund for a specific amount associated with one or more response activities. Demand letters are typically sent for
each separate response activity.
Definition of Accomplishment:
This milestone is accomplished on the date (C2807) the demand letter is signed by the appropriate EPA official and
recorded in WasteLAN as a milestone (C2801=DL) under negotiations (C1701=NG), litigation (C1701=LT),
Alternative Dispute Resolution (C1701 =AD), CD (C1701 =CD) or other enforcement activity.
Changes in Definition FY 95 - FY 96:
None
Special Planning/Reporting Requirements:
Demand letters are recorded at the milestone level (C2801 =DL). This is an internal reporting measure.
COST RECOVERY ACTIONS/DECISIONS < $200,000
Definition:
Cost recovery actions/decisions taken are decisions to take cost recovery action by use of administrative cost
recovery settlement. Section 106/107 or 107 judicial referral for cost recovery, preparation of a decision document
or 10 point settlement analysis document not to pursue cost recovery, bankruptcy filing, cash out settlement that
includes recovery of past costs, or initiation of debt collection procedures.
This category only includes cost recovery actions (at NPL and non-NPL sites) for reimbursement of Trust Fund
amounts of less than $200,000.
Definition of Accomplishment:
Administrative Settlements - Credit is given on the date that the Regional office or DOJ receives payment from the
PRPs in direct response to a demand letter for voluntary cost recovery or the date the Regional Administrator signs
the AOC for cost recovery. The date must be reported in WasteLAN as the actual completion date (C1717) of the
administrative/voluntary cost recovery (C1701=AV), AOC (C1701=AC), or Consent Agreement (C1701=CA).
Section 107 or 106/107 Judicial Referrals - Credit is given on the date of the Regional Administrator's memo
transmitting the referral to HQ or DOJ (C1701 =SV, CL or LT) as recorded in WasteLAN as the actual stan date
C-15 February 19, 19%
-------
OSWER Directive 9200.3-14-1B
(C1716). This includes CD settlements (C1701 =CD) for RD/RA with a cost recovery component. CD settlements
that are for cost recovery only and result from a previous litigation referral do not count towards this measure.
The stan date (C1716) for these actions is not reported in WasteLAN. Only the lodged (C2801 =LO) and entered
(C2801 = AP) milestones with the actual milestone completion dates (C2807) and the actual completion date (C1717)
for the CD are recorded. The actual completion date of a CD settlement is the date it is entered by the court.
Decision Documents prepared not to pursue cost recovery - Credit is given when the decision document
(C1701 =DD) is signed by the Regional office and recorded in WasteLAN as the actual completion date (C1717).
The decision not to pursue cost recovery may also be documented in a 10-point settlement analysis. This decision
is coded in WasteLAN as "DD" as well. There is no requirement to write a separate document; the 10-point
analysis supports the "DD" entry in WasteLAN. The dollars (C2807) that will not be recovered (C2903 = F) and
the'remedy code (C2731) of associated actions should.be reported in WasteLAN.
Bankruptcy Filing - Credit is given based on the date that the bankruptcy strategy package is prepared or on the
date of the first creditor committee meeting as documented by a summary of the meeting. These dates are reported
in WasteLAN as actual milestone completion dates (C2807). The bankruptcy filing milestones are: C2801 =CC
(Creditors Committee Meeting) and C2801=BS (Bankruptcy Strategy Package). These milestones are valid for
activity C1701 =CB (Claim in Bankruptcy).
Cash out Settlements Credit is given on the date of the Regional Administrator's memo transmitting the cashout
CD to HQ or DOJ or when the Regional Administrator signs the AOC for the cash out settlement with a cost
recovery component. The actual CD (C1701 =CD) start date (C 1716) or the actual AOC (C1701 =AC) completion
date (C17L7) and the remedy qualifier for cash out (C2741-C2750=CO) must be entered into WasteLAN.
Settlement dollars (C2907) that will be used for future response work are reported as "R" dollars in C2903.
Settlement dollars (C2907) for reimbursement of past costs are reported as "F" dollars in C2903.
Initiation of Debt Collection Procedures - Credit is given on the date the initial demand letter is signed by an EPA
official invoking use of debt collection procedures. The date the letter is signed is reported in WasteLAN as the
actual completion date (C2807) of the demand letter (C2801 = DL) and the actual completion date (C1717) of the
administrative/voluntary cost recovery (C1701 = AV). Debt collection milestones in WasteLAN are: C2801 =
CT (Collection Services); AF (Administrative Offset); and TF (Tax Refund Offset). These milestones are valid only
for activity C1701 =AV (Administrative/Voluntary Cost Recovery). The statute code in WasteLAN for the Debt
Collection Act is C2771 =DCA.
Changes in Definition FY 95 - FY 96:
Deleted initiation of Alternative Dispute Resolution (ADR) as a valid cost recovery action/decision tracked under
this measure. Also deleted the heading Settlement under CD (with no prior referral) and moved the applicable
information under, the heading Section 107 or 106/107 Judicial Referrals. Language was added specifying
accomplishment criteria.
Special Planning/Reporting Requirements:
All dates must be entered into WasteLAN. Credit for referrals is based on the referral package not on the number
of sites. Credit will be withdrawn if a case is returned to the Region by HQ or DOJ for additional work, but will
be reinstated upon re-referral. The enforcement financial code (C2903 = F) and the financial amount (C2907) and
the appropriate remedy codes (C2731) must be entered into WasteLAN. This is an internal reporting measure.
ENF-6 PAST COSTS ADDRESSED > $200,000
Definition of Target/Measure:
Past costs addressed > $200,000 is the decision to take cost recovery action by use of administrative cost recovery
settlement. Section 106/107 or 107 judicial referral for cost recovery, settlement for past costs under a CD (with
no prior litigation referral), preparation of a decision document or 10 point settlement analysis document not to
pursue cost recovery, bankruptcy filing, cash out settlement that includes recovery of past costs, or initiation of debt
collection procedures. .
February 19, 1996 C-16
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OSWER Directive 9200.3-14-1B
This measure includes cost recovery actions (at NPL and non-NPL sites) for reimbursement of Trust Fund amounts
of greater than or equal to $200,000. It is vital to the management of the cost recovery program that sites with
upcoming Statute of Limitations (SOLs) be addressed prior to the expiration of the SOL. Therefore, Regions will
not be allowed to substitute FY 96 targeted sites that have SOLs occurring in FY 95 or before.
Definition of Accomplishment:
Administrative Settlements- Credit is given on the date the Regional office or DOJ receives payment from the
PRPs in direct response to a demand letter for voluntary cost recovery or the date the Regional Administrator signs
the AOC or CA that recovers 100 percent of the Trust Fund expenditures or settles a claim where the total response
costs are less than $500,000. The accomplishment of the administrative settlement is recorded in WasteLAN as the
actual completion date (C1717) of the administrative/voluntary cost recovery (C1701=AV), AOC (C1701= AC)
or CA (C1701 =CA). If the settlement is compromised and total response costs are more than $500,000, the AOC
must be sent to DOJ for approval prior to signature by the Regional Administrator. During planning, the Region
must report the appropriate cost recovery remedy types being sought (C2731 CONTAINS VM, VO, VD, VC, VA,
or VS).
Section 107 or 106/107 Judicial Referrals - Credit is given on the date of the Regional Administrator's memo
transmitting the referral to HQ or DOJ (C1701 =SV, CL or LT) as recorded in WasteLAN as the actual start date
(C1716). This includes CD settlements (C1701 =CD) for RD/RA with a cost recovery component. CD settlements
that are for cost recovery only and result from a previous litigation referral do not count towards this target. The
start date (C1716) for these actions is not reported in WasteLAN. Only the lodged (C2801=LO) and entered
(C2801 =AP) milestones with the actual milestone completion dates (C2807) and the actual completion date (C1717)
for the CD are recorded. The actual completion date of a CD settlement is the date it is entered by the court.
Decision Documents prepared not to pursue cost recovery - Credit is given when the decision document
(C1701 =DD) is signed by the Regional office and recorded in WasteLAN as the actual completion date (C1717).
The decision not to pursue cost recovery may also be documented in a 10-point settlement analysis. This decision
is coded in WasteLAN as "DD" as well. There is no requirement to write a separate document; the 10-point
analysis supports the "DD" entry into WasteLAN. The dollars (C2807) that will not be recovered (C2903=F) and
the remedy code (C2731) of associated actions should also be reported in WasteLAN. During planning, the Region
must indicate the response events that will be included in the decision document (C2731 CONTAINS RI, FS, CO,
RD, RA, RV, SS, ER, or OM).
Bankruptcy Filing- Credit is given based on the date that the bankruptcy strategy package is prepared or the date
of the first creditor committee meeting as documented by a summary of the meeting. These dates are reported in
WasteLAN as the actual milestone completion dates (C2807). The bankruptcy filing milestones in WasteLAN are
C2801 =CC (Creditors Committee Meeting) and C2801 =BS (Bankruptcy Strategy Package). These milestones are
valid for the activity C1701 =CB (Claim Bankruptcy). During planning, the Region must report the appropriate
cost recovery remedy types being sought (C2731 CONTAINS VM, VO, VD, VC, VA, or VS).
Cash out Settlements - Credit is given on the date of the Regional Administrator's memo transmitting the cash out
CD to HQ or DOJ or when the Regional Administrator signs the AOC for the cash out settlement with a cost
recovery component of greater than or equal to S200.000 as recorded in WasteLAN. The actual CD (C1701 =CD)
start date (C1716) or the actual AOC (C1701 = AC) completion date (C1717) and the remedy qualifier for the cash
out (C2741-C2750=CO) must be entered into WasteLAN. The AOC must be sent to DOJ for approval if the total
site costs exceed $500,000. Credit is given for only those cash out settlements which include a cost recovery
component recovering $200,000 or more in past costs. Settlement dollars (C2907) that will be used for future
response work are reported as "R" dollars in C2903. Settlement dollars (C2907) for reimbursement of past costs
are reported as "F" dollars in C2903. During planning, the Region must report the appropriate cost recovery
remedy types being sought (C2731 CONTAINS VM, VO, VD, VC, VA, or VS).
Initiation of Debt Collection Procedures- Credit is given on the date the initial demand letter is signed by an EPA
official invoking use of debt collection procedures. The date the letter is signed is reported in WasteLAN as the
actual completion date (C2807) of the demand letter (C2801 = DL) and the actual completion date (C1717) of the
administrative/voluntary cost recovery (C1701 = AV). Debt collection milestones in WasteLAN are C2801 =CT
C-17 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
(Collection Services); AF (Administrative Offset); and TF (Tax Refund Offset). These milestones are valid only
for the activity C1701 = AV (Administrative/Voluntary Cost Recovery). The statute code recorded in WasteLAN
for the Debt Collection Act is C2771=DCA. During planning, the Region must report the appropriate cost
recovery remedy types being sought (C2731 CONTAINS VM, VO, VD, VC, VA, or VS).
Changes in Definition FY 95 - FY 96:
Deleted Initiation of ADR as a valid cost recovery action/decision tracked under this measure. Language added
specifying accomplishment criteria.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. All dates must be entered into WasteLAN. Credit for referrals is based on the
referral package not on the number of sites. Credit will be withdrawn if a case is returned to the Region by HQ
or DOJ.for additional work, but will be reinstated upon re-referral. The enforcement financial code (C2903=F)
and the financial amount (C2907) arid the appropriate remedy codes (C2731) must be entered into WasteLAN. This
is a SCAP target.
February 19, 1996 C-18
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OSWER Directive 9200.3-14-1B
ENFORCEMENT
FY 96 MEASURES OF SUCCESS
DEVELOPMENT OF MEASURES OF SUCCESS
The Superfund program has been criticized in the past by the Inspector General (IG), Government Accounting
Office (GAO), the PRP community and the general public for failing to have a successful program. Although the
Superfund measures that the Agency uses to determine success (SCAP targets/measures) may meet the Agency's
needs, they sometimes fail to address the needs of the other stakeholders. The following "Measures of Success"
were developed in consultation with the Regions to address those needs.
The Enforcement Measures of Success are provided to the Regions for informational purposes only. Regions
are encouraged to provide feedback to HQ. The Measures of Success will eventually supplement the existing SCAP
targets and measures to provide a more complete picture of enforcement-related successes and accomplishments at
Superfund sites.
ENFORCEMENT MEASURES OF SUCCESS DEFINITIONS
USE OF ALTERNATIVE DISPUTE RESOLUTION (ADR)
Definition:
This measure reports the number of sites where ADR techniques are employed in an attempt to reach settlement
under CERCLA. ADR is a tool that is being used to increase enforcement fairness. The measure will report site
specific use of ADR.
Definition of Accomplishment:
Sites using ADR tools are divided into two categories:
Sites where the Agency employs and funds ADR in the CERCLA process; and
Sites where the Agency supports private party use of ADR in the CERCLA process.
Valid ADR activities include:
Allocation of Shares of Responsibility - Credit is given on the date that the parties involved choose a neutral
allocator. The date on which the allocator is chosen is reported in WasteLAN as the actual milestone
completion date (C2807) of the milestone 'allocation' (C2801 =AL).
Arbitration - Credit is given on the date that the parties involved in binding or advisory negotiation (in a judicial
setting) choose an arbitrator. The date on which the arbitrator is selected is reported in WasteLAN as the actual
milestone completion date (C2807) of the milestone 'arbitration' (C2801 =AB).
Convening - Credit is given on the date that a neutral third party is selected to organize disputants for
negotiations, assist them in the decision to use ADR, and assist in the selection of an ADR professional. The
date on which the neutral third party is selected is recorded in WasteLAN as the actual milestone completion
date (C2807) of the 'convening' milestone (C2801 =CV).
Fact-Finding - Credit is given on the date that a specialized neutral party with subject matter expertise is
selected to resolve technical or factual issues. The date that the specialized neutral party is selected is recorded
in WasteLAN as the actual milestone completion date of the 'fact-finding' milestone (C2801 =FF).
C-19 February 19, 1996
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OSWER Directive 9200.3-14-1B
Mediation - Credit is given on the date that the parties select a neutral third party with no decision-making
authority to assist during non-binding negotiations. The date on which a neutral third party is selected is
recorded in WasteLAN as the actual milestone completion date (C2807) of the 'mediation' milestone
(C2801 =ME).
Mini-Trial - Credit is given on the date that the involved parties begin the mini-trial. The date on which the
mini-trial begins is recorded in WasteLAN as the actual milestone completion date (C2807) of the milestone
'mini-trial' (C2801 =ML).
Neutral Evaluation - Credit is given on the date that a neutral party is selected to assist a negotiation team in
evaluating the potential for settlement or use of ADR professionals. The date on which the neutral party is
selected is recorded in WasteLAN as the actual milestone completion date (C2807) of the 'neutral evaluation'
milestone (C280l=NE). .
Settlement Judge - Credit is given on the date that a settlement judge (other than the one hearing the case) is
selected (or agreed upon) to act as a mediator of the parties' negotiations and settlement discussions. The date
on which the settlement judge is selected is recorded in WasteLAN as the actual milestone completion date
(C2807) of the 'settlement judge' milestone (C2801=SJ).
Special Planning and Reporting Requirements:
The following information must be reported in WasteLAN/CERCLIS to receive credit for this measure. This is
a Federal-enforcement lead (FE) activity with an activity type (C1701) equal to "AD" (alternative dispute
resolution). It should have an enforcement remedy type (C2731) such as RI/FS, RD, RA, VD, and VA that indicates
the actions being discussed during the ADR process. Credit will be based on the start date (C1716) of the ADR
(C1701 = AD). The start date of the ADR is the same as the completion date of the milestone that identifies the
type of ADR that will be used. Regions should also enter the completion date (C2807) of enforcement milestones
(C2801) for allocation (AL), or arbitration (AB), or convening (CV), or fact-finding (FF), or mediation (ME), or
mini-trial (ML), or neutral evaluation (NE), or settlement judge (SJ).
SETTLEMENTS WHERE EPA SETTLED BASED ON ABILITY-TO-PAY
DETERMINATIONS
Definition:
The measure will help assess the extent to which EPA is using ability-to-pay determinations to achieve its goal of
Enforcement Fairness. The measure will report the percentage of administrative or judicial settlements that are
reached under CERCLA with Potentially Responsible Parties (PRPs) qualified as limited ability-to-pay parties. This
type of settlement results in: 1) PRPs paying less than their respective portion of the cost for site cleanup based
on an ability to pay determination: 2) Payment over time for parties with limited ability to raise annual revenues;
or 3) Parties providing in-kind service in lieu of cash payments.
Definition of Accomplishment:
Total ability-to-pay settlements are counted as follows:
When an AOC (C1701 = AC) with the ability to pay PRPs is signed by the Regional Administrator as reported
in WasteLAN with the actual completion date (C1717).
When the Regional Administrator signs the memorandum transmitting the CD (C1701=CD) signed by the
ability to pay parties (and the Regional Administrator) to DOJ as reported in WasteLAN as the actual start date
(C1716).
Special Planning/Reporting Requirements:
To receive credit for this measure, the remedy quaIifier(C2741-C2750 = ability-to-pay('AP')) must be entered into
WasteLAN. .
February 19, 1996 C-20
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OSWER Directive 9200.3-14-1B
Since many ability-to-pay settlements are cash outs. Regions must also enter the remedy qualifier for "cashout"
(C2741-C2750=CO) and the settlement dollars (C2907) that will be used for future (C2903 = R) or past (C2903 = Fi
work covered by the settlement.
RECOVERABLE PAST COSTS THAT HAVE BEEN ADDRESSED PROGRAM TO DATE
Definition:
This measure supports the goal of Trust Fund Stewardship by reporting the amount and percentage of recoverable
past costs that were addressed versus all recoverable past costs (i.e., past costs eligible for recovery', program-io-
date). 'The measure encourages addressing all of the recoverable past cost through enforcement activities so that
the maximum amount of recoverable funds can be obtained to support Superfund cleanups.
Recoverable past costs are past costs that are considered potentially recoverable. These costs include EPA direct
and indirect costs, plus contractor program management costs, which are allocated to sites annually.
Some Superfund past costs are considered unrecoverable including funds expended at orphan sites, Federal Facilities
costs, costs that were compromised during previous cost recovery efforts, and costs that were previously written
off. Indirect costs over and above those that are recoverable under the current indirect rates are also considered
not recoverable.
Definition of Accomplishment:
Past Costs Addressed are costs addressed through administrative settlements (C1701 = AV or CA or AC), Section
107 or 106/107 judicial referrals (C1701 = LT or CL or SV), decision documents not to pursue cost recovery
(C1701 = DD), settlement under a CD (C1701 = CD), bankruptcy filing (C1701 = CB), or the past cost
component of cash out settlements (C1701 = CD or AC and C2741-C2750 = CO). The enforcement financial code
(C2903 = F) and the financial amount (C2907) must be entered into WasteLAN.
Recoverable Past Costs include all past costs at the site, regardless of cost recovery status or previous cost recovery
efforts. Recoverable costs include direct response costs, indirect costs allocated to the site using the applicable
indirect rates, an estimate of contractor program management costs as allocated to the site, and any other costs
charged to the site, as indicated by the Integrated Financial Management System (IFMS) or the Superfund Cost
Organization and Recovery Enhancement System (SCORES). For this measure, estimated total recoverable past
costs will come from an IFMS dataset that will be integrated with CERCLIS enforcement data. This data set will
be made available to the Regions. The actual past costs can only be determined through an audit of all of the site
documentation.
The percentage of recoverable past costs addressed is the amount of past costs addressed compared to the total
amount of .recoverable past cost.
Special Planning/Reporting Requirements:
Administrative Settlements - Credit is given on the date: 1) the Regional office or DOJ receives payment from the
PRPs in direct response to a demand letter for voluntary cost recovery; or 2) the date the Regional Administrator
signs the AOC or CA that settles a claim where the total response costs are less than $500,000. The
accomplishment of the administrative settlement is recorded in WasteLAN as the actual completion date (C1717)
of the administrative/voluntary cost recovery (C1701=AV), AOC (C1701=AC) or CA (C1701=CA). If the
settlement is compromised and total response costs are more than $500,000, the AOC must be sent to DOJ for
approval prior to signature by the Regional Administrator. In addition to reported financial type (C2903 = F) and
financial amount (C2907), the Region should report the appropriate cost recovery remedy types being sought (C2731
contains VM, VO, VD, VC, VA, or VS).
Section 107 or 106/107 Judicial Referrals - Credit is given on the date of the Regional Administrator's memo
transmitting the referral to HQ or DOJ (C1701 =SV, CL or LT) as recorded in WasteLAN as the actual start date
(C1716). This includes CD settlements (C1701=CD) for RD/RA with a cost recovery component. For CD
settlements that are for cost recovery only and result from a previous litigation referral, the start date (C1716) for
C-21 February 19, 1996
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OSWER Directive 9200.3-14-IB
these actions is not reported in WasteLAN. Only the lodged (C2801 =LO) and entered (C2801 = AP) milestones
with the actual milestone completion date (C2807) and the actual completion date (C1717) for the CD are recorded.
The actual completion date of a CD settlement is the date it is entered by the court.
Decision Documents prepared not to pursue cost recovery - Credit is given when the decision document
(C1701 =DD) is signed by the Regional office and recorded in WasteLAN as the actual completion date (C1717).
The decision not to pursue cost recovery may also be documented in a 10-point settlement analysis. This decision
is coded in WasteLAN as "DD" as well. There is no requirement to write a separate document; the 10-point
analysis supports the "DD" entry in WasteLAN. The dollars (C2907) that will not be recovered (C2903 = F) and
the remedy code (C2731) of associated actions should also be reported in WasteLAN. The Region should indicate
the response events that will he included in the decision document (C2731 contains RI..FS, CO, RD, RA, RV, SS,
ER, or OM). . . ' . . "
Bankruptcy Filing - Credit is given based on the date that the bankruptcy strategy package is prepared or on the
date of the first creditor committee meeting as documented by the summary of the meeting. These dates are
reported in WasteLAN as the actual milestone completion dates (C2807). The bankruptcy filing milestones in
WasteLAN are C2801 =CC (Creditors Committee Meeting) and C2801 =BS (Bankruptcy Strategy Package). These
milestones are valid for activity C1701 =CB (Claim Bankruptcy). In addition to reported financial type (C2903 = F)
and financial amount (C2907), the Region should report the appropriate cost recovery remedy types being sought
(C2731 contains VM, VO, VD, VC, VA, or VS).
Cash out Settlements - Credit is given on the date of the Regional Administrator's memo transmitting the cash out
CD to HQ or DOJ or when the Regional Administrator signs the AOC for the cash out settlement with a cost
recovery component as recorded in WasteLAN. The actual CD (C1701 =CD) start date (C1716) or the actual AOC
(C1701=AC) completion date (C1717) and the remedy qualifier for the cash out (C2741-C2750=CO) must be
entered into WasteLAN. The AOC must be sent to DOJ for approval if total site costs exceed $500,000.
Settlement dollars (C2907) that will be used for past costs are reported as "F" dollars in C2903. The Region should
report the appropriate cost recovery remedy types being sought (C2731 CONTAINS VM, VO, VD, VC, VA, or
VS).
PROSPECTIVE PURCHASER AGREEMENTS (PPA)
Definition:
This measure will report progress toward the goals of enforcement fairness and redevelopment of contaminated
.properties. Redevelopment of contaminated properties is accomplished by providing protection from CERCLA
liability to prospective purchasers of contaminated property.
This measure counts the total number, of AQCs or CAs for prospective purchaser agreements.
For EPA to consider entering into a prospective purchaser agreement, the agreement must result in: (1) a substantial
direct benefit to the Agency in terms of cleanup or funds for cleanup; or (2) a substantial indirect benefit to the
community coupled with a lesser direct benefit to the Agency.
Definition of Accomplishment:
Credit is given for prospective purchaser agreement settlements based on the completion date (C 1717) the AOC or
CA (C1701 = CA or AC) is signed by the Regional Administrator. Regions must also enter the Remedy Qualifier
(C2741 - C2750 = PP) to indicate a Prospective Purchaser Agreement.
Special Planning/Reporting Requirements:
Regions also must report the remedy type (C2731) and settlement dollars (C2907). Dollars for value of work are
reported as (C2903 = R); dollars for recovery of past costs are reported as (C2903 = F) in WasteLAN to receive
credit for the accomplishment.
February 19, 1996 C-22
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OSWER Directive 9200.3-14-1B
NUMBER AND AMOUNT OF CERCLA PENALTIES ASSESSED VIA JUDGEMENT
Definition:
This measure supports the goal of Trust Fund Stewardship by providing information on the amount and number of
final CERCLA penalties assessed via judgement. The measure identifies monies that are provided for the Trust
Fund as a result of penalties assessed for violations of the CERCLA statute. The measure also supports the
systematic reporting on the programmatic impacts of compliance and enforcement.
This measure is expressed as the dollar amount of the final assessed penalty via judgement under CERCLA. For
civil judicial cases, this amount is the penalty assessed against the defendant(s) as specified in the Consent Decree,
or Court Order entered by the court. For administrative cases, it is the penalty assessed in the final AOC or UAO.
The number of GERCLA penalties assessed is the number of civil, judicial or administrative enforcement actions
where a penalty was assessed under a CERCLA statute.
Definition of Accomplishment:
The number of CERCLA penalties assessed is the total number of enforcement actions where a penalty was
assessed under a CERCLA statute, including actions that are only for CERCLA or multi-media actions that
contain a CERCLA component.
The value of CERCLA penalties assessed is the total dollar amount of penalties assessed under the CERCLA
statute for violations of requirements contained in civil, judicial and administrative enforcement actions. If the
enforcement action consists of multi-media actions, this measure will only include the amount that is assessed
under the CERCLA statute, to the extent that it can be specified.
Special Planning/Reporting Requirements:
The number and value of CERCLA penalties will be obtained from the Office of Compliance using information
reported on Case Conclusion Data Sheets.
NUMBER AND AMOUNT OF SUPPLEMENTAL ENVIRONMENTAL PROJECTS (SEPs)
AGREED UPON UNDER CERCLA
Definition:
SEPs are environmentally beneficial projects which a violator agrees to undertake in settlement of an enforcement
action, but which the violator is not otherwise legally required to perform. The SEP could be for public health,
pollution prevention, pollution reduction, environmental restoration and protection, assessments and audits,
environmental-compliance promotion, emergency planning and preparedness, or other program-specific projects.
This measure supports the goal of Trust Fund Stewardship by measuring the number and value of SEPs under
CERCLA. The measure provides the opportunity for the violator to undertake environmentally beneficial projects
that will potentially prevent the creation of additional Superfund sites, thus avoiding the need for using Trust Fund
monies for future cleanups. The measure also supports the systematic reporting on the programmatic impacts of
compliance and enforcement.
Definition of Accomplishment:
The number of CERCLA SEPs is the total number of cases where a SEP was agreed upon under a CERCLA
statute including cases that are only for CERCLA or multi-media cases that contain a CERCLA component.
The value of the CERCLA SEPs agreed upon is the estimated value of the SEP under the CERCLA statute for
civil, judicial and administrative enforcement actions. If the action are multi-media actions, the SEP will be
the total value for all media not just for CERCLA. .
C-23 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
Special Planning/Reporting Requirements:
The number and value of SEPs agreed upon under CERCLA will be obtained from the Office of Compliance using
the information reported on the Case Conclusion Data Sheet.
February 19, 1996 C-24
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OSWER Directive 9200.3-14-1B
EXHIBIT C.2 (1 OF 5)
ENFORCEMENT PLANNING REQUIREMENTS
Planning Retirements
SCAP Target or
Measure?
Internal Management?
Planned Site Specifically?
Planned/Reported on
Operable Unit or Whole.
Site Basis?
Reported Site Specifically
or in Non-site Specific
Portion of WasteLAN?
AOA Category, if Fund-
Financed?
AOA Category for
oversight?
Basis for AOA?
l>RP5*a«*
&8I& '
fff * ff f ff : f ,
r; 1
-
Reporting
. Yes
Whole Site
Site Specific
N/A
N/A
N/A
Section 104(e)
;Letf*»"lffiuai 1
'=" V * t :
-
Reporting
No
Whole Site
Site Specific
N/A
N/A
N/A
Section |0f£}
^ Kefewalsaiul,'
Orders? issued
-
Reporting
No
Whole Site
Site Specific
Enforcement
N/A
Site or Non-Site
Specific Plans
EXHIBIT C.2 (2 OF 5)
ENFORCEMENT PLANNING REQUIREMENTS
!
Planning Requirements
SCAP Target or
Measure?
Internal Management?
Planned Site Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site Specifically
or in Non-site Specific
Portion of WasteLAN?
AOA Category, if Fund-
Financed?
AOA Category for
oversight?
Basis for AOA?
Issuance of
Oe^rftlNotk*
Letters
-
Reporting
No
Operable Unit
Site Specific
Enforcement
N/A
Site or Non-Site
Specific Plans
Isaacs <# , s,
SfMtf&f Nftt&ig
i**t*«$
-
Reporting
No
Operable Unit
Site Specific
Enforcement
N/A
Site or Non-Site
Specific Plans
1BNF~I Duration ^
Croteltegioa&l 1
Decision to PRP
'Cteaa»p', -
N4?gotJation
Com&itim
Measure
-
No
Operable Unit
Site Specific
N/A
N/A
N/A
ESI/RI/FS
N*&otia
-------
OSWER Directive 9200.3-14-1B
EXHIBIT C.2 (3 OF 5)
ENFORCEMENT PLANNING REQUIREMENTS
f
Planning REtruirements
SCAP Target or
Measure?
Internal Management?
Planned Site Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site Specifically
or in Non-site Specific
Portion of WasteLAN?
AOA Category, if Fund-
Financed?
AOA Category for
oversight?
Basis for AOA?
R0/RA
Ngptiatktt
Starts*
-
Planning
Yes
Operable Unit
Site Specific
Enforcement
N/A
Site Specific
Plans
E-JW-3 CteflsajJ
N^otiattett \
Completions ',
Target
-
.Yes
Operable Unit
Site Specific
N/A
N/A
N/A
State Orders fi»r
ESI/RI/FS j
-
Reporting
No
Operable Unit
Site Specific
Enforcement
N/A
Site or Non-Site
Specific Plans
State Consent
B«m<£ for
RDfttA
-
Reporting
No
Operable Unit
Site Specific
Enforcement
N/A
Site or Non-Site
Specific Plans
EXHIBIT C.2 (4 OF 5)
ENFORCEMENT PLANNING REQUIREMENTS
Planning Kefiur«rtteq&
SCAP Target or
Measure?
Internal Management?
Planned Site Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site Specifically
or in Non-site Specific
Portion of WasteLAN?
AOA Category, if Fund-
Financed?
AOA Category for
oversight?
Basis for AOA?
ENF4
SetftfSttente Far
Cteawp Action
Measure
-
Yes
Operable Unit
Site Specific
Enforcement
N/A
Site Specific
Plans
ENF-4
Station 122C&)
SettifiRieate ai»«J
Niaafeeraf !»!»$
Target
-
Yes
Operable Unit
Site Specific
Enforcement
N/A
Site Specific
Plans
««£*,
Itertfeatege of
f»PJU»4»
I«*ny$ &&4&tt$
1V> AH Oesna?
Attfetts
Measure
No .
Operable Unit
Site Specific
N/A
N/A
N/A
Section IftS,
lft»fl«7, 10?
Ca$« "fttfafitftan
-
Reporting
No
Operable Unit
Site Specific
N/A
N/A
N/A
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are planned and
reported quarterly.
February 19, 1996
C-26
-------
OSWER Directive 9200.3-14-1B
EXHIBIT C.2 (5 OF 5)
ENFORCEMENT PLANNING REQUIREMENTS
', '
f f f
Haofling Recpiir^meate
SCAP Target or
Measure?
Internal Management?
Planned Site Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site Specifically
or in Non-site Specific
Portion of WasteLAN?
AOA Category, if Fund-
Financed?
AOA Category for
oversight?
Basis for AOA?
AdmMsfiratfve
Iteeftttl f
Comjrf&titW
Cdj»|>}etiou
-
Reporting
No
Operable Unit
Site Specific
Enforcement or
Other Response
N/A
Site or Non-Site
Specific Plans
Issue Beraartd
letter ' :
; f
-
Reporting
No
Operable Unit or
Whole Site
Site Specific
Enforcement
N/A
Site or Non-Site
Specific Plans
«$$ fteeoverjr i
AeifoaOtedsioar;
, <2Q0K '
-
Reporting
No
Operable Unit or
Whole Site
Site Specific
Enforcement
N/A
Site Specific
Plans
ISNFnSPast
Costs Addressed
kWQO
Target
-
Yes
Operable Unit or
Whole Site
Site Specific
Enforcement
N/A
Site Specific
Plans
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are planned and
reported quarterly.
C-27
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
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February 19, 1996
-------
OSWER Directive 9200.3-14-1B
Appendix D: Federal Facilities
This appendix will be distributed at a later date.
February 19, 1996
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OSWER Directive 9200.3-14-1B
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February 19, 1996
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OSWER Directive 9200.3-14-1B
Appendix F: Oil Program
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
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February 19, 1996
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OSWER Directive 9200.3-14-1B
Oil Pollution Prevention and Response Program
Table of Contents
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM PRIORITIES F-l
Overview F-l
Oil Program Initiatives F-l
Addressing Above-Ground Storage Facility (ASF) Leakage and Contamination. '. F-l
Implementing FRPs F-l
Implementing the NCP ..-..' F-2
Developing and Maintaining Data Systems '. F-3
Improving the SPCC Program F-3
Coordinating with Other Agencies F-4
Oil Spill Prevention and Cleanup Activities F-4
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM PLANNING AND
REPORTING REQUIREMENTS '. F-5
Overview F-5
National Oil and Hazardous Substances Pollution Contingency Plan F-5
Regional Contingency Plans F-5
Area Contingency Plans F-5
Federal Response Plan F-6
Communications Requirements Associated with a Release F-7
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM
FINANCIAL MANAGEMENT F-9
Overview . F-9
Budget Formulation F-9
Operating Plan Development F-9
Budget Execution F-9
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM
FY 96 TARGETS AND MEASURES F-ll
Overview F-ll
Oil Pollution Prevention and Response Program Definitions F-13
Prevention/Preparedness Measures F-13
OIL-1 Spill Prevention, Control, and Countermeasure (SPCC) Inspections
and Plan Reviews F-13
OIL-2 Oil Facility Response Plans Reviewed and Approved F-13
OIL-3 Area Contingency Plans F-14
OIL-4 Preparedness for Response Exercise Program (PREP) Area Drills . . F-14
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
Oil Pollution Prevention and Response Program
Table of Contents
Response Measures F-15
OIL-5 Oil Spill Notifications F-15
OIL-6 Oil Spill Investigations/Preliminary Assessments F-15
OIL-7 Oil Spill Cleanups F-16
OIL-8 Oil Spill PRP'Monitoring/Directing . F-16
Enforcement Measures . . . F-16
OIL-9 Administrative Penalty Enforcement Actions for Spill Violations
and Prevention Regulation Violations F-16
OIL-10 Judicial Penalty Enforcement Actions for Spill Violations and
Prevention Regulation Violations . F-17
OIL-11 Orders for Removal Issued to a Responsible Party F-17
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
Oil Pollution Prevention and Response Program
List of Exhibits
EXHIBIT F.I RELATIONSHIP OF OIL POLLUTION PREVENTION AND
RESPONSE PROGRAM PLANS F-6
EXHIBIT F.2 OIL POLLUTION PREVENTION AND RESPONSE PROGRAM ACTIVITIES F-ll
EXHIBIT F.3 FY 95 - FY 96 OIL MEASURE CROSSWALK F-12
February 19, 1996
-------
OSWER Directive 9200.3-14-1B
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February 19, 1996
-------
OSWER Directive 9200.3-14-1B
OIL POLLUTION PREVENTION AND RESPONSE
PROGRAM PRIORITIES
OVERVIEW
The Agency shares responsibility with the United States Coast Guard (USCG) for implementing major
provisions of the Oil Pollution Act of 1990 (OPA). EPA will review area contingency plans, issue regulations for
facility response plans for non-transportation related offshore facilities, implement recommendations from a report
to Congress, on liners or other means of secondary containment, inspect removal equipment at facilities, and address
liability issues. The Agency has recently published regulations for non-transportation related onshore facility
response plans, and a major revision to the National Oil and Hazardous Substances Pollution Contingency Plan
(NCP). The Agency will approve certain facility response plans and conduct area drills. In addition, Regional
offices will assist State Emergency Response Commissions (SERCs), Indian Tribes, and Local Emergency Planning
Commissions (LEPCs) in coordinating and linking Facility Response Plans (FRPs) with Community Response Plans
(CRPs) developed pursuant to the Emergency Planning and Community Right Act of 1986 (EPCRA).
OIL PROGRAM INITIATIVES
In Fiscal Year (FY) 96, the Office of Solid Waste and Emergency Response (OSWER) will focus on addressing
above-ground storage tank/facility leakage and contamination; overseeing the continued implementation of Facility
Response Plans through review, approvals, and inspections; overseeing implementation of the oil spill response
provisions of the revised NCP; developing and maintaining data systems; improving the Spill Prevention Control
and Countermeasures (SPCG) Program; and enhancing coordination within and between government agencies.
These initiatives, which will improve response and enforcement activities related to oil spills and leaks, are
described in more detail in the remainder of this section.
Addressing Above-Ground Storage Facility (ASF)
Leakage and Contamination
The OPA mandates that the Agency conduct a study to determine whether liners or other secondary containment
means will help prevent and detect leaks at aboveground storage facilities. This Liner Study Report to Congress
is expected to be completed in FY 96. As a result of this study and related research, the Agency will investigate
the feasibility of a voluntary program for industry to investigate existing contamination, current facility design and
procedures, and possible initiatives for contamination prevention and clean-up.
Implementing FRPs
The OPA of 1990 requires that certain facility owners and operators prepare plans to respond to worst-case
discharges of oil or a substantial threat of such a discharge. Owners/operators of such "substantial harm facilities"
must submit their plans or stop handling, storing, or transporting oil. To ensure that such plans are implemented
and response readiness maintained, OSWER will engage in the following activities:
Implement FRP regulation for offshore facilities Through a Memorandum of Understanding (MOU) with
the USCG signed on February 3, 1994, EPA has been delegated the responsibility to regulate certain offshore
facilities inside the continental coastline (including the Great Lakes, rivers, coastal wetlands, and Gulf Coast
barrier islands).
Develop guidance on FRP rule To ensure comprehensive plan development, the Oil Program Center (OPC)
will take the lead in developing a FRP guidance document. The document will contain such elements as the
types of facilities that must prepare response plans, which plans must be approved, and what information should
be contained in these plans.
F-l February 19, 1996
-------
OSWER Directive 9200.3-14-1B
Coordinate with the Office of Enforcement and Compliance Assurance (OECA) on Oil program enforcement
of the Spill Prevention Control and Countermeasures (SPCQ/FRP rule The primary goal of this initiative
is to ensure that program regulations, policy, implementation, and enforcement are consistently applied and
support the same basic program objectives.
Develop and implement inspector training to ensure consistent implementation and enforcement of the SPCC
prevention and response program The goal is to develop a pilot national inspector's training program in
conjunction with OECA and give training to all Regions.
Develop Preparedness Response Exercise Program (PREP) guidance/scheduling To ensure that facilities
are able to fully implement their FRPs, the OPC will provide guidance on procedures and scheduling of
periodic sessions during which a facility puts into practice its FRP and ensures its effectiveness.
Continue to review FRPs and inspect facilities Inspections of facilities and FRPs will continue. FRPs
submitted after 2/18/93 will have to be reviewed, inspected and approved. The five (5) year cycle of review
and approval of the FRP also will continue. The OPC also may observe internal facility drills/exercises.
Implementing the NCP
The revised NCP of 1994 implements several new regulations that directly affect the policies and procedures
governing the Oil program. The NCP also redefines the roles and responsibilities of several program offices within
the Oil program. These new regulations include a revision of Subpart J, which outlines technical requirements for
chemical countermeasures and use on oil spills. They also include requirements for Area Contingency Plans (ACPs)
that ensure efficient responses to potential worst-case oil spills or discharges. The Oil Program Center will have
an integral role in the implementation of Subpart J and the monitoring of ACPs, and will be assisted by several other
offices in these efforts. The following activities will be implemented as a result of the revised NCP:
Subpart J Subpart J of the NCP requires EPA to prepare a product schedule of dispersants, chemicals, and
other spill mitigating devices and substances, if any, that may be used in carrying out the NCP. Regional
Response Teams (RRTs) and Area Committees (ACs), whose members are appointed by the President and
consist of personnel from qualified Federal State and local agencies, will address as part of their planning
activities the desirability of using dispersants, surface washing agents, surface collecting agents, bioremediation
agents, or chemical couhtermeasures such as those listed on the NCP product schedule. This effort requires
effectiveness and toxicity testing for all product categories currently listed on the NCP product schedule.
The Oil Program Center is responsible for coordination, correspondence, and product review in support of
Subpart J initiatives. In addition to this role, the OPC provides outreach to vendors, RRTs, and the general
public, regarding the use of these chemical couhtermeasures under the NCP. The OPC also continues to
oversee research efforts on bioremediation toxicity testing. Furthermore, because of the breadth of chemical
countermeasures research and field activities, the OPC coordinates extensively with the Office of Research
and Development (ORD) and the Environmental Response Team (ERT).
Enhance the Oil Program Center's involvement in Area Planning The OPC works with the Chemical
Emergency Preparedness and Prevention Office (CEPPO) by monitoring Area Contingency Planning efforts
to ensure that they are providing the necessary link between the FRPs and the NCP, and that all contingency
plans are coordinated to control a worst-case discharge of any size. OPC and CEPPO will ensure that plans
are integrated and compatible, to the greatest extent possible, with all appropriate response plans of State, local,
and non-Federal entities, and especially with Title III local emergency response plans.
February 19, 1996 F-2
-------
OSWER Directive 9200.3-14-1B
Developing and Maintaining Data Systems
The availability of complete and comprehensive data on oil spill incidents and facilities is an integral component
of the Oil program's planning and response efforts. During the upcoming year, the Oil program will focus its
efforts in this area on the further development of pilot projects that will lead to a new comprehensive Oil program
database that records and tracks information on incidents (spills) and facilities. The program will also continue to
maintain the current Emergency Response Notification System (ERNS), so that release notification information on
oil and hazardous substances can be accessed quickly and efficiently. In order to achieve these goals, the Oil
program will engage in the following activities:
Collection of Environmental Data ~ OPC will continue to assist the Regions in gathering spatial data for area
contingency planning .purposes. This data will include environmentally sensitive areas, such as wetlands,
drinking water intakes, endangered species locations and similar areas. OPC also will work with the Regions
to incorporate this data and other spatial data, such as facility locations and spill locations, into a useable
geographic information system (GIS) format, for both planning and response support purposes.
Develop Oil Database The Oil program database will be developed for the purpose of recording and tracking
information on Oil program actions at a site-specific level. The database will be divided into two functional
categories: incidents and facilities. The incident portion of the database will record all spills and the
corresponding response actions at each site, while the facility portion of the database will be the medium for
recording normal facility operations data. The database will interface with CERCLIS 3 as necessary, and will
be used primarily by the Regions to facilitate the flow of information within and between Regions. The
database also will likely interface with some of the GIS applications described above.
Enhance and Maintain ERNS ERNS provides the most comprehensive data compiled on release notification
of oil and hazardous substances nationwide. Information should be recorded in ERNS when a release is initially
reported and, when more specific data is verified, more detailed data on the spill should be entered into the
system.
Improving the SPCC Program
The owners/operators of any facility subject to oil pollution prevention regulations are required to prepare and
implement a SPCC plan. Plans must detail the procedures put into place to prevent and control oil spills. To ensure
that such plans are developed and adhered to, Office of Emergency and Remedial Response (OERR) will engage
in the following activities:
Define Regional coordination roles between the Oil Program Center and the Regional Centers This
initiative was established to promote open communication, prevent duplication of SPCC program efforts, and
clearly define the roles of the OPC and Regional Coordination Centers.
Facilitate Regional consistency The Oil program is working to facilitate consistency among the Regions
in their implementation of SPCC inspections. (See the discussion on FRPs earlier in the chapter)
Provide Regional outreach Regional outreach efforts will be in the form of Headquarters (HQ) support of
the Regions' efforts to successfully implement their oversight of the SPCC program,
Provide team-building opportunities To assist Regional coordination implementation teams, team-building
activities such as matrix management will be used to better manage administrative processes and activities.
F-3 - February 19, 1996
-------
OSWER Directive 9200.3-14-1B
Develop risk-based regulation data systems to demonstrate need In the past, facilities have been regulated
on the basis of size, without determining the relative risks posed by a potential spill at each individual site.
The Oil program has recently increased its data collection efforts to determine whether or not this is an effective
approach to facility regulation. This initiative will result in the evaluation of a system in which regulation
would be based upon the relative risks to human health and the environment posed by a particular facility. This
approach will be used to implement a 25% burden reduction required by the President.
Coordinating with Other Agencies
The success of the Oil program relies heavily on the continued cooperation of several different agencies
including the USCG, the Department of Transportation (DOT), the Minerals Management Service (MMS), the
National Oceanic and Atmospheric Administration (NOAA), and the Department of the Interior (DOl). Cooperation
among these agencies ensures the efficient implementation of the NCP and FRP rule. To better instill this
cooperation, a national bulletin board that will provide a means to share information on oil spill prevention and
responses will be developed, a MOU with the USCG will be prepared, and model MOUs for Regions/States will
be developed.
OIL SPILL PREVENTION AND CLEANUP ACTIVITIES
HQ and the Regions will continue to work to decrease the environmental damage caused by oil spills. The
activities to prevent oil spills will include:
Increasing the number of inspections and targeting those at the higher risk facilities Where inspections
disclose violations, enforcement actions will be taken in an effort to prevent problems before they occur.
Planning and conducting responses to oil spills Response actions will be conducted with the goal of
minimizing pollution and subsequent environmental damage, including increasing the number of removal orders
issued.
Increasing the number of enforcement penalty actions taken as a result of oil or hazardous substances
discharge.
Evaluating the Agency's response to spills to determine the most appropriate response to spills of varying
severity.
Improving the science of oil spill response through efforts with other EPA offices and industry groups to
sponsor such new technologies as bioremediation The Oil program will work through the National Response
Team (NRT) to address national oil issues including participation in the Science and Technology, Preparedness,
and Response Committees. The OPC will participate in .special projects/reports such as a proposal for the
review and approval of response plans to be done by the Federal On-Scene Coordinator (OSC) with jurisdiction
for response.
February 19, 1996 F-4
-------
OSWER Directive 9200.3-14-1B
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM PLANNING AND
REPORTING REQUIREMENTS
OVERVIEW
In FY 96, the Oil Pollution Prevention and Response Program will continue to work on the further refinement
of its planning, prevention and response activities and incorporation of these activities into the existing National
Response System (NRS) framework.
NATIONAL OIL AND HAZARDOUS SUBSTANCES POLLUTION CONTINGENCY
PLAN
The cornerstone of the Oil program's planning activities is the revised NCP, which .outlines procedures and
responsibilities for addressing potential oil and hazardous substance spills and discharges. This plan coordinates
with and is bolstered by a number of similar Federal contingency plans, all of which are capable of handling "worst
case discharges" of varying sizes and magnitudes. Exhibit F.I displays the relationship of the Oil Pollution
Prevention and Response Program plans and their relationship with the NCP.
REGIONAL CONTINGENCY PLANS
The Regions' plans for oil and hazardous waste spill responses are outlined in Regional Contingency Plans
(RCPs). RCPs are developed by Regional Response Teams (RRTs) in conjunction with the States, and provide for
timely, effective, and coordinated responses to oil and hazardous waste spills by various Federal agencies and other
governmental organizations. In addition, RCPs must follow the format and the intent of the NCP and be
coordinated with State Emergency Response Plans (SERPs), ACPs, and the Local Emergency Response Plans
(LERPs) provided for under Title JII of the Superfund Amendments and Reauthorization Act of 1986 (SARA).
AREA CONTINGENCY PLANS
ACPs are locality-specific oil and hazardous waste spill response plans. All ACPs are under the supervisory
authority of a federally appointed OSC, and are formulated by a body known as an AC. The ACs work in
conjunction with the appropriate RRTs, Coast Guard District Response Groups (DRGs), the National Strike Force
Communication Center (NSFCC), Scientific Support Coordinators (SSCs), LEPCs, SERCs, and Indian Tribes to
ensure consistency and prevent duplication of response efforts and responsibilities. The ACP also should be
implemented in conjunction with provisions of the NCP and be effective in responding to a worst case discharge
and mitigating or preventing a substantial threat of such a discharge from a vessel or facility operating within or
near the area. The OSC may conduct emergency response drills to ensure that existing contingency plans and
mechanisms are effective in dealing with a potential worst case discharge.
F-5 . February 19, 1996
-------
OSWER Directive 9200.3-14-1B
EXHIBIT F.I
RELATIONSHIP OF OIL POLLUTION PREVENTION AND RESPONSE PROGRAM PLANS
National Oil and Hazardous
Substances Pollution Contingency
Plan (NCP)
International Joint
Plans
Federal Response
Plan
Regional
Contingency Plans
(RCPs)
Federal Agency
Internal Plans
Area Contingency
Plans (ACPs)
Nacilily Response
Plans (FRPs)
V'essel Response
Plans (VRPs)
Plans of the NRS
Points of Coordination with the NRS
Plans Integrated with the ACP
FEDERAL RESPONSE PLAN
If and when an oil or hazardous material spill is declared a national disaster by the President, the Federal
Response Plan is the instrument used to ensure effective response and cleanup. The Federal Response Plan is an
agreement signed by the 27 Federal departments and agencies responsible for responding to oil and hazardous waste
spills. It is only implemented when an existing discharge is beyond the capabilities of the State and local authorities
and/or the statutory authority of Federal agencies. Interagency Agreements (lAGs) may be utilized when necessary
to ensure that Federal resources will be available for a timely response to a discharge or release.
There are also several smaller governmental plans and organizations that play an integral role in the NRS.
SERCs are responsible for designating emergency planning districts, appointing LEPCs for each district, and
supervising the creation of LERPs in accordance with Title III, Section 303 of SARA. LERPs should be reviewed
and updated at least once a year to ensure their accuracy and effectiveness. The SERCs and LEPCs also are
responsible for receiving and processing information requests from the public regarding discharges or subsequent
response actions. CRPs set forth provisions and guidelines for communication within and between communities in
the event of a spill or discharge. These plans also should be coordinated as closely as possible with other response
plans and ensure fluid transfer of necessary information from the lead agency to the members of the local
community.
February 19, 1996
F-6
-------
OSWER Directive 9200.3-14-1B
The final components of the NRS are the SPCC Plans, FRPs, and VRPs, produced by owners or operators of
facilities or vessels that are subject to the OPA. All owners and operators of OPA regulated facilities must produce
and implement a SPCC plan, which outlines procedures for preventing and controlling oil spills. FRPs, which focus
on reactive measures such as how facility personnel are to respond to a discharge, are not required unless it is
deemed that a specific facility could cause "substantial and or significant harm" to the surrounding environment.
FRPs must be consistent with the NCP as well as with the appropriate RCPs and ACPs, and must be updated
periodically to ensure effective response. Finally, all "tank vessels" as defined by section 311(j)(5) of the Clean
Water Act (CWA), as amended, must prepare and submit a VRP for responding to a worst case discharge, or to
a substantial threat of such a discharge of oil or a hazardous substance.
An NCP product schedule must be kept for all dispersants, surface washing agents, surface collecting agents,
bioremediation agents, and miscellaneous oil spill control agents that may be used in mitigating oil and hazardous
substance spills. Under Subpart J of the NCP, dispersant and bioremediation effectiveness testing and revised
toxicity testing are required for all product categories listed on the NCP product schedule.
COMMUNICATIONS REQUIREMENTS ASSOCIATED WITH A RELEASE
The National Response Center (NRC), located at the U.S. Coast Guard HQ, is the national communications
center for handling activities related to oil response actions. It acts as the single point of contact for all pollution
incident reporting, and as the NRT communications center. Any oil spills or discharges must be reported by
telephone to the NRC. The NRC is responsible for notifying the appropriate Federal OSC and any participating
NRT member agencies of the release, and communicating all of the information that it has received to ensure that
an appropriate response may be implemented. All of the information received from the initial notification report
also must be entered into ERNS. This information can then be used by decision makers to solve emergency
response and release prevention issues. When notification information is verified, more detailed data on the release
should be added to ERNS. ERNS can also be accessed by enforcement personnel to determine whether or not
timely notification of spills have been reported.
Specific reporting requirements must be met to ensure efficient communication and coordination during response
actions. The Federal OSC must report any significant developments that occur during response actions to the RRT
and other appropriate agencies through communications networks or other pre-approved channels. This information
should be made available to the trustees of affected natural resources so that they remain informed during the course
of the response action. The OSC also is required to produce (if the RRT or NRT deems it beneficial) a more
detailed report on the removal actions taken, resources committed (financial and manpower), and problems
encountered in responding to the spill or discharge. This report should be submitted first to the RRT, and then
subsequently to the NRT within 30 days of its initial submission. In addition, Title III of SARA requires the
reporting of information, as it becomes available, to community representatives that have a stake in the response
actions. Two of the more commonly used mechanisms for ensuring compliance with Title III requirements are the
establishment of a Joint Information Center, and/or an on-scene news office to report important developments as
they occur. Finally, after the appropriate response action has been implemented, the lead agency is responsible for
preparing a report that details the source of the release, PRP involvement, and the impacts or potential impacts on
human health, welfare, and the environment posed by the discharge or spill.
F-7 February 19, 1996
-------
OSWER Directive 9200.3-14-1B
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Intentionally Blank
February 19, 1996 F-8
-------
OSWER Directive 9200.3-14-1B
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM
FINANCIAL MANAGEMENT
OVERVIEW
The CWA as amended by the OPA established a dedicated trust fund for EPA to use for implementing many
OPA provisions. The USCG administers the trust fund. The oil budget, which includes oil spill prevention,
preparedness, and response is like the Superfund budget, multi-year money that conforms to the Agency's
administrative and programmatic budget structure.
BUDGET FORMULATION
The Oil program's budget formulation process begins approximately 20 .months, before the budget execution
year. Currently, the Oil program establishes and defines goals and initiatives for the budget year in support of the
Agency's strategic plan. In line with the Agency guidance, the Oil program also develops a budget strategy to
achieve these goals and establishes outputs for measuring success. Examples of outputs include the number of oil
spill cleanups, oil spill administrative enforcement actions, and oil spill FRP reviews.
OPERATING PLAN DEVELOPMENT
Once the Agency receives the Oil program appropriation, development of the finalized operating plan begins.
The appropriated resources are allocated to Oil program activities, including response and regulatory support,
enforcement, emergency response teams, and prevention.
BUDGET EXECUTION
During the budget execution year, Regions request programmatic funds for specific oil spill activities including:
Responding to oil spills, monitoring private party responses, and investigating oil spill notifications;
Conducting SPCC inspections including plan reviews, site visits, and follow-up;
Reviewing FRPs to ensure safety and compliance, and to provide early identification of potential oil spill
dangers;
Providing technical assistance to the USCG in response to coastal oil spills; and
Performing ACP drills through PREP.
HQ reprograms the funds for regional expenditure based on required requests. Oil spill activities also are
performed by and funded directly out of HQ for such purposes as:
Delivering and implementing studies such as the Liner Study, consistent with recommendations of the Above-
Ground Storage Tank Workgroup (ASTW); and
Promoting bioremediation implementation with the Regions.
As the budget execution year closes, the Oil program uses actual obligations as the framework for developing
the next year's budget to ensure that the formulation process most closely reflects program trends.
F-9 February 19, 1996
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OSWER Directive 9200.3-14-1B
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February 19, 1996 F-10
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OSWER Directive 9200.3-14-1B
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM
FY 96 TARGETS AND MEASURES
OVERVIEW
The following pages contain the definitions of the FY 96 Oil Pollution Prevention and Response Program
measures. Several new measures have been added for FY 96. There also have been several changes made to the
organizational layout of the FY 95 chapter. The existing measures have been re-ordered and are now grouped under
the following three program area groupings: Prevention/Preparedness Measures, Response Measures, or
Enforcement Measures. As a result, many of the FY 95 measures have been renumbered. Exhibit F.2 displays
these Oil program activities. Exhibit F.3 is a crosswalk between the FY 95 and the FY 96 Oil measures. It also
indicates under which program area grouping each measure falls. All oil program measures are reported semi-
annually on a site or facility basis. Oil program measures are not reported site-specifically. .
EXHIBIT F.2
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM
ACTIVITIES
OIL-1 Spill Prevention, Control, and Countermeasure Inspections
and Plan Reviews
OIL-2 Oil Facility Response Plans Reviewed and Approved
OIL-3 Area Contingency Plans
OIL-4 . Preparedness for Response Exercise Program Area Drills
OIL-5 Oil Spill Notifications
OIL-6 Oil Spill Investigations/Preliminary Assessments
OIL-7 Oil Spill Cleanups
OIL-8 Oil Spill PRP Monitoring/Directing
OIL-9 Administrative Penalty Enforcement Actions for Spill Violations and
Prevention Regulation Violations
OIL-10 Judicial Enforcement Actions for Spill Violations and Prevention
Regulation Violations
OIL-11 Orders for Removal Issued to a Responsible Party
F-ll
February 19, 1996
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OSWER Directive 9200.3-14-1B
EXHIBIT F.3
FY 95 - FY 96 OIL MEASURE CROSSWALK
Fi' M MEASURE
OIL-1
Spill Prevention, Control, and
Countermeasure (SPCC) Inspections
and Plan Reviews
OIL-2
Oil Facility Response Plans Reviewed
and Approved
OIL-3
Area Contingency Plans
OIL-4
PREP Area Drills
OIL-5
Oil Spill Notifications
OIL-6
Oil Spill Investigations/ Preliminary
Assessment
OIL-7
Oil Spill Cleanups
OIL-8
Oil Spill PRP Monitoring/Directing
OIL-9
Administrative Penalty Enforcement
Actions for Spill Violations and
Prevention Regulation Violations
OIL-10
Judicial Enforcement Actions for Spill
Violations and Prevention Regulation
Violations
OIL- 11
Orders for Removal Issued to a
Responsible Party
&Qtl₯ALBNT f* to MMSURS
s
OIL-7
Spill Prevention Control and
Countermeasure (SPCC) Inspections
OIL-1
Oil Facility Response Plans Revjewed .
and Approved
*
*
OIL-9
Oil Spill Notifications
OIL-6
Oil Spill Investigations
OIL-2
Oil Spill Cleanups
OIL-5
Oil Spill PRP Monitoring/Directing
OIL-3
Administrative Penalty Enforcement
Actions for Spill Violations and
Prevention Regulation Violations
OIL-4
Judicial Enforcement Actions for Spill
Violations and Prevention Regulation
Violations
OIL-8
Orders for Removal Issued to a
Responsible Party
PROGRAM
Prevention/
Preparedness
Prevention/
Preparedness
Prevention/
Preparedness
Prevention/
Preparedness
Response
Response
Response
Response
Enforcement
Enforcement
Enforcement
* These measures are new for FY 96.
February 19, 1996
F-12
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OSWER Directive 9200.3-14-IB
OIL POLLUTION PREVENTION AND RESPONSE PROGRAM DEFINITIONS
PREVENTION/PREPAREDNESS MEASURES:
OIL-1 SPILL PREVENTION, CONTROL, ANDCOUNTERMEASURE (SPCC)
INSPECTIONS AND PLAN REVIEWS
Definition:
For this measure, SPCC inspections include site inspections and SPCC plan reviews performed by EPA and/or the
support contractor (TAT, Superfund Technical Assistance and Response Team (START), etc.). For both measures
listed below, each separate facility or SPCC plan will generally count as a single credit, no matter how extensive
or complex the facility is.
Definition of Accomplishment:
Two activities are counted separately for SPCC inspections:
Site inspection (CP0202 = IR), which may include separate counts for an initial visit and for a follow-up
compliance inspection; or
The submittal of correspondence to a facility regarding the review of the SPCC plan (CP0202 = IP).
Changes in Definition FY 95 - FY 96:
The measure's title was modified, and language was added clarifying the definition. This measure was formerly
OIL-7 (See Exhibit F.3).
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of inspections and plan reviews are reported non-site specifically
in the Comprehensive Environmental Response, Compensation, and Liability Information System (CERLCIS) non-
site specific portion of the database (CERHELP).
OIL-2 OIL FACILITY RESPONSE PLANS REVIEWED AND APPROVED
Definition:
Under the OPA, facilities that store oil and have the potential to cause "substantial harm" to the environment must
prepare a response plan for the worst case discharge. The subset of those facilities that have the potential to cause
"significant and substantial harm" to the environment require review and approval by EPA, although all facilities
may be reviewed by EPA. This measure counts the number of oil facility response plans reviewed and approved
by the Region.
Definition of Accomplishment:
The initial evaluation, detailed review, site inspection, and approval of one response plan will each be measured
separately.
Initial Evaluation: Date of the first piece of correspondence from EPA to the facility (CP0202 = PL) that includes
an initial determination of whether the plan is complete and identification of "significant and substantial harm"
facilities. Regions will receive credit for an initial evaluation only once for each plan received.
Detailed Review: Date of the first piece of correspondence from EPA to the facility after completion of a review
checklist or equivalent level of review (CP0202 = PR). Regions will receive credit for detailed review of each plan
once for each approval cycle or each material change and subsequent resubmission.
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OSWER Directive 9200.3-14-1B
FRP Site Inspections: Date of each site visit made as part of a FRP review (CP0202 = FS) as recorded in site
files or inspection report. Regions will receive credit for each separate site visit as part of a FRP review.
Final Approval: Date of the letter from EPA to the facility approving the response plan (CP0202 = PV). Regions
will receive credit for each new approval during each review cycle.
Changes in Definition FY 95 - FY 96:
FRP Site Inspections (CP0202 = FS) was added as a valid activity to be tracked under this measure, and language
was added specifying accomplishment criteria This measure was formerly OIL-1 (See Exhibit F.3)
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of response plans evaluated, reviewed, and approved are reported
non-site specifically in the CERHELP portion of the CERCLIS database. ' .
OIL-3 AREA CONTINGENCY PLANS
Definition:
Under the OPA, Regions are required to work with Area Committees and develop ACPs. Regions vary as to
whether they will publish a single plan with several sub-area annexes, or will publish several separate ACPs. A
Region that publishes one ACP with four sub-area annexes will receive the same credit as a Region that publishes
four separate ACPs.
Definition of Accomplishment:
Region will receive credit for each publication of a contingency plan for an area or sub-area within that Region.
Publication consists of submission to the National Technical Information Service (NTIS) for public distribution, or
an equivalent level of finalization for distribution (CP0202 = AP).
Changes in Definition FY 95 - FY 96:
This is a new measure for FY 96.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of ACP publications are reported non-site specifically in the
CERHELP portion of the CERCLIS database.
OIL-4 PREPAREDNESS FOR RESPONSE EXERCISE PROGRAM
(PREP) AREA DRILLS
Definition:
OPA requires periodic drills and exercises of ACPs and FRPs. To satisfy this requirement, EPA in conjunction
with other Federal agencies helped establish PREP. Area Drills, a key part of the PREP program, bring together
one or more industry groups (facilities, vessels, etc.) and usually several Federal and State agencies on complex
drill scenarios. Each year, six inland (one EPA-lead) and fourteen coastal area drills will be scheduled.
Definition of Accomplishment:
Two activities are counted separately for PREP Area Drills:
EPA-lead PREP Area Drills (CP0202 = PD), which will typically be one per year nationally; and
Participation in non-EPA-lead PREP Area Drills (CP0202 = PD), which can include industry-lead drills or
drills led by other Federal agencies. Region receives credit the date a letter, form, or memo is transmitted
documenting the drill. EPA's role will likely include some level of participation during drill preparation as well
as participation during the actual drill.
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OSWER Directive 9200.3-14-1B
Changes in Definition FY 95 - FY 96:
This is a new measure for FY 96.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of PREP Area Drills are reported non-site specifically in the
CERHELP portion of the CERCLIS database.
RESPONSE MEASURES:
O1L-5 OIL SPILL NOTIFICATIONS
Definition:
An oil spill notification is defined as a report to EPA of an oil discharge into the environment. This measure
includes the number of sites or incidents where an oil spill notification is received.
Definition of Accomplishment:
A release notification (CP0202 = ON) is counted when a report of an oil spill is received, processed, and logged
by EPA through the ERNS.
Changes in Definition FY 95 - FY 96:
This measure was formerly OIL-9 (See Exhibit F.3).
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of oil spill notifications is reported non-site specifically in the
CERHELP portion of the CERCLIS database.
OIL-6 OIL SPILL INVESTIGATIONS/PRELIMINARY ASSESSMENTS
Definition:
An Oil Spill Investigation is the process of collecting field data on an actual or potential oil release for the purpose
of characterizing the magnitude and severity of the hazard. This Preliminary Assessment is typically related to
"mystery spills." It is geared towards determining the source of such spills and potential impacts, prior to actually
taking a response action (if one is needed).
Definition of Accomplishment:
Region will receive credit for the site visit to investigate and conduct a Preliminary Assessment of a spill or potential
spill (CP0202 = OI). Oil Spill Investigations/Preliminary Assessments are documented by a letter, form, or memo
to the file documenting the site visit.
Changes in Definition FY 95 - FY 96:
The measure title has been modified, and language has been added clarifying accomplishment criteria.
(See Exhibit F.3)
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of oil spill investigations is reported non-site specifically in the
CERHELP portion of the CERCLIS database.
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OSWER Directive 9200.3-14-1B
OIL-7 OIL SPILL CLEANUPS
Definition:
This measure is defined as an oil spill cleaned up by EPA using OPA funds. A single incident should be counted
only once regardless of how many times an EPA OSC or Technical Assistance Team (TAT) goes back on-scene
or how many phases the response entails.
Definition of Accomplishment:
For this measure, oil spill cleanup starts and completions will serve as two separate counts.
Oil Spill Cleanup Start Date: Date the contract modification, delivery order, or Pollution Reimbursement Funding
Authorization for an oil spill cleanup (CP0202 = CW) at a site is signed. .
Oil Spill Cleanup Completion Date: Date the final Pollution Report (POLREP) is issued (CP0202 = CP).
Changes in Definition FY 95 - FY 96:
Language was added clarifying accomplishment criteria. This measure was formerly OIL-2 (See Exhibit F.3).
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of oil spill cleanups started and completed are reported non-site
specifically in the CERHELP portion of the database.
OIL-8 OIL SPILL PRP MONITORING/DIRECTING
Definition:
EPA may use OPA funds to provide oversight and technical assistance to PRP oil spills.
Definition of Accomplishment:
the issuance of the first POLREP at a spill where the PRPs are performing a response (CP0202 = MS) will be
considered the start of a monitoring/directing activity.
Changes in Definition FY 95 - FY 96:
This measure was formerly OIL-5 (See Exhibit F.3).
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of spills where EPA is providing oversight and technical assistance
is reported non-site specifically in the CERHELP portion of the database.
ENFORCEMENT MEASURES:
OIL-9 ADMINISTRATIVE PENALTY ENFORCEMENT ACTIONS FOR SPILL
VIOLATIONS AND PREVENTION REGULATION VIOLATIONS
Definition:
Administrative enforcement actions are taken by the Region as a result of violations of Section 311 (b)(3) and 311 (j)
of the Clean Water Act.
Definition of Accomplishment:
Date that the complaint is filed in the administrative docket (CP0202 = AJ).
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OSWER Directive 9200.3-14-IB
Changes in Definition FY 95 - FY 96:
This measure was formerly OIL-3 (See Exhibit F.3).
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of complaints filed is reported non-site specifically in the
CERHELP portion of the CERCLIS database.
O1L-10 JUDICIAL PENALTY ENFORCEMENT ACTIONS FOR SPILL VIOLATIONS
AND PREVENTION REGULATION VIOLATIONS
Definition: .
Judicial enforcement cases are initiated by the Regions in response to violations of Section 311(b)(3) and 311(j) of
the Clean Water Act.
Definition of Accomplishment:
Date of the letter or memo referring the case to the Department of Justice (DOJ) (CP0202 = AK).
Changes in Definition FY 95 - FY 96:
This measure was formerly OIL-4 (See Exhibit F.3).
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of judicial referrals is reported non-site specifically in the
CERHELP portion of the CERCLIS database.
OIL-11 ORDERS FOR REMOVAL ISSUED TO A RESPONSIBLE PARTY
Definition:
This measure counts the number of Administrative Orders (AO) for removal issued to a party under Section 311
of the Clean Water Act.
Definition of Accomplishment:
An order (CP0202 = OP) is counted on the date it is signed by the appropriate Regional official.
Changes in Definition FY 95 - FY 96:
This measure was formerly OIL-8 (See Exhibit F.3)
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The number of orders issued is reported non-site specifically in the CERHELP
portion of the CERCLIS database.
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