SEPA
            Unittd State*
            Environmental Protection
            Agency
Off ice of
Solid Waste and
Emergency Responee
            DIRECTIVE NUMBER:
                        9840>1
            TITLE:
                  86 20^,
  9/ 1985

  9/ 1985
            APPROVAL DATE:

            EFFECTIVE DATE:

            ORIGINATING OFFICE:

            S FINAL

            D DRAFT

             STATUS:
            REFERENCE (other documents): "
  OSWER     OSWER     OSWER
VE   DIRECTIVE  DIRECTIVE   Dl

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United States Environmental Protection Agency
A _ _ - Washington. DC 20480
Ob PA OSWER Directive Initiation Reauest
Originator Information
Name of Contact Person
Michael Kiipatrick
Uead Office f-1
LJ OUST
U OERR p owpg
U OSW Q ANSWER
Mail Code
WH-527
Approved
Interim Oirective^mtx
9840.1 ^

Telephone- Number ^
382-4819 v
for Review
Signature of Office Oireesor /
tyd &Ur
Date *
>
J*
Title
    FVT  86 SCAP Passback (W/0 attachments)
Summary of Directive
      This document further addresses  planning of  enforcement and  fund-
      financed activities in FY 86.  Priorities, operating procedures
      and targets  are  addressed.
   Key  words: SCAP, planning, targets, enforcement
                activities, case budget, priorities
Type of Directive (Manual. Policy Directive. Announcement, etc.!
      Guidance
                                                                        Status
                                                                           Q Draft
                                                                           
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                                       OSWER #9840.1
        ATTACHMENT -I
REVISED  FY  86 SCAP SCHEDULE

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                                                       OSWER # 9840.1
                 REVISF.P FY 86 SCAP  SCHEDULE
Instructions for preparing               June  14,  1985
final FY 86 SCAP furnished
to Regi ons


HO finalizes SPMS measures and           June  30,  1985
definitions with Regions


1st draft of revised FY 86               July  15,  1985
SCAP submitted to HO by Regions
Passback to regions on revised           August  1,  198b
FY 86 SCAP
OSWER submits draft SPMS targets,        August 15,  1985
based on-FY 86 SCAP


AA/OSWER and PA's approve FY 86          Early September,  1985
SCAP, and submit final SP^S targets
to OMSE

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                                      OSWER # 9840.1
      ATTACHMENT II
REVISED  FY  86  SCAP TARGETS
FOR ENFORCEMENT ACTIVITIES

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                                      OSWER # 9840.1
       ATTACHMENT III
DISCUSSION OF  TARGET CHANGES
 FOR ENFORCEMENT ACTIVITIES

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                                                      OSWER # 9840.1

                                                         Attachment


                       ENFORCEMENT TARGETS

Targets for enforcement activities were changed as follows:

Site Classification/RP Searches; NPL Sites

     The goal for FY 1986 is to complete RP searches for all
sites proposed in NPL Updates 3,4,5 and 6 (which is currently
projected for February, 1986).  The national target remains  at
220, which is believed to be a conservative estimate of the  number
of sites to be proposed.  Regional targets were increased
proportionally to total 2200  Targets will be revised during FY
1986 to reflect actual numbers of proposed sites.

RP Searches; non°NPL Removals

     The goal for FY 1986 is to complete RP searches for all non-
NPL removal sites so that notice letters, administrative enforcement
actions and cost recovery can be properly pursued.  Targets  were
adjusted to reflect revised targets for non-NPL removal initiations.

Enforcement and PRP RI/FS; NPL Sites

     Some redistribution of targets was done consistent with
proposals submitted by Regions and with numbers of candidate
sites identified by Regions.  PRP RI/FS should generally be
projects originally identified  in the SCAP as fund or enforcement
managed RI/FS where PRPs agree to undertake them.  Regions should
then backfill with new enforcement or fund RI/FS to maintain
their targeted level for RI/FS  initiations.

Negotiations-Removal

     Original targets were  inadvertently  set to be  identical  to
removal initiations.  Revised targets are set at  50% of the
revised removal initiation  targets.

Neqotiations-RI/FS

     Targets were adjusted  to reflect negotiations  initiated
prior to all enforcement and PRP RI/FS and prior  to  75% of  the
targeted fund-lead RI/FS  (assuming 25% of the fund-lead RI/FS
have no identified PRPs).

Neqotiations-RD/RA

     Regions proposed targets based on all projected completions
which exceeded the national budget target.   Regional proposed
targets were reduced to  take  into'consideration  the number  of
sites that are projected  to be  fund  financed from the  beginning
and those sites where only  minimal chances of  success  would be
possible.

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                                                      OSWER # 9840.1
                               -2-
Negotiations - Cost Recovery

     Targets were increased to reflect current policy that
negotiations will be conducted at all completed response actions
(completed non-NPL removals or RA completions) where viable PRPs
have been identified.  The targets are set assuming viable PRPs
will be identified at 75% of candidate sites.

Administrative Orders - Removal

     Targets were adjusted to 50% of the revised targets for
removal initiations.

Administrative Orders - Remedial

     Targets were adjusted minimally to accomodate Regions proposed
targets, consistent with the national budget target.  Some Regions
have proposed surprisingly few orders as compared to the number of
RD initiations targeted.  Orders are estimated to be appropriate
prior to obligation at approximately 50% of the targeted RD sites.

Administrative Orders - Sections 3008 and 3013

     Targets for these activities have been deleted as a result
of Regional comment.  Use of these orders will be reported in
FY 86, and should be used by Regions where appropriate.

Enforcement Actions To Achieve RD/RA Response;
Enforcement Lead Sites

     Most Regions proposed lower targets than originally assigned,
generally pointing out that administrative actions would be used
at many sites.  However, judicial actions should be targeted for
all enforcement-lead or PRP RI/FS which will be completed by the
3rd quarter of FY 86 where appropriate.  The budget assumes that
a significant percentage (70%) of the enforcement actions will be
$106 case referrals.

     The revised targets reflect 90% of the number of such RI/FS
scheduled for completion (according to information submitted by
Regions through FY 85 quarterly reporting).  RI/FS completions for
sites already referred for S106 judicial actions or where
administrative settlements include RD/RA have been substracted
from targets.  Targets are set at,,.that level to ensure  that
further slippage of RI/FS does not occur at more*than  10% of
sites and to ensure that judicial enforcement activities are
planned and brought when necessary.

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                                                        OSWER ft 9840.1
                               -3-


      In  order  not  to  penalize  Regions who bring successful
 unilateral  administrative  enforcement actions or achieve
 administrative settlements,  those activities will also count
 against  this target.   Unilateral orders which do not result in
 compliance  will not count  against the target* and should be
 followed by judicial  referrals (they will eount against remedial
 Aod.  target).

 Judicial Enforcement  Actions (other)

      Targets were  adjusted to  reflect Region's proposed targets.


 Cost  Recovery  Checklists

      Targets for these activities have been deletedo  However,
 Regions  should plan  to submit  checklists  at the appropriate time
 in order to meet negotiation and referral schedules.

 Cost  Recovery  Referrals

      Targets were  adjusted to reflect Region's proposed targets,
 consistent  with the  budget target.  Targets for removal and
 remedial referrals are now combined.  Targeted referrals which
 are settled administratively (through a  covenant  not  to sue)  and
 which are for  expenditures of more  than  S200K will  count against
 the target.

 Dioxin Response Actions

      Targets were  adjusted to reflect Region's proposals.

 Resolution of  Ongoing Judicial Actions

      In  order  to ensure timely prosecution (or  settlement) of
 judicial actions,  targets have been set for resolution of  $106
• -and §107 actions.  Targets are set at  33% of  ongoing active cases.
 Cases which are fully settled, dismissed or which begin a full,
 final trial will count against these targets.   This will  require
 close coordination with DOJ and the Office of Regional Counsel  in
 order to achieve this target.

 NOTE: Activities at NPL federal facilities may count against
 targets  where  comparable.  For example, federal facility RI/PS
 may count as PRP RI/FS if being done under a compliance agreement,
 Similarly a compliance agreement for RD/RA may count against the
 administrative order target.                    t

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                                                    OSWER #9840.1
                   ATTACHMENT IV
COMMENTS  FOR INTEGRATING  REMEDIAL AND  ENFORCEMENT
        ACTIVITIES IDENTIFIED IN THE SCAP

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                                                    OSWER # 9840.1

                   ENFORCEMENT PLAN - REGION I


lo   Enforcement RI/FS;  Enforcement-lead RI/FS should be clearly
identified as FE (or SE) on the remedial portion of the SCAP and
listed in the enforcement portion.

2e   PEP RI/FS;  The remedial SCAP should include a list of
"additional RI/FS projects* which will be funded as fund or
enforcement RI/FS on the SCAP are taken over by PRPs.

3o   Negotiations; RI/FS;  All RI/FS starts indicated  on the remedial
SCAP should be listed prior to obligation unless there are no
known PRPs.

40   Negotiations; RD/RA;  Cross check to be certain that all
completed RI/FS (whether fund, enforcement or PRP lead) are
scheduled unless there are no known PRPs,

5.   Negotiations; Cost Recovery?  All completed non-NPL removals
or remedial actions should be identified where FY 86 completions
can be projected now.

60   Remedial Administrative Orders;  RI/FS A.O.s do not count
against this target (they are counted as PRP RI/FS).  A.O.'s shoulf2-
be considered for each fund-financed RD candidate identified in
the SCAP.

7.   Judicial Action; RD/RA;  All enforcement or PRP RI/FS scheduled
for completion by the end of the  third quarter, FY  86 should be
scheduled for referral in the event that administrative action is
unsuccessful.

8.   Cost Recovery Referrals;  Cross check with projected completions
of remedial actions and non-NPL removals which are  now ongoing.

9o   Case Resolution;  Identify likely candidates for settlement
or trial.

10.  FY 87 Projections;

     (a) Remedial Administrative  Orders; identify likely  candidates
         based on projected completions of enforcement/  PRP  and  fund
         lead RI/FS.

     (b) Remedial Cost Recoverys  identify  candidates  by  cross  checkin
         with projected R.A. completions in late FY 86 or early  FY 87

     (c) Judicial Action; RD/RA;'identify  candidates  based on
         projected completions  of enforcement  and  PRP RI/FS.   For
         purposes of projections,  assume that  administrative
         will be unsuccessful.

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                                                      OSWER # 9840.1


                   ENFORCEMENT PLAN - REGION II

1.  Enforcement RI/FS  As per the December 24, 1984 SCAP guidance,
only approximately 20% of the enforcement RI/FS should be designated
state-enforcement lead.  Obligation quarters should be indicated.

2.  PRP RI/FS  Regions should not attempt to project which sites
will be RI/FS settlements at this time, but should indicate "To
Be Determined".  Sites originally designated on the remedial SCAP
as fund or enforcement lead will fill this catagory as they
settle.  Additional fund and enforcement lead RI/FS should be
identified to backfill new starts when settlements occur.

3.  Judicial Actions; RD/RA  All enforcement or PRP RI/FS scheduled
for completion by the end of the third quarter, FY 86 should be
scheduled for referral in the event that administrative action is
unsuccessful.

4.  Cost Recovery Referrals  Cross check with projected completions
of remedial actions and non-NPL removals which are now ongoing.

5.  Case Resolution;  Identify likely candidates for settlement
or trial.

6.  FY 87 Projections

    (a)  Remedial Administrative Orders: identify likely candidates
         based on projected completions of enforcement, PRP and
         fund  lead RI/FS<

    (b)  Remedial Cost Recovery: identify candidates by cross
         checking with projected R.A. completions in late  FY 86
         or FY 87.

    (c)  Judicial Action: RD/RA: identify candidates based on
         projected completions of enforcement and PRP RI/FS.
         For purposes of projections, assume  that administrative
         action be unsuccessful.

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                                                     OSWER # 9840.1
                  ENFORCEMENT PLAN - REGION III


1.  PRP RI/FS: The Region should not attempt to project which
sites will be RI/FS settlements at this time, but should indicate
"To Be Determined".  Sites originally designated on the remedial
SCAP as fund or enforcement lead will fill this catagory as they
settle.  Additional fund and enforcement lead RI/FS should be
identified to backfill new starts when settlements occur.

2.  Negotiations; Removal  Regions should only identify sites to
the extent that it is known now that a removal will be initiated„

3.  Negotiations; RI/FS  All RI/FS scheduled for funding which
have identified PRPs should be scheduled for negotiation.

4.  Negotiations; Cost Recovery  Cross check against projected
completions of remedial actions.

5.  Remedial Administrative Orders:  A.O.s should be considered
for completed fund-lead RI/FS prior to RD obligations.

6.  Judicial Actions RD/RA  All completed PRP or enforcement
RI/FS should be scheduled.for referral.

7.  Case Resolution;  Identify likely candidates for settlement
or trial.

8.  FY 87 Projections

    (a) Remedial Administrative Orders:  identify likely  candidates
        based on projected completions of enforcement, PRP and
        fund lead RI/FS.

    (b) Remedial Cost Recovery: identify candidates by cross
        checking with projected R.A. completions in late FY  86  or
        early FY 87.

    (c) Judicial Action:  RD/RA: identify candidates based on
        projected completions of  enforcement and PRP RI/FS.
        For purposes of projections, assume  that administrative
        action will be unsuccessful.

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                                                     OSWER ft 9840.1

                   ENFORCEMENT PLAN - REGION IV


1.   PRP RI/FS; The Region should not attempt to project which
sites will be RI/FS settlements at this time, but should indicate
"To Be Determined".  Sites originally designated on the remedial
SCAP as fund or enforcement lead will fill this catagory as they
settle.  Additional fund and enforcement lead RI/FS should be
identified to backfill new starts when settlements occur.

2.   Negotiations; RI/FS  All RI/FS scheduled for funding which
have identified PRPs should be scheduled for negotiation.

3.   Negotiations; RD/RA  Cross check to be certain that all
completed RI/FS (whether fund, enforcement or PRP lead) are
scheduled unless there are no known PRPs.


4.   Negotiations; Cost Recovery  Cros check against projected
completions of remedial actions.

5.   Remedial Administrative Orders  A.O.s should be considered for
completed fund-lead RI/FS prior to RD obligations.

6.   Judicial Actions RD/RA  All completed PRP or enforcement
RI/FS should be scheduled for referral.

7.   Cost Recovery Referrals  Cross check with projected completions
of remedial actions and non-NPL removals which are now ongoing.

8.   Case Resolution:  Identify likely candidates for settlement
or trial.

9.   FY 87 Projections

    (a) Remedial Administrative Orders: identify likely candidates
        based on projected completions of enforcement, PRP and
        fund lead RI/FS.

    (b) Remedial Cost Recovery: identify candidates by cross
        checking with projected R.A. completions in late  FY  86  or
        early FY 87.

    (c) Judicial Action: RD/RA: identify candidates based on
        projected completions of enforcement and PRP RI/FS.
        For purposes of projections, assume  that administrative
        action will be unsuccessful.

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                                                      OSWER # 9840.1
                   ENFORCEMENT PLAN - REGION V


1.  Negotiations; Cost Recovery  Cross check against projected
completions at remedial and non-NPL removal sites«

2o  Remedial Administrative Orders;  AoO.s should be considered
for completed fund-lead RI/FS prior to RD obligations.

3o  Judicial Actions RD/RA  All completed PRP or enforcement
RX/PS should be scheduled for referral.

4.  Cost Recovery Referrals  Cross check with projected completions
of remedial actions and non-NPL removals which are now ongoing.

5.   Case Resolution;  Identify likely candidates for settlement
or trial.

6.   FY 87 Projections

    (a) Remedial Administrative Orders; identify likely candidates
        based on projected completions of enforcement, PRP and
        fund lead RI/FS.

    (b) Remedial Cost Recovery: identify candidates by cross
        checking with projected R.A. completions  in late  FY 86 or
        early FY 87.

    (c) Judicial Action; RD/RA; identify candidates based on
        projected completions of enforcement and PRP RI/FS.
        For purposes of projections, assume that administrative
        action will be unsuccessful.

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                                                     OSWER # 840.1


                   ENFORCEMENT PLAN - REGION VI
1.   Negotiations; RI/FS;  All RI/FS starts indicated on the remedial
SCAP should be listed prior to obligation unless there are no
known PRPs.

2.   Remedial Administrative Orders;  A.O.s should be considered
for completed fund-lead RI/FS prior to RD obligations.

3.   Judicial Action; RD/RA;  All enforcement or PRP RI/FS scheduled
for completion by the end of the third quarter, FY 86 should be
scheduled for referral in the event that administrative action is
unsuccessfulo

4.   Case Resolution;  Identify likely candidates for settlement
or trial.

5.   FY 87 Projections

    (a) Remedial Administrative Orders: identify likely candidates
        based on projected completions of enforcement, PRP and
        fund lead RI/FS.

    (b) Remedial Cost Recovery: identify candidates by cross
        checking with projected R.A. completions in late FY 86 or
        early FY 87.

    (c) Judicial Action: RD/RA: identify candidates based on
        projected completions of enforcement and PRP RI/FS.
        For purposes of projections, assume that administrative
        action will be unsuccessful.

6.   RD/RA Obligations;  RD/RA obligations are generally not
available for enforcement lead sites such as Vertac and Hardage
and they have been deleted from the SCAP.  Funds can be made
available, depending on other program requirements, only if there
are legitimate reasons for changing site classification.

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                                                      OSWER ft 9840.1

                  ENFORCEMENT PLAN - REGION VII


1.   Enforcement RI/FS;  The "Type Codes" indicated by the submittal
are inconsistent with site classification codes and are confusing.
Enforcement RI/FS candidates should be federal enforcement or
state enforcement lead sites»

2>   PRP RI/FS;  Regions should not attempt to project which  sites
will be RI/FS settlements at this time, but should indicate "To
Be Determined".  Sites originally designated on the remedial  SCAP
as fund or enforcement lead will fill this catagory as they
settleo  Additional fund and enforcement lead RI/FS should be
identified to backfill ne starts when settlements occur.

3.   Negotiations; RD/RAr  Cross check to be certain that all
completed RI/FS (whether fund, enforcement or PRP lead) are
scheduled unless there are no known PRPs.

4.   Negotiations; Cost Recovery;  All completed non-NPL removals
or remedial actions should be identified where FY 86 completions
can be projected now.

5.   Remedial Administrative Orders;  A.O.s should be considered
for completed fund-lead RI/FS prior to RO obligations.

6.   Judicial Action? RD/RA;  All enforcement or PRP RI/FS scheduled
for complet: n by the end of the third quarter, FY 86 should be
scheduled for referral in the event that administrative action is
unsuccessful.

7.   Case Resolution;  Identify likely candidates for settlement
or trial.

8.   FY 87 Projections

    (a) Remedial Administrative Orders:  identify likely candidates
        based on projected completions of enforcement,  PRP and
        fund lead RI/FS.

    (b) Remedial Cost Recovery: identify candidates by  cross
        checking with projected R.A. completions in late  FY 86 or
        early FY 87.

    (c) Judicial Action: RD/RA: identify candidates based on
        projected completions of enforcement  and PRP RI/FS.
        For purposes of projections, assume that administrative
        action will be unsuccessful.

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                                                     OSWER # 9840.1

                  ENFORCEMENT PLAN  - REGION VIII
 1.    PRP  RI/FS   Regions should not attempt  to project which sites
 will  be RI/FS settlements at this time, but should  indicate "To
 Be  Determined".  Sites originally designated on the remedial SCAP
 as  fund or enforcement lead will fill this  catagory as they
 settle.   Additional  fund and enforcement lead RI/FS should be
 identified to backfill ne starts when settlements occur.

 2.    Negotiations; RI/FS:  All RI/FS starts indicated on the remedial
 SCAP  should  be listed prior to obligation unless there are no
 known PRPs.

 3.    Negotiations; RD/RA;  Cross check to be certain that all
 completed RI/FS  (whether fund, enforcement  or PRP lead) are
 scheduled unless there are no known PRPs.

 4.    Negotiations; Cost Recovery:  All completed non-NPL removals
 or  remedial  actions  should be identified where FY 86 completions
 can be projected now.

.5.    Judicial Action; RD/RA;  All enforcement or PRP RI/FS scheduled
 for completion by the end of the third quarter, FY  86 should be
 scheduled for referral in the event that administrative action  is
 unsuccessful.

 6.    Case Resolution;  Identify likely candidates for settlement
 or  trial.

 7.    FY 87 Projections

    (a) Remedial Administrative Orders:  identify likely candidates
        based on projected completions of enforcement, PRP and
        fund lead RI/FS.

    (b) Remedial Cost Recovery: identify candidates by cross
        checking with projected R.A. completions in late FY 86  or
        early FY 87.

    (c) Judicial Action: RD/RA: identify candidates based on
        projected completions of enforcement and PRP RI/FS.
        For  purposes of projections, assume that administrative
        action will  be unsuccessful.

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                                                     OSWER * 9840.1

                   ENFORCEMENT PLAN - REGION IX
1.   PRP RI/FS;  Regions should not attempt to project which sites
will be RI/FS settlements at this time, but should indicate "To
Be Determined".  Sites originally designated on the remedial SCAP
as fund or enforcement lead will fill this catagory as they
settle.  Additional fund and enforcement lead RI/FS should be
identified to backfill ne starts when settlements occur.

2.   Negotiationst RI/FSt  All RI/FS starts indicated on th.e remedial
SCAP should be listed prior to obligation unless there are no
known PRPs.

3.   Negotiations; Cost Recovery;  All completed non-NPL.removals
or remedial actions should be identified where FY 86 completions
can be projected now.

4.   Remedial Administrative Orders;  A.O.s should be considered
for completed fund-lead RI/FS prior to RD obligations.

5.   Judicial Action; RD/RA;-  All enforcement or PRP RI/FS scheduled
for completion by the end of the third quarter, FY 86 should be
scheduled for referral in the event that administrative  action is
unsuccessful.

6.   Cost Recovery Referrals;  Cross check with projected completions
of remedial actions and non-NPL removals which are now ongoing.

7.   Case Resolution;  Identify likely candidates for settlement
or trial.

8.   FY 87 Projections

    (a) Remedial Administrative Orders; identify likely  candidates
        based on projected completions of enforcement,  PRP  and
        fund lead RI/FS.

    (b) Remedial Cost Recovery: identify candidates  by  cross
        checking with projected R.A. completions  in  late FY 86 or
        early FY 87.

    (c) Judicial Action; RD/RA; identify candidates  based on
        projected completions of enforcement  and  PRP RI/FS.
        For purposes of projections, assume  that  administrative
        action will be. unsuccessful.

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                                                      OSWER ft 9840.1


                   ENFORCEMENT PLAN - REGION X


1.   Enforcement RI/FS  Candidate sites, including additional
projects to replace PRP takeover should be identified.

2.   Negotiations; RI/FS:  All RI/FS starts indicated on the remedial
SCAP should be listed prior to obligation unless there are no
known PRPs.

3.   Negotiations; RD/RA;  Cross check to be certain that all
completed RI/FS (whether fund, enforcement or PRP lead) are
scheduled unless there are no known PRPs.

4.   Negotiations; Cost Recovery;  All completed non-NPL removals
or remedial actions should be identified where FY 86 completions
can be projected now.

5.   Remedial Administrative Orderst  A.O.s should be considered
for completed fund-lead RI/FS prior to RD obligations.

6.   Judicial Action: RD/RA;  All enforcement or PRP RI/FS scheduled
for completion by the end of the third quarter, FY 86 should be
scheduled for referral in the event that administrative action is -
unsuccessful.                                                .

7.   Case Resolution;  Identify likely candidates for settlement
or trial.

8.   FY 87 Projections

    (a) Remedial Administrative Orders: identify likely candidates
        based on projected completions of enforcement, PRP and
        fund lead RI/FS.

    (b) Remedial Cost Recovery: identify candidates by cross
        checking with projected R.A. completions in late FY  86 or
        early FY 87.

    (c) Judicial Action: RD/RA: identify candidates based on
        projected completions of enforcement and PRP RI/FS.
        For purposes of projections, assume that administrative
        action will be unsuccessful.

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       OSWER # 9840.1
FY Kfi SCAP NEW  ENFORCEMENT
RI/F$
REGION
I
II
III
IV
V
VI
VII
VIII
IX
X
TOTALS
PRELIMINARY
FY 86
TARGETS
4
13
6
6
14
3
1
1
3
1
52
REGIONAL
SUBMISSIONS
0
12
6
6
14
n
a
a
5
0
51
REVJSFP
FYRfi SPMS
TARGETS
•RI/FS-R
H
13
fi
fi
1M
3
1
1
• • V •
1
52

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