United States
Environmental Protection
Agency
Off ice of
Solid Waste and
Emergency Response
Publication 9200.3-14-1
PB94-963220
October 1993
Superfund
Superfund Program
Implementation Manual
Fiscal Year 1994
Volume II:
Program Implementation
Procedures
Appendix A -
Appendix B -
Appendix C -
Appendix D -
Appendix E -
Site Screening and Assessment
(SSA)/Regional Decision
Early/Long-Term Actions
Enforcement
Federal Facilities
Superfund Information Systems
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OSWER Directive 9200.3-14-1
APPENDIX A
SITE SCREENING AND ASSESSMENT
/REGIONAL DECISION
October 1993
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OSWER Directive 9200.3-14-1
APPENDIX A
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
TABLE OF CONTENTS
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
PRIORITIES A-l
SITE SCREENING AND ASSESSMENT PRIORITIES A-l
REGIONAL DECISION TEAM (RDT) PRIORITIES A-3
RDT Operations A-3
Early Assessment Stage A-4
Advanced Assessment Stage A-4
Public Participation/Community Involvement ....A-4
follow-up A-5
Organization of the RDT , A-5
STATE ROLE A-6
EARLY AND MORE EFFECTIVE COMMUNITY
INVOLVEMENT , A-*
PROGRAM MANAGEMENT INITIATIVES... A-6
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
PLANNING AND REPORTING REQUIREMENTS A-9
INTEGRATED ASSESSMENTS A-9
PRELIMINARY ASSESSMENT (PA)/SITE INSPECTION (SI) A-9
SITE INSPECTION PRIORITIZATION (SIP) A-10
EXPANDED SITE INSPECTION/REMEDIAL INVESTIGATION
(ESIIRI) A-ll
NPL CALIBER SITE A-ll
REMOVAL ASSESSMENTS A-13
REGIONAL DECISION INFORMATION. A-13
EARLY REMOVAL ACTION DECISIONS A-14
Engineering Evaluation/Cost Analysis (EE/CA) ...A-14
Information Included in an EE/CA A-15
EE/CA Approval Memorandum A-16
ACTION MEMORANDUM A-16
EARLY REMEDIAL AND LONG-TERM ACTION DECISIONS A-17
Record of Decision (ROD) A-17
Non-Significant Changes A-17
Significant Changes to a Component of a Remedy A-18
Fundamental Changes to the ROD A-18
No Further Remediation RODs A-19
EARLY REMEDIAL AND LONG-TERM ACTION DECISION
REPORTING PROCEDURES A-19
Cost Estimate A-20
Technical Information A-21
Early Actions Performed by the Coast Guard A-21
GENERAL PLANNING AND REPORTING REQUIREMENTS A-26
Event/Activity Lead Codes A-26
October 1993
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OSWER Directive 9200.3-14-1
Lead Changes A-27
First and Subsequent Starts and Completions A-29
Operable Units A-32
Sequence Numbers A-34
Site Characterization A-34
Project Support A-34
Links - A-35
To Be Determined (TBD) Sites A-35
Ecological Risk Assessments A-37
Planning for Response Mega-Sites A-37
Project Support Activities A-38
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION BUDGET
AND FINANCIAL MANAGEMENT , A-39
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
ANNUAL REGIONAL BUDGET A-39
Fund-Financed ESI/RI/FS Funding Strategy A-39
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
ADVICE OF ALLOWANCE A-41
Budget Development.... A-41
Project Support Activities A-42
Technical Assistance Grants A-42
Obligating Funds A-43
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
CONTRACTOR RESOURCES A-43
Assignment of Site Screening and Assessment Work A-44
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION FY 94
SCAP/STARS TARGETS AND MEASURES A-47
OVERVIEW OF FY 94 SITE SCREENING AND
ASSESSMENT/REGIONAL DECISION TARGETS AND
MEASURES A-47
TARGETS AND MEASURES A-47
DEVELOPMENT OF FY 94 STARSISCAP
TARGETS/MEASURES A-48
STARSISCAP ICONS A-51
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
DEFINITIONS A-51
SSA-1 • Site Characterization Starts A-51
PA Completions A-52
SI Completions A-52
Site Inspection Prioritization A-53
SSA-2 • Site Screening and Assessment Decisions A-54
Regional Decisions A-56
Community Relations A-56
Support Agency Assistance A-57
Technical Assistance A-58
Technical Assistance Grants A-58
October 1993
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OSWER Directive 9200.3-14-1
RI Starts A-59
ESI/RI Completion A-61
FS Starts A-61
Combined RI/FS Start A-63
FS Report to Public A-65
RI/FS Duration A-65
RDT-1 • Decision Document Developed.... A-66
October 1993
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OSWER Directive 9200.3-14-1
LIST OF EXHIBITS
A-l Examples of NPL Caliber Sites A-12
A-2 Regional Decision Event Qualifiers (C2103) A-14
A-3 RA Cost Recovery Estimating Coding A-22
A-4 Coding Guidance - Remedial Technology Information
Qualifiers A-23
A-5 Remedial Technology Information Qualifier Codes A-24
A-6 Event/Activity Lead Codes in WasteLAN A-26
A-7 ESI/RI/FS and ROD Lead Codes A-27
A-8 Coding of Takeovers A-29
A-9 First and Subsequent Starts and Completions A-30
A-10 Operable Unit and First and Subsequent Start and
Completion Coding A-31
A-ll Coding Anomalies A-32
A-12 Impossible FSS and FSC Code Combinations A-32
A-13 Criteria for OUs A-33
A-14 Examples of FS Operable Units A-33
A-15 Ground Rules for Coding Site Assessment and Regional
Decision Operable Units A-34
A-16 Temporary State Codes A-36
A-17 Site Screening and Assessment Pricing Factors and Budget
Development Criteria A-40
A-18 ARCS Contractor Codes A-45
A-19 Site Screening and Assessment/Regional Decision
Activities A-49
A-20 Site Screening and Assessment/Regional Decision
Target/Measure Crosswalk A-50
A-21 Site Screening and Assessment/Regional Decision
Planning Requirements A-68
October 1993
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OSWER Directive 9200.3-14-1
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
PRIORITIES
SITE SCREENING AND ASSESSMENT PRIORITIES
The site screening and assessment process under the Superfund Accelerated
Cleanup Model (SACM) integrates traditional removal and remedial site
assessment functions into a continuous evaluation at high priority sites. Site
assessment activities proceed until all necessary data are collected to screen sites
or support any needed response actions. Sampling and data collection are
coordinated to ensure that the information collected in one phase of assessment
supports other assessment, enforcement, and response actions. Response actions
should be initiated as soon as evidence indicates that an early action is
warranted, with sites posing the greatest threat addressed first.
Coordination of assessment activities with enforcement and response
activities is critical. When feasible, site assessment reports should identify
owners, operators, and witnesses with the appropriate documentation to support
Potentially Responsible Party (PRP) searches. PRP search activities should begin
as soon as possible after the decision is made that a response action is likely to be
required at the site.
To expedite cleanups, previously separate site assessment, removal and
remedial assessments are integrated into a continuous process. Specific
assessment functions need not be completed before others can start. A single
team should collect samples and select analytical methods, thus eliminating
redundant efforts and saving both time and money. This approach to site
assessment will ensure that the appropriate level of resources is applied to
making decisions regarding the need for further cleanup actions, which will
result in screening out a large number of sites early in the process. Where it is
clear no further Superfund response actions will be taken, the assessment is
completed by designating Site Evaluation Accomplished (SEA). Where
conditions indicate that a site is likely to have a Hazard Ranking System (HRS)
score of 28.5 or more, the Region may initiate an Expanded Site
Inspection/Remedial Investigation (ESI/RI) to collect the additional data needed
to prepare the HRS. ESI/RI data can be used to support removal and remedial
action decisions, the HRS score, or to determine whether a removal action is
warranted. In all cases, Regions must include the documentation required by the
National Oil and Hazardous Substances Pollution Contingency Plan (NCP) for
moving from one phase of assessment to another.
Consistent with the NCP, listing sites on the National Priorities List (NPL)
will continue to be a prerequisite to spending remedial funds on site cleanup.
SACM does not change the role of the HRS and NPL. The HRS score will
continue to be the primary basis for adding a site to the NPL.
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OSWER Directive 9200.3-14-1
Site assessment demands are expanding, and Regions are encountering more
requirements in screening sites and making "worst sites first" decisions. The
overreaching site assessment goal is to set priorities for screening, listing, and
cleaning up the highest priority sites first. Other goals include:
• Continue the U.S. Environmental Protection Agency's (EPA's) policy of
conducting Preliminary Assessments (PAs) within one year of the
Comprehensive Environmental Response, Compensation, and Liability
Information System (CERCLIS) discovery date or removal Action
Memorandum date in order to prevent the build-up of a PA backlog.
• Perform PAs and HRS scoring at Federal Facilities to achieve Superfund
Amendments and Reauthorization Act (SARA) goals.
• Make substantial progress on Site Inspection Prioritization (SIP). Resources
will be provided to collect data as needed to determine a priority for sites that
have had a Site Inspection (SI) in the past, but require further work in order
to: 1) make a decision on whether to proceed with HRS ranking and NPL
proposal; or 2) make a determination that the site evaluation is complete
(SEA). Each Region will need to work with Headquarters (HQ) to determine
its most balanced priorities/workload and division of labor with its States.
• Designate sites as SEA or proceed with SI once a removal is completed.
When a Region completes a removal either the site should be designated as
SEA or a SI or ESI/RI should be started to position the site for possible NPL
listing and long-term action. If acceptable levels of risk are confirmed and no
further Superfund action is required, the site will be designated SEA. If the
source materials have all been removed but the need for long-term media
restoration is indicated, the Region should ensure that data collected to list
the site on the NPL is as complete as possible before ending the removal
action.
• Renewed and expanded emphasis on removal program coordination. State,
Alternative Remedial Contracting Strategy (ARCS), and EPA staff conducting
site reconnaissance, PAs, and Sis should consider the need for removal
activities at all sites evaluated. Removal personnel must be notified in all
instances where evidence of potential fire, explosion, or direct exposure
hazards exist or where removal activities may substantially improve a
hazardous situation. Also, new policies on consideration of removals in HRS
scoring increases the need for removal and site assessment coordination.
October 29,1993 A-2
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OSWER Directive 9200.3-14-1
To facilitate program planning and expedite response to Congressional and
public inquiries, Regions should enter into WasteLAN all site assessment
decisions/priority recommendations at each step of the evaluation process and
all appropriate identifiers (Federal Facility, Indian lands, etc.) as rapidly as
possible.
REGIONAL DECISION TEAM (JRDT) PRIORITIES
The RDT is a new concept under SACM that is intended to effectively
coordinate, communicate, and integrate program authority, expertise, and
resources, and provide tools to solve problems at Superfund sites. Coordination
of site screening and assessment, response, and enforcement activities through
the RDT will enable Regions to achieve risk reduction and site response goals
quickly and efficiently.
The RDT provides for broad participation across all program elements, while
placing emphasis on teamwork and Regional and staff empowerment for
developing response strategies and solving site problems. The RDT also has the
responsibility for ensuring that response actions are fully consistent with the
requirements contained in the Comprehensive Environmental Response,
Compensation, and Liability Act of 1980 (CERCLA), as amended by SARA, and
the NCP. Each Region has flexibility in designing a RDT process that meets its
specific needs and that will fit well within the existing management structure.
It is recognized that the composition and responsibilities of the RDT will vary
from Region to Region. The discussion detailed in this section provides a guide
for those Regions that are interested in implementing this concept of the SACM
process.
RDT Operations
The RDT serves as a tool to ensure early and effective communication and
should provide input for the traditional line decision-making authorities. The
RDT will provide policy and strategic direction to designated site managers (Site
Assessment Manager (SAM), On-Scene Coordinator (OSC), and Remedial Project
Manager (RPM)) to ensure the integration of program authorities (Fund-lead vs.
PRP-lead, removal vs. remedial), resources, and tools to solve site problems.
RDT involvement should follow the process or recommend actions described
below.
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OSWER Directive 9200.3-14-1
Early Assessment Stage
Following the receipt of initial site information, the RDT convenes to assess
potential next steps for all sites where a SEA decision is not appropriate.
Specific options available to the RDT include:
• Recommending/developing an Early Action Response Plan to conduct the
following:
- Emergency/time-critical removal action;
- Non-Time-Critical (NTC) removal action; or
- Early action under remedial authority.
• Directing the collection of additional data prior to deciding an appropriate
course of action at a site. If at any point the site appears to be a "NPL
caliber" site, the RDT should initiate ESI/RI activities and, where
appropriate, early actions.
• Initiating the NPL listing process at a site where remedial response actions
are envisioned. The listing process should be concurrent with early action
or ESI/RI data collection.
• Initiating PRP search activities to aggressively pursue the "enforcement
first strategy." The RDT will have input on the selection of the
appropriate enforcement document (Administrative Order on Consent
(AOC)/Unilateral Administrative Order (UAO), Consent Decree (CD), etc.),
and maintain coordination with HQ and the Department of Justice (DOJ),
where appropriate, regarding the enforcement strategy.
Advanced Assessment Stage
As additional site information is received (e.g., after or during either the early
action or ESI/RI part of the integrated assessment), the RDT will assess next
steps for sites warranting additional response action. Specific options would
be similar to those described above in the early assessment stage.
Public Participation/Community Involvement
Maintaining a strong focus on communities around Superfund sites is
essential to the success of SACM. Decisions made by the RDT about the
future of a site will be important to the local community; therefore,
community concerns will be taken into account by the RDT when making a
decision on a site response strategy.
October 29,1993 A-4
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OSWER Directive 9200.3-14-1
Follow-up
The Region will develop protocols defining the role of the RDT in
monitoring and evaluating ongoing response and assessment activities.
Organization of the RDT
The RDT consists of management level personnel. The RDT will not have
responsibility for day-to-day site project management, which will remain with
SAMs, OSCs, RPMs, and site management teams. Each Region has flexibility in
developing an organizational structure for the RDT and may decide to develop
multiple RDTs or not use the RDT concept. In Regions where all program
elements report to a single manager (e.g., Deputy Director of Superfund), the
RDT might consist of the line managers reporting to that manager, along with a
representative from the Office of Regional Counsel (ORC). In Regions where
program responsibilities are dispersed, a more formal arrangement would be
appropriate. In these instances, a typical model for start-up might include the
following senior level participants:
• Senior manager;
• Remedial representative;
• Removal representative;
• Community involvement manager;
• Site screening and assessment representative;
• Cost recovery representative;
• Risk Assessor/Biological Technical Assistance Group (BTAG) representative;
and
• Attorney from ORC.
Regions should involve States as often as possible in an appropriate manner.
Typically, States should be consulted in concert with RDT deliberations or in
preparing for a RDT meeting. The RDT should also meet periodically or, on an
as needed basis, with support agencies and organizations (i.e., Agency for Toxic
Substances Control and Disease Registry (ATSDR), United States Army Corps of
Engineers (USAGE), Office of Research and Development (ORD), BTAG, PRP
search staff, contract management staff, DOJ, etc.) to receive advice and input on
response options or enforcement actions as appropriate.
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OSWER Directive 9200.3-14-1
STATE ROLE
EPA and the States have long agreed that the universe of hazardous waste
sites potentially requiring cleanup was larger than either level of government
could address alone. As a result, EPA will be unable to address the
environmental threats at some sites for years. Several States have already
developed increasingly sophisticated programs to clean up non-NPL sites, relying
in part on EPA technical assistance and funding. EPA will encourage more
environmental cleanup sooner, by expanding the State role to address sites that
are potentially NPL-caliber, and enlisting the States' participation in a
complementary cleanup program.
State "deferral" will encourage States to start addressing the potentially large
number of sites now in the NPL listing queue, thus accelerating cleanup,
minimizing the risk of duplicative State/Federal efforts, and offering PRPs a
measure of confidence that only one agency will address the site. States will
have the initial responsibility to clean up certain NPL-caliber sites, while EPA
focuses its efforts on early actions, high-priority NPL-caliber sites and sites on the
NPL. EPA will not propose sites for the NPL that are being satisfactorily cleaned
up by a participating State.
EARLY AND MORE EFFECTIVE COMMUNITY INVOLVEMENT
A critical problem in the Superfund program is the lack of support for the
cleanup among the communities around Superfund sites. Citizen groups and
communities are often dissatisfied with both the pace and the results of cleanup
actions. To remedy this situation, EPA will prepare and implement a new
Superfund public participation plan. One element of the plan is the early
involvement of the communities in the Superfund process. Over the next year,
EPA will also monitor the progress made by other Federal agencies as they
establish Site-Specific Advisory Boards at their sites. EPA expects to be using this
new public participation plan at Superfund sites in FY 94.
PROGRAM MANAGEMENT INITIATIVES
In addition to the site assessment and RDT priorities described previously, the
following initiatives ensure the overall effectiveness of the Superfund program:
• Implementation of a well managed program by continuing to fully funding
all ESI/RI and Feasibility Study (FS) projects. The program set a goal for
Remedial Investigation/Feasibility Study (RI/FS) costs at a national average
of $1,100,000 per site (exclusive of treatability studies) with approximately two
thirds of the RI/FS cost ($737,000) attributed to the RI. ESIs are budgeted at
$57,000. Every effort should be made to ensure that the trend of ESI/RI and
FS costs is maintained towards an overall national goal of $1,157,000 per site.
October 29,1993 A-6
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OSWER Directive 9200.3-14-1
A Region's ESI/RI/FS budget is developed based on the full funding strategy.
"Mega-sites" are excluded from the cost reduction goals described above.
Implement a mega-site management strategy that ensures cost-effective
environmental management of these significant sites. Response mega-sites
are defined as sites where ESI/RI/FS work at the site reaches or exceeds $3
million. Regions are required to develop and submit to the Hazardous Site
Control Division (HSCD) a Response Mega-site Management Plan that
characterizes site problems and management options. Response mega-site
funding requests will be reviewed and resources allocated on a site by site
basis.
Contract Management — During Fiscal Year (FY) 94, program emphasis
continues to be placed on ensuring effective contract management. Full
implementation of the ARCS and Contract Laboratory Program (CLP) task
force recommendations remains a high priority. Also, HQ and Regions must
continue to focus on the management and control of the ARCS program
management costs to achieve Congressionally mandated goals.
Implementation of the Long Term Contracting Strategy (LTCS) will focus on
the phase-in of new contracts, most of which are delegated to the Regions for
management.
Make effective use of other agency expertise — It is important that EPA make
full use of the expertise available from the USAGE and the Bureau of
Reclamation (BUREC), and that EPA staff avoid duplicative oversight of
projects assigned to these agencies. The USACE has a mission assignment
from EPA to provide technical assistance and review RI/FS projects and
Records of Decisions (RODs).
Information management — Continue the efforts toward making
CERCLIS/WasteLAN more of a management tool for the Regions. This
includes integrating the information needs external to the Office of Solid
Waste and Emergency Response (OSWER) (e.g., ORC, Office of Enforcement
(OE), and DOJ) into the CERCLIS information management environment,
implementing and integrating project and program management tools (e.g.,
the Superfund Management and Reporting Technology (SMARTech), the
Remedial Pipeline Project Management (RP2M) System, and the Superfund
Comprehensive Accomplishments Plan (SCAP) Management Reporting
System (SMRS)), and reporting technical data using WasteLAN (e.g.,
Environmental Indicators (El), Remedial Action (RA), and early action
information). HQ will continue to work with the Regions to expand the use
of CERCLIS/WasteLAN for these and other management initiatives.
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OSWER Directive 9200.3-14-1
• Building public confidence — In past years, the Agency has taken major steps
in improving the communication of the ongoing efforts of the Super fund
program and the progress being made in site cleanup. These efforts started in
FY 90 with the implementation of the El program and the publishing of the
NPL Books. In FY 92, the Office of Waste Programs Enforcement (OWPE)
initiated a communication and outreach effort. Working closely with the
Office of Emergency and Remedial Response (OERR), OWPE developed a
format for telling site specific stories of Superfund at Work. The Superfund
at Work success stories, which will continue to be prepared in FY 94,
demonstrate both the effort and results of the program to key external
audiences. In FY 94 and beyond, the Agency will look toward SACM as a
means for communicating the successes in risk reduction.
Better communication of this type of information to Congress and the public
will help build confidence in the Agency and the Superfund program.
October 29,1993 A-8
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OSWER Directive 9200.3-14-1
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
PLANNING AND REPORTING REQUIREMENTS
INTEGRATED ASSESSMENTS
One of the key principles of SACM is the integration of pre-remedial,
removal, and remedial assessment activities. The goal is a continuous
assessment process that efficiently collects the data needed to determine what
response actions are appropriate. Currently, site assessment activities are often
carried out largely independent of each other, and do not account for all of the
potential data needs. In the future, there will be a single assessment effort that
will support the entire Superfund decision making process. This move toward
integrated assessments is being recognized in FY 94 by the creation of the SCAP
measure SSA-1, which establishes a consolidated target for the various
assessment efforts (site inspection, removal assessment, ESI/RI) even though
they will continue to be reported separately. The current goal is to combine
tracking in FY 95.
PRELIMINARY ASSESSMENT (PA)/SITE INSPECTION (SI)
When a PA and SI are completed, the completion date, the appropriate lead,
and a decision on the need for further activities at the site must be entered into
the appropriate WasteLAN site record. In addition, SI start dates must be entered
into WasteLAN. PAs and Sis should not be conducted at NPL sites unless an
unrelated release is discovered which was not included in the original NPL
listing; for example, an unrelated release to soil but not ground water is
discovered above a ground water plume that is listed on the NPL. Under such a
scenario, the unrelated soil contamination is a separate release and would have
to be listed as a separate site on the NPL, or the original site would have to be
proposed for expansion because EPA would not have the authority to address the
release under the original listing.
The Region must select one of the five options listed below at the completion
of the PA. This decision is entered into the Event Qualifier (C2103) data field in
WasteLAN:
• High priority for a SI;
• Low priority for a SI;
• Perform an early action under removal or remedial authority (the decision to
perform an early action does not have to wait for completion of PA, SI, or
ESI/RI activities);
• SEA (no additional response actions will be performed at the site); or
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OSWER Directive 9200.3-14-1
• Deferred to Resource Conservation and Recovery Act (RCRA) Subtitle C
personnel or the Nuclear Regulatory Commission (NRC).
The Region has to make a decision at the completion of the SI. One of the
following options must be reported in WasteLAN in the Event Qualifier data
field (C2103):
• High priority for an ESI/RI and HRS scoring;
• Low priority for an ESI/RI and HRS scoring;
• Perform an early action under removal or remedial authority (the decision to
perform an early action does not have to wait for completion of PA, SI, or
ESI/RI activities);
• SEA; or
• Deferred to RCRA Subtitle C personnel or the NRC.
SITE INSPECTION PRlORmZATlON (SIP)
In December 1990, EPA revised the original HRS. During the transition to the
new HRS, sites were evaluated through the SI stage under the original HRS;
however, EPA determined it would be preferable to make final site dispositions
on these cases under the revised HRS. Information for these sites needs to be
updated to complete the evaluation under the revised HRS.
Currently, 16,700 sites have received a SI, of those sites, 6,000 still require final
site disposition decisions. This backlog has made it difficult for EPA to evaluate
these sites efficiently on a "worst sites first" basis. The goal of the SIP is to gather
any additional information necessary to help set priorities among these sites for
NPL listing or to screen them from further Superfund attention.
The SIP is a temporary, intermediate step in the site assessment program to
update Sis evaluated under the original HRS and make screening decisions on a
discrete universe of sites using minimal resources. At a minimum, the SIP
generally would require the gathering of data to update site evaluation data and
determine whether the HRS score is greater than 28.5. Typically, SIP data
gathering efforts may include collecting site information and "target"
information necessary to make a scoring decision.
The SIP completion date is the date the report is accepted by the Region and a
decision is made on future activities. Decisions following the SIP include:
• High priority for an ESI/RI and NPL listing; or
October 1993 A-10
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OSWER Directive 9200.3-14-1
• Low priority for an ESI/RI and NPL listing; or
• SEA; or
• Deferral to another authority (e.g., RCRA Subtitle C personnel or the NRC).
The SIP should be entered into WasteLAN as a subevent to the last SI conducted
(C2101 = SI and C3101 = SP). The existing SI event qualifier (C2103) should be
deleted and the decision following completion of the SIP entered into the Event
Qualifier data field (C2103).
EXPANDED SITE INSPECTION/REMEDIAL INVESTIGATION (ESI/RI)
An ESI/RI characterizes the magnitude and severity of a hazardous waste site.
The Region will make the decision to commence ESI/RI activities at sites where
current conditions indicate that the HRS score will be above 28.5 and that a
remedial response will be needed. While listing of these "NPL caliber" sites may
not occur because an early action or series of early actions have addressed
hazardous waste threats, Regions should proceed with the ESI/RI to assist in
preparing the HRS and to encourage faster response actions. (See below for more
information on NPL caliber sites.) The starting date of an ESI/RI must be entered
into WasteLAN (C2101=SS). The level of effort and cost for an ESI/RI is highly
variable.
A decision must be made after an ESI/RI and reported in the Event Qualifier
data field (C2103). The valid data entries include:
• FS and HRS scoring;
• Perform an early action under removal or remedial authority (the decision to
perform an early action does not have to wait for completion of PA, SI, or
ESI/RI activities); or
• SEA.
NPL CALIBER SITE
NPL caliber sites are non-NPL sites that, based on current available
information, appear to have a strong potential for listing on the NPL. Guidance
was issued on October 28,1992, that encouraged Regions to set priorities for
screening the worst sites for NPL listing. Examples of NPL caliber sites are
provided in Exhibit A-l. Expressed in general terms, sites where significant
human exposures to hazardous substances have been documented, or where
sensitive environments have been contaminated, are NPL caliber sites.
Alternatively, sites scoring above 28.5 should be considered NPL sites. A score
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OSWER Directive 9200.3-14-1
above 28.5 is considered adequately assured based on two milestones: 1) all data
needed to support NPL listing has been collected, and 2) preparation of the HRS
package has begun.
To encourage more environmental cleanup sooner, EPA will be expanding
the State role to address NPL-caliber sites and enlisting the States' participation
in a complementary cleanup program. By deferring the cleanup of a large
number of sites in the NPL listing queue to the States, EPA will be able to focus
Federal efforts on early actions, NPL sites, and high risk NPL caliber sites. EPA
will not propose sites for the NPL that are being satisfactorily cleaned-up by a
State. EPA and the State will negotiate the NPL-caliber sites that will be deferred.
EXHIBIT A-l
EXAMPLES OF NPL CALIBER SITES
• Public drinking water supplies are contaminated with a hazardous
substance.
• Private wells are contaminated with a hazardous substance above a
health-based benchmark.
• Soils on school, daycare center, or residential properties are contaminated
by a hazardous substance above background levels (e.g., Maximum
Contaminant Levels).
• A hazardous or highly toxic substance is detected above background in an
off-site air release in a populated area.
• A highly toxic substance known to bioaccumulate (e.g., polychlorinated
biphenyls (PCBs), mercury, dioxin, polyaromatic hydrocarbons (PAHs)) is
discharged into surface waters.
• Sensitive environments (e.g., critical habitats for endangered species) are
contaminated with a hazardous substance above background levels.
Entering one of the following into WasteLAN identifies a site as NPL caliber:
• Combined ESI/RI Start — The date of the start of a combined investigation,
which signals that a site is expected to require a significant response action, is
entered into WasteLAN (C2101 = SS); or
• SI Complete with Qualifier — Data collected during the SI makes it appear
that site conditions warrant a HRS score of 28.5. A site would be considered
October 1993 A-12
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OSWER Directive 9200.3-14-1
NPL caliber with the entry into WasteLAN of the event qualifier that
indicates the site is a high priority (C2103 = H) for further investigation;
• HRS Package/NPL Listing Start — The date of preparing the HRS package for
the NPL that is assigned to EPA staff or a contractor is entered into WasteLAN
as the actual start date (C2101 = HR); or
• Pre-Proposal Site — A site is pre-proposed to the NPL as entered into
WasteLAN (C305 = S). The pre-proposal package has been sent to HQ and
early actions and/or long-term activities under remedial authority have been
planned in Superfund Comprehensive Accomplishments Plan (SCAP).
REMOVAL ASSESSMENTS
During a removal assessment, field data are collected for the purpose of
characterizing the magnitude and severity of the problems at a site, and
determining if an early action or an ESI/RI is warranted. Upon completion of
the removal assessment, either a Action Memorandum or a site evaluation
report must be prepared. The site evaluation report should contain
documentation of the decision not to perform an early action, and either a
recommendation to perform an ESI/RI or make a SEA decision. The removal
assessment completion date must be entered into WasteLAN (C2101 = EA).
REGIONAL DECISION INFORMATION
In order to track the effectiveness and efficiency of the SACM process, the
following Regional decision related information must be reported in WasteLAN:
• The date of each Regional decision (C2101 = DT). If a Region decides to use a
RDT, it should convene either routinely or on an as-needed basis to receive
status reports and strategy options from the site managers, establish response
priorities, and provide both advice and direction on appropriate response
actions. Whether the Region uses the RDT or not, each Regional decision to
take a response action should be documented and the date of each decision
should be reported.
• The Regional response or enforcement decision(s) in the Event Qualifier data
field (C2103). Exhibit A-2 contains the decisions the Region may make. At
any time, the Region may make multiple decisions, for example, conduct an
early action under remedial authority, develop a HRS package, and collect
additional data through an ESI/RI. All the decisions the Region makes at any
one time should be reported with separate Regional decision events (C2101 =
DT). It is especially important that Regions report decisions. OERR is
tracking Regional decisions as an internal reporting measure and the
enforcement program uses the Regional decision to calculate the duration
A-13 October 1993
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OSWER Directive 9200.3-14-1
from Regional decision or ROD to PRP cleanup negotiation completion
(SCAP measure, ENF-1).
CERCLIS is being revised to add the Regional decision event and the
qualifiers.
EXHIBIT A-2
REGIONAL DECISION EVENT QUALIFIERS (C2103)
F Feasibility Study
G Hazard Ranking System Package Development
I Expanded Site Inspection/Remedial Investigation
J Early Action Under Remedial Authority
K Decision to List
N Site Evaluation Accomplished/No Further
Response Action Required
O Administrative Order (Unilateral and On Consent)
Q Potentially Responsible Party Search
R Time Critical Removal
T Long-Term Action
V Non-Time Critical Removal
W Consent Decree
EARLY REMOVAL ACTION DECISIONS
Engineering Evaluation/Cost Analysis (EE/CA)
OSCs/RPMs must complete an EE/CA for all NTC removals; Focused
Feasibility Studies (FFSs) are required for all early actions under remedial
authority. The performance of the EE/CA should be reported in WasteLAN as a
subevent to the removal (C2101 = RV and C3101 = EE). The goals of an EE/CA
are to identify the objectives of the response action and to analyze the cost,
effectiveness, and implementability of the various alternatives that may be used
to satisfy these objectives. In this respect, an EE/CA is similar to a FS. The
EE/CA should define the broad scope and specific objectives of the response
action. The broad scope could be total site cleanup, site stabilization, or cleanup
of surface hazardous substances. Differences between early action and long-term
action data quality objectives and risk assessment goals should be reconciled at
the start of the EE/CA.
The results of the EE/CA are summarized in the Action Memorandum.
EE/CA costs do not apply toward the $2 million removal statutory limit.
The EE/CA Approval Memorandum, Action Memorandum, and EE/CA are
critical components of the administrative record file. Once the EE/CA is entered
October 1993
A-14
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OSWER Directive 9200.3-14-1
into the Administrative Record (AR), a public notice must be published, and the
AR must be made available for public comment. The NCP requires a 30 day
public comment period on the EE/CA and any supporting documentation. The
OSC/RPM is then responsible for preparing written response to significant
comments.
Information Included in an EE/CA
Identifying early action objectives is a key step in the EE/CA. The specific
objectives that must be defined include:
• The protectiveness of the action; and
• The scope of the action, especially when the site poses multiple hazards
and the action is being conducted in phases.
The EE/CA should include the following:
• Data on the physical, demographic, and other characteristics of the site and
surrounding area;
• If the EE/CA supports a NTC removal, the statutory limits on removal
actions must be explained;
• Schedule of activities including both the start and complete time for the
NTC removal;
• An identification and discussion on compliance with Applicable or
Relevant and Appropriate Requirements (ARARs). Federal, State, and
local permit requirements must be identified and reasons for not attaining
ARARs documented;
• A list of the technical alternatives that are appropriate for addressing the
cleanup objectives. Opportunities for treatment and permanence should
be fully evaluated; and
• A screening of technologies that are not feasible. The reason(s) they are
screened out should be documented.
The last step in the EE/CA is a detailed analysis of each alternative that passed
the screening stage. The advantages and disadvantages of each alternative
should be described relative to the following criteria:
* Effectiveness or ability to meet the cleanup objectives;
A-15 October 1993
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OSWER Directive 9200.3-14-1
• Implementability in terms of technical and administrative feasibility and
the availability of the goods within any time and budgetary constraints;
and
• Costs, both capital costs and the cost of any post-early action site control
actions.
Based on the comparative analysis, the OSC/RPM should determine the
recommended action. The reasons for the recommendation should be
documented.
EEICA Approval Memorandum
Once the Region determines that a NTC removal is necessary, the EE/CA
approval memorandum is prepared. The memo is used to obtain
management approval and funding to conduct the EE/CA or provide
oversight of EE/CAs prepared by PRPs. It includes detailed information on:
• The site background;
• Threats posed by the site to public health, welfare, or the environment;
• Imminent and substantial endangerment (if present);
• Enforcement activities;
• Proposed project/oversight costs; and
• Expected changes in the situation if no action is taken.
The EE/CA approval memo documents that the situation meets the NCP
requirements for a NTC removal. The Regional Administrator or authorized
designee evaluates the EE/CA approval memo and authorizes the EE/CA to
be conducted.
ACTION MEMORANDUM
An Action Memorandum is the primary decision document supporting the
selection and authorization of an early action under removal authority. The
Action Memorandum provides a concise, written record of the decision to
perform an appropriate removal action. It substantiates the need for the action,
identifies the proposed action, and explains the rationale for the particular type
of removal action selected. The Action Memorandum reserves the appropriate
funding.
October 1993 A-16
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OSWER Directive 9200.3-14-1
If the removal will exceed the 12 month statutory limit, the Action
Memorandum should substantiate the need for a statutory exemption and must
be approved by the Regional Administrator. The 12-month clock starts when the
actual on-site removal action activity begins and runs for 12 consecutive months,
including time between restarts. Investigations, including the EE/CA, do not
count toward the 12 month time limit when they precede the initial start date.
Section 104(c) of SARA allows an exemption from the $2 million limit if the
continued response action is otherwise appropriate and consistent with the long-
term action to be undertaken. The Assistant Administrator of the Office of Solid
Waste and Emergency Response (AA SWER) delegated the authority for
approving these consistency exemptions at proposed and final NPL sites to the
Regional Administrator. The Action Memoranda should state when the
funding is planned and identify the source of funding. A copy of each Action
Memorandum signed under this authority must be sent to the Director, ERD.
All other exemptions from the $2 million limit must be approved by the AA
SWER.
If circumstances change for a removal that has already been initiated, a
supplemental Action Memorandum should be submitted.
EARLY REMEDIAL AND LONG-TERM ACTION DECISIONS
Record of Decision (ROD)
The ROD is the document prepared after completion of the public comment
period on the PS for either an early action under remedial authority or long-term
action. It identifies the Agency's selected remedy. After a ROD is signed, new
information may be generated that could affect the remedy selected. Three types
of changes could occur:
• A non-significant or minor change;
• A significant change to a component of the remedy; or
• A fundamental change to the overall remedy.
Each of these change categories is discussed below.
Non-Significant Changes
Non-significant changes fall within the normal scope of changes occurring
during the Remedial Design (RD)/RA or early action under remedial
authority. These changes typically result from value engineering. This may
cause minor changes in the type/cost of materials, equipment, facilities,
services, and supplies. When such changes do not significantly affect the
A-17 October 1993
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OSWER Directive 9200.3-14-1
scope, performance, or cost of the remedy, they are considered minor or non-
significant.
Minor changes should be documented in the post-ROD files. The
documentation should not be part of the AR for the ROD.
Significant Changes to a Component of a Remedy
Significant changes to a component of a remedy generally are incremental
changes to the hazardous waste approach selected for the site (i.e., a change in
timing, cost, or implementation). These changes do not fundamentally alter
the overall approach intended by a remedy. When significant changes are
made to a component of a remedy, an Explanation of Significant Differences
(ESD) should be prepared.
The ESD is made available to the public and placed in the AR. A formal
public comment period, public meeting, and responsiveness summary are
not required. While the ESD is being prepared and made available to the
public, response activities should continue. An ESD is not a new ROD and
should not be coded as such in WasteLAN. It should be entered as a subevent
to the ROD (C2101 = RO and C3101 = ES).
Fundamental Changes to the ROD
When the hazardous waste management approach selected in the ROD is
reconsidered, it is a fundamental change. For example, the innovative
technology originally selected in the ROD did not perform satisfactorily
during the pilot scale testing, and a decision is made to switch to another
remedy. This would represent a fundamental change. If, as a result of PRP
negotiations, the remedy in the ROD is changed from incineration to
bioremediation, this also represents a fundamental change. When such
fundamental changes or amendments are made to a remedy, the ROD process
(revised proposed plan, public comment period, public meeting,
responsiveness summary, and amended ROD) should be repeated. The
amended ROD must be placed in the AR. A fundamental change to the ROD
should be recorded as a new ROD in WasteLAN. Since the original ROD will
no longer be implemented, an 'S' (Suspended) should be placed in the
Event/Activity Planning Status data field (C2110). The new ROD event
should have an '£' (Anomaly) in the First and Subsequent Completion (FSC)
data field (C2116). Regions must also be sure to record the remedial
technology type (C3401 = RT) and remedial technology information qualifiers
(C3402 - C3411) associated with the new ROD. Regions will not receive
SCAP/Stratcgic Targeted Activities for Results System (STARS) credit for
RDT-1 • Decision Document Developed for amended RODs.
October 1993 A-18
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OSWER Directive 9200.3-14-1
Further information on ROD changes can be found in Interim Final
Guidance on Preparing Superfund Decision Documents, OSWER Directive
9355.3-02 and Guide to Addressing Pre- and Post-ROD Changes, OSWER
Directive 9355.3-02FS4, April 1991. Additional guidance on RODs is contained
in OSWER Directive 9355.3-02FS3, Guide to Developing Superfund No
Action, Interim Action, and Contingency Remedy RODs, April 1991. Copies
of all RODs and amended RODs should be sent to HSCD and CERCLA
Enforcement Division (CED).
No Further Remediation RODs
The universe of RODs where no further remediation is necessary includes
those RODs where:
• No action or no further action will be performed at the site or OU;
• Institutional controls, long-term monitoring and/or 5-year reviews are the
only actions that will be taken at the site/OU; or
• Ground water and/or surface water are the only media discussed in the
ROD and they will be cleaned up through natural attenuation.
These ROD events should be coded into WasteLAN as follows:
• Event Type (C2101) = 'RO' (ROD);
• Technical Information Type (C3401) = 'RT' (Remedial Technology); and
• Technical Information Qualifier (C3402) = 'AC' (Actions Deemed
Unnecessary), 'NA' (Necessary Actions Completed), or '1C' (Institutional
Controls).
EARLY REMEDIAL AND LONG-TERM ACTION DECISION REPORTING
PROCEDURES
As the Agency measures the progress made in meeting the requirements of
SARA, additional and more accurate information is required for RA and early
action under remedial authority activities. This information will be used to:
• Support and justify the response RA budget;
• Facilitate priority setting for Fund-financed RAs and early actions under
remedial authority;
• Provide cost tracking information for RAs and early actions under remedial
authority; and
A-19 October 1993
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OSWER Directive 9200.3-14-1
• Provide the capability to characterize RAs and early actions under remedial
authority projects and their associated costs.
The information on RAs and early actions under remedial authority that HQ
will collect and must be entered into WasteLAN by the Regions includes:
• RA cost estimates at different times during the remedial pipeline; and
• Technical information on the early action under remedial authority or long-
term action remedy.
Each of these will be discussed in greater detail in Appendix B.
Cost Estimate
The following cost information must be reported in WasteLAN:
• Draft FS Estimate for Fund-Financed and PRP RA or Early Action under
Remedial Authority Projects - Prior to ROD signature, Regions can
estimate the capital cost of cleanup based on the information contained in
the draft FS. This estimate is entered into WasteLAN with the FS event
(C2101 = FS or CO) and the Financial Type (C3202) of "E" (RA Cost
Estimate).
• ROD Estimate - When an F or FE-lead ROD is signed, the capital cost of
the early action under remedial authority or long-term action remedy
must be entered into WasteLAN with the ROD event (C2101 = RO) and
the Financial Type (C3202) of "E" (RA Cost Estimate).
If the ROD is amended, the new ROD capital cost should be entered with the
new ROD event (C2101= RO) with the Financial Type (C3202) of "E" (RA Cost
Estimate).
When an ESD is signed, a second entry with the new cost estimate is reported
with the original ROD (C2101= RO ) using the Financial Type (C3202) of "E".
The date of the ESD is placed in the Financial Date (C3220), and "ESD" is
entered in the Financial Note field (C3242).
Exhibit A-3 provides an example of the cost estimate coding requirements.
October 1993 A-20
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OSWER Directive 9200.3-14-1
Technical Information
When a ROD is signed, an ESD becomes a component of the issued ROD, or a
ROD is amended, the Region must enter the remedial technology for the RA
or early action under remedial authority into WasteLAN with the
appropriate ROD events. This is done by entering Remedial Technology or
Presumptive Remedy in the Tech Information Type data field (C3401 = RT or
PR). If the Technical Information Type is Remedial Technology (RT), the
specific technology(ies) also must be entered into WasteLAN in the Technical
Information Qualifier fields (C3402-C3411). The first ten remedial technology
treatment qualifiers are coded with a "I" in the Technical Information Type
Suffix (C3415). When more than 10 technologies are chosen, the Region
should adjoin the qualifiers to the ROD event by entering the appropriate
suffix number (C3415) in WasteLAN. One of the measures of success under
SACM is the use of presumptive remedies; therefore it is imperative that
Regions enter this information into CERCLIS.
If the ROD states that no remediation is required or ground water or surface
water will be cleaned up through natural attenuation, Regions should code
the Tech Information Type (C3401 = RT) with the ROD using the Actions
Deemed Unnecessary technical qualifier (C3402 = AC). If the ROD for the
final OU states that all necessary remediation is complete, Regions should
code the Tech Information Type (C3401 = RT) with the ROD using the
Necessary Actions Completed technical qualifier (C3402 = NA). If the ROD
states that the only action being taken is institutional controls or long-term
monitoring, Regions should code the Technical Information Type (C3401 =
RT) with the ROD using the Institutional Controls technical qualifier (C3402 =
1C). The "NA" event (no action ROD) should not be used.
Exhibit A-4 contains coding guidance for the remedial technology
information qualifiers, which are repeating fields. Exhibit A-5 contains the
WasteLAN remedial technology information qualifier codes.
Early Actions Performed by the Coast Guard
Removals may be performed by EPA, the State, the PRPs or the Coast Guard.
The Region is responsible for assigning each site where the Coast Guard is
taking action an EPA ID number and entering that number into WasteLAN.
The removal should be given a lead of Coast Guard (C2117 = CG). HQ will
provide Regions with the actual information from the Coast Guard on the
actions. Regions are responsible for entering this information into
WasteLAN.
A-21 October 1993
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EXHIBIT A-3
RA COST ESTIMATING CODING
Plan
Start
FY/Q
C2132
Plan
Comp
FY/Q
C2133
Budget
Source
Finan
Amount
Actual
Comp
Instructions
Draft FS estimate
=$10,000,000
ROD estimate =
$12,000,000 (Capital Cost)
entered when ROD
is signed
RD 90% estimate =
$13,500,000 entered when
RD is 90% complete
Total planned RA cost
originally entered 89/2
updated as better
information became
available
RA contract award =
$13,225,000 entered when
contract is awarded
RA contract award =
$14,000,000 entered when
contract is modified
S.
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EXHIBIT A-4
CODING GUIDANCE - REMEDIAL TECHNOLOGY INFORMATION
QUALIFIERS
Tech
Info
Type
Suffix
C3415
m
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O
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CO
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OSWER Directive 9200.3-14-1
EXHIBIT A-5
REMEDIAL TECHNOLOGY INFORMATION
QUALIFIER CODES
Code
Remedy Type
Specific Technology
Actions Deemed Unnecessary
Biodegradation/
Land Application
1C
LT
Institutional Controls
Implemented
Leachate
Collection/Treatment
Necessary Actions Complete
Other
ON
On-site
OS
Other Source Control
Remedies
Activated Sludge
Biodenitrification
Ex-Situ Biodegradation
Ex-Situ Bioremediation
In-Situ Biodegradation
In-Situ Bioremediation
Other
Deed Restriction
Drilling
Fishing/Swimming
Local Land Use Restriction
Public Water Supply Use
Other
Abandoned/Plugged Wells
Debris Treatment
Demolition
Discharge to a Stream
Fence
Monitoring
Natural Attenuation
Plume Management
Recycling
Relocation
Revegetation /Vegetation
Upgrading Existing Facilities
Slope Stabilization
Subsurface Water Diversion/Collection
Surface Water Diversion
Active Landfill Gas Collection
Asphalt Cover
Cap (other)
Clay Cap
Debris Removal
Deep Well Injection
Excavation
Groundwater Extraction/Injection (Hydraulic
Containment)
Landfill (unspecified)
Levees
Multilayer Cap
Pumping Contained Wastes
On-site RCRA Landfill (Above/Below Grade)
RCRACap
Slurry Wall
Sediment Excavation and Dredeine
SoilCap 6 6
Soil Cover
Other
On-site/Off-site Residual
Other
October 1993
A-24
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OSWER Directive 9200.3-14-1
EXHIBIT A-5 (continued)
REMEDIAL TECHNOLOGY INFORMATION
QUALIFIER CODES
Code
Definition
OT
Other Treatment Technologies
Passive Containment of Liquids
Pump and Treatment
RH
Alternate Water Supply
Incineration/Thermal Destruction
Off-site
SO
WF
Solidification/ Stabilization
Temporary Storage
Vacuum Extraction
Volatilization/Soil Aeration
Soil Washing/Flushing
Technology
Dechlorinization (APEG/KPEG)
Decontamination
Dewatering
Dehalorination
Ex-Situ Vitrification
In-Situ Flaming
In-Situ Flushing
In-Situ Vitrification
Off-site RCRA Treatment and Recycling
Solvent Extraction
Thermal Desorption
Other
Activated Carbon Units - Residential
Activated Sludge
Air Stripping
Carbon Adsorption
Coagulation
Electrochemical Reduction
Extraction
Filtration
Flocculation
Ion Exchange
Oil/Water Separator
Precipitation
Publicly Owned Treatment Works (POTW)
UV Ozonation
Wellhead Treatment
Other
Municipal Distribution System
Public Water Supply
Temporary Water Supply
Other
On-site
Off-site
Active Landfill Gas Collection
Debris Removal
Groundwater Extraction/Injection (Hydraulic
Containment)
Landfill (unspecified)
Off-site RCRA Landfill
Off-site Solid Waste Landfill
Pumping Contained Wastes
Sediment Excavation and Dredging
Soil Excavation
Other
Fixation
Neutralization
Other
On-site
Off-site
Soil Vapor Extraction
Other
Aeration
Flaring
Other
Ion Exchange
Metals Precipitation
Other
A-25
October 1993
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OSWER Directive 9200.3-14-1
GENERAL PLANNING AND REPORTING REQUIREMENTS
Event/Activity Lead Codes
Event/activity lead codes identify the entity performing the work at the site.
Exhibit A-6 shows the valid project/event lead codes in C1707 and C2117.
EXHIBIT A-6
EVENT/ACTIVITY LEAD CODES IN WASTELAN
Lead
Definition
F Fund-financed response actions performed by EPA (applies to
response events)
RP PRP-financed response actions performed by the PRP under a
Federal order/CD (applies to response events)
S Fund-financed response actions performed by a State - Money
provided through a Cooperative Agreement (CA) (applies to
response events)
PS PRP-financed response actions performed by PRP under a State
order/CD with PRP oversight paid for or conducted by EPA
through an EPA CA with the State, or, if oversight is not funded by
EPA, a State Memorandum of Agreement (SMOA) or other formal
document between EPA and the State exists which allows EPA
review of PRP deliverables (applies to response events)
SN State-financed (no Fund dollars) response actions performed by the
State (applies to response events)
SR PRP response under a State order/CD and no EPA oversight
support or money provided through a CA and no other formal
agreement exists between EPA and the State (applies to response
events)
CG Work performed by the Coast Guard - Limited to removals (applies
to response events)
MR Preauthori^ation mixed funding work performed by PRP under a
Federal CD with an agreement that the Fund will provide some
reimbursement to the PRP (applies to response events)
SE Enforcement activities performed by a State - Money provided
through a CA or, if not funded by EPA, a comparable enforcement
document exists (also applies to ROD events at SR-lead events)
FE Enforcement activities performed by EPA or work done by
enforcement program at private or Federal Facilities sites (also applies
to ROD events at RP- and PS-lead events). Historically (Pre-FY 89)
applied to RI/FS and RD response events
EP Response activities performed by EPA using in-house resources
FF Response activities performed by the Federal Facility with oversight
provided by EPA and/or the State at sites designated as Federal
Facilities on the NPL (also applies to RODs at Federal Facilities)
TR Indian Tribal Governments
October 1993
A-26
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OSWER Directive 9200.3-14-1
A lead code must be placed in WasteLAN for all response events (C2117) and
enforcement activities (C1707). Regions have the ability to code the lead for
project support activities (i.e., community relations, support agency assistance,
etc.) based on Regional preference. The national rule for coding project support
leads was eliminated in FY 92. Exhibit A-7 contains the guidance for coding
RODs based on the ESI/RI/FS leads. All enforcement actions (i.e., orders,
decrees, PRP searches, etc.) performed by EPA should have a lead of "FE" (Federal
Enforcement). All enforcement actions conducted by the State and should have
a lead of "SE" (State Enforcement). WasteLAN should not contain planned
obligations for projects with "SR" or "SN" leads. No funds will be provided for
activities with these leads.
EXHIBIT A-7
ESI/RI/FS and ROD LEAD CODES
ESI/RI/FS Project Lead ROD Lead
F,S,EP,TR
RP, PS, MR
SR
SN
FF
The Agency acknowledges that States can and have assumed the lead role in
reaching an agreement with the PRPs for response activities at NPL sites without
negotiating a cooperative agreement or other formal agreement with EPA (SR-
lead). However, the NCP has determined that in the absence of a formal
agreement the State will not be officially recognized as the "lead agency" for the
project and EPA will not concur on the remedy selected.
Lead Changes
A takeover or lead change occurs when the entity performing an event
changes after the event has started and credit has been given. Typically, this
occurs when a settlement with the PRP had been reached after the event started.
It may also occur when the Fund assumes a RP-lead project because of non-
compliance with an Administrative Order (AO) or CD.
In order to avoid delays resulting from PRPs assuming the lead during a
discrete phase of the project (a takeover), a policy has been established that limits
lead changes from EPA to PRPs in the middle of a phase of the Superfund
process, except in situations where the change will not cause undue delays
(OSWER Directive 9800.1-01, Limiting Lead Transfers to Private Parties During
A-27
October 1993
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OSWER Directive 9200.3-14-1
Discrete Phases of the Remedial Process, November 14, 1991). The policy applies
to lead changes from EPA to PRPs only, not EPA takeovers of PRP work or lead
changes involving States.
It is expected that much of the early site assessment activities under SACM
will be Fund-lead. However, response lead changes (i.e., changeovers) can occur
at any of the following points in the process:
• After the PA or expanded removal assessment;
• Prior to development of an EE/CA for a NIC removal action;
• Prior to the ESI/RI;
• Prior to the FS; or
• After the ROD is signed.
When circumstances warrant passing the lead to PRPs during a phase of
cleanup, steps should be taken to minimize potential causes of delay. For
example, if PRPs assume the lead during site screening and assessment, they
should be given a limit of 60 days to enter into an AOC for performing the work.
If a PRP is allowed to take over an ESI/RI or FS after dollars have been
obligated, the Region should retain the funds needed for PRP oversight for the
remainder of the FY and deobligate the rest. Additional funds for oversight in
future years should be obtained from the Regional enforcement extramural
budget.
When the Fund originally obligated dollars for site assessment activities and
a takeover occurs, Regions will have to request a change in account number
through their Regional Financial Management Office (FMO). The activity code
within the account number changes if the Agency is acting in an oversight role
as opposed to performing the response action.
RP-lead projects that are deficient or where the PRPs are recalcitrant may be
addressed by the response program. If the project requires substantial Fund
involvement to correct, it should be coded as a Fund takeover in WasteLAN.
If a takeover of a site assessment event does occur, a new WasteLAN record
must be created and the First and Subsequent Start (FSS) and FSC codes (C2115
and C2116) revised. A takeover does not create a new OU. The original
WasteLAN event must be updated to show the completion date as the date of the
takeover. The start date for the new WasteLAN event is also the date of the
takeover.
October 1993 A-28
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OSWER Directive 9200.3-14-1
The WasteLAN Event Takeover Flag (C2114) is manually maintained. A "T"
is used in this field to flag the original event which has the change in lead. The
new event has the event code and sequence number of the original event that
was taken over in the Event Takeover Flag field (C2114).
The placement of the FSS and FSC codes in the event of a takeover is
important. When the takeover of a site assessment event has occurred and work
has not proceeded past the workplan stage, the FSS and FSC codes should be
placed with the event that was taken over. However, if the takeover occurs after
the workplan stage, the FSS code is placed with the original event and the FSC
code is placed with the new event. Exhibit A-8 shows the proper placement of
the FSS/FSC codes in each of these circumstances. Lead changes between discrete
phases of the Superfund process are preferable to takeovers. However, EPA may
take over the lead for response activities from a PRP when the Agency deems a
lead change would be appropriate to maintain response integrity or to protect
human health and the environment.
EXHIBIT A-8
CODING OF TAKEOVERS
Event Takeover At Workplan Stage
Takeover
Flag
Plan Actual
Comp. Comp. FSS FSC Comments
7/29/88
11/30/88
11/30/88 11/30/88
12/15/90
SITE WIDE
SITE WIDE
Event Takeover After Workplan Stage or Removal Takeover
Takeover
Event Lead Flag
Actual
Comp.
FSS FSC Comments
11/15/87 4/30/90 4/30/89
4/30/89 2/20/90
9/10/92 7/31/93 12/5/92
12/5/92 8/31/93
E SITE WIDE
A SITE WIDE
E
A
First and Subsequent Starts and Completions
FSS and FSC codes (C2115 and C2116, respectively) are used to identify and
characterize the sequencing of event starts and completions at a site. ROD events
do not receive planned or actual start dates and, as a result, do not receive FSS
codes; however, FSC codes are required. If an event does not have actual start or
completion dates, the FSS and FSC codes are determined by the planned dates.
One of the codes shown in Exhibit A-9 must be assigned to each event as it is
entered into WasteLAN. Mass FSS/FSC data generation routines have been
implemented to ease data entry and maintenance burdens. When a date is
changed in WasteLAN for a project that causes the existing FSS/FSC codes to be
A-29
October 1993
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OSWER Directive 9200.3-14-1
invalid, the Region can use the WasteLAN mass generation routine to revise the
codes. The Region selects mass generation from the WasteLAN main menu and
highlights the FSS/FSC codes that need to be revised. WasteLAN will
automatically change these FSS/FSC codes.
The FSS/FSC codes are based on planned or actual event start and completion
dates, not the system generated sequence number. Thus, the first start of an
event, for example a FS, at a site is coded "A." If a second FS is started, the "A"
code for the first FS start must be changed to a "B" and the second FS is assigned a
"D" code. If a third FS is started, the first FS remains a "B," the second FS must
be changed from a "D" to a "C" and the third FS is assigned a "D" code. Event
completions use the same methodology. If there is one occurrence of each event,
all FSS/FSC codes are "A." Exhibit A-10 illustrates the use of FSS/FSC codes.
EXHIBIT A-9
FIRST AND SUBSEQUENT STARTS AND COMPLETIONS
A
B
C
D
E
First and only event at a a site
First of two or more events
Subsequent, but not final event
Final of two or more events
Anomaly
Anomalies are those projects that do not fit the normal definitions of
pipeline events and activities. Anomalies can be those projects that 1) do not
receive SCAP/STARS credit, but still need to be tracked, or 2) occur out of the
ordinary pipeline progression.
An example of a SCAP/STARS anomaly occurs when different entities
conduct FS work simultaneously that lead to a single ROD. Since it is
inconsistent to give credit for more FS starts than completions (the Agency
would have to explain why FS work is not leading to a ROD), only one FS can be
credited for starting. These projects are coded under the same OU with multiple
sequence numbers and the anomaly code ("E") in the appropriate FSS/FSC fields
(C2115 and C2116). (See Exhibit A-ll.)
It is necessary to update FSS and FSC codes each time an event is added.
Exhibit A-12 indicates combinations of FSS/FSC codes that are inconsistent with
the coding procedures.
October 1993
A-30
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OSWER Directive 9200.3-14-1
EXHIBIT A-10
OPERABLE UNIT AND FIRST AND SUBSEQUENT START
AND COMPLETION CODING
OPERABLE UNIT '00' AND REMOVAL EVENTS
Plan
Comp
FY/Q
Plan
Start
FY/Q
FSS FSC Comment
83/3
84/2
85/2
86/3
92/1
86/3
A A ENTIRE SITE
88/3
89/1
90/2
86/2
CR AcnvrnES FOR i ou
REMEDIAL EVENTS, ANOMALIES. AND PROTECT PHASING
OU
00
01
01
01
01
01
01
02
02
02
02
03
03
03
03
04
04
Event
SS
FN01
CO1
RO1
AN01
RD1
RD2
RA1
RA2
FS1
RO1
AN02
RD1
RA1
FS1
RO1
AN03
RD1
RA1
RD1
RA1
Lead
F
FE
S
F
FE
F
F
F
F
F
F
FE
F
F
F
F
FE
F
F
F
F
Plan
Start
FY/Q
93/4
87/1
87/3
88/3
89/1
89/2
90/3
90/3
94/4
95/3
95/4
96/2
95/4
96/2
96/3
97/1
96/2
97/4
^^^^^—g^^^^^^^—
Plan
Comp
FY/Q
95/4
87/3
88/3
88/3
89/1
90/2
90/3
91/1
94/1
95/3
95/3
95/4
96/2
97/1
96/2
96/2
96/2
97/1
99/1
97/4
98/4
^••^•^••^^^^^M
FSS
A
A
B
E
B
E
B
C
C
D
D
C
C
D
^^•^^^^H
FSC
A
A
B
E
B
E
B
B
C
C
C
D
D
C
D
D
C
^MI^^^H
Comment
SS WITH 2 FS PROJECTS LINKS
WITH OU02 FS & OU03 FS
LINK WITH OUOOSS
PHASE I
PHASED
PHASE I
PHASED
1ST FS FROM OUOO SS
EARLY ACTION INSTEAD OF RA -
NEED EARLY ACTION QUALIFIER
2ND FS FROM OUOO SS
2ND RD FROM OU03 ROD
2ND RA FROM OU03 ROD
•^^^^^^^^^^•^^^^^^^•^^^^H
A-31
October 1993
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OSWER Directive 9200 3-14-1
EXHIBIT A-ll
CODING ANOMALIES
SIMULTANEOUS FS WORK
ou
00
01
01
01
02
02
Event
SSI
FN01
FS1
FS2
RO1
FS1
RO1
Lead
F
FE
RP
F
F
F
F
Plan
Start
FY/Q
93/1
92/2
94/4
95/1
95/2
Plan
Comp
FY/Q
95/1
92/4
95/4
95/4
95/4
96/1
96/1
FSS
A
B
E
D
FSC
A
E
B
B
D
D
Comment
]
NO CREDIT FOR COMPLETION
NO CREDIT FOR START
EXHIBIT A-12
IMPOSSIBLE FSS AND FSC CODE
COMBINATIONS
More than one A, B, or D
An A and B
An A andD
An A andC
C without a D and B
B and C without a D
C and D without a B
Operable Units
The NCP defines OUs as "discrete actions that comprise incremental steps
toward the final remedy." An OU is the division of a project into meaningful
work elements (events) that can be implemented on different schedules,
resulting in acceleration of cleanups. OUs allow certain elements of a project to
be started ahead of others to lessen the hazards present at the site and to complete
some work elements ahead of more complex and hazardous work elements.
Each element can move at its own rate to completion, thereby preparing the site
for any further required remediation. Exhibit A-13 presents the criteria for
establishing OUs. Exhibit A-14 shows example of OUs.
The OU concept is one of the driving mechanisms for Superfund's budgeting,
planning, and accomplishment reporting processes. Since the inception of
October 1993
A-32
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OSWER Directive 9200.3-14-1
CERCLIS, OSWER has used a standard methodology to code, track, and evaluate
site progress. OUs were distinguished by using a combination of data fields that
made the event unique. This caused confusion and multiple interpretations of
OUs. The methodology currently being implemented uses OU numbers (CHOI -
Operable Unit Indicator), FSS/FSC codes (C2115 and C2116) and Links (see Exhibit
A-10). Links provides the technical ability to link response events or
enforcement activities with another event or activity. This capability allows
coding of discrete parts of response actions at sites in WasteLAN using unique
OU numbers.
EXHIBIT A-13
CRITERIA FOR OUs
Availability of existing information
Type of waste
Type of media involved
Technology requirements
Funding availability
Management considerations
Geographic location
EXHIBIT A-14
EXAMPLES OF FS OPERABLE UNITS
• Source Control
• Surface Water Cleanup
• Ground Water Cleanup
• Focused FS for Early Action Under
Remedial Authority
Two important capabilities of the OU methodology are:
• Coding, tracking, and consolidating multiple investigation activities into one
ROD; and
Tracking single RODs with multiple RDs and RAs.
Rules for coding OUs are summarized in Exhibit A-15.
A-33
October 1993
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OSWER Directive 9200.3-14-1
Sequence Numbers
If a site has multiple like-events (e.g., FSs or RODs) within a single OU,
WasteLAN automatically generates a sequence number for each event. The
sequence number is dependent on the order the event is entered into the
system.
Site Characterization
With the implementation of SACM, all site characterization activities (PA, SI,
ESI/RI (C2101 = SS), and expanded removal assessments (C2101 = EA)) are
conducted site wide and should be coded at OU '00.' (See Exhibit A-10.)
Multiple FS projects or early actions may be generated from the same ESI/RI.
These events are coded with different OU numbers if they address discrete
parts of the site cleanup. Links relates the ESI/RI to the different FS projects
or early actions. (See Exhibit A-10.)
EXHIBIT A-15
GROUND RULES FOR CODING SITE
ASSESSMENT AND REGIONAL DECISION
OPERABLE UNITS
PA, SI, ESI/RI are OU'00'
PRP, State, or EPA takeovers do not result
in separate OUs
Phased projects do not result in separate OUs
Each FS project and its associated RD or early
action under remedial authority are coded with
the same OU number as the ROD it is associated |
with; subsequent RODs must address an aspect
of the remedy not developed in the initial ROD
Project Support
Project support activities, such as community relations, aerial surveys, and
topographical mapping will sometimes address a single event or span
multiple events or even an entire site. In cases where the project support
event addresses a single response event, the project support event should be
coded with the same OU number as the response event. Where the project
support event spans multiple response events, it should be coded with the
October 1993
A-34
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OSWER Directive 9200.3-14-1
same OU number as the response event it is most closely related to and
linked to the additional response events as the other OUs it addresses. (See
Exhibit A-10.)
Links
The Links Module enables the integration of site assessment, response, and
enforcement data for a specific site in WasteLAN and CERCLIS. Links
graphically connects enforcement activities to enforcement activities,
enforcement activities to response events, and response events to response
events.
A graphic representation of the flow of events and activities at a site, called a
site map, can be generated using Links. The site map shows the relationship of
events and activities at the site and indicates whether the event/activity is
completed, planned, or ongoing. Once the sequence and relationship of events
and activities has been determined, they are linked using the Links rules.
Events and activities and the appropriate links are entered as the site is
planned. If an activity or event does not occur as planned, those
activities/events must be modified and the related link record deleted and
updated, as appropriate. For additional information on the Links Module and
OUs, please refer to the Links Coding Guidance, May 1992.
To Be Determined (TBD) Sites
Under certain circumstances, Regions may not be able to identify all the sites
necessary to meet SCAP targets. This may occur for ESI/RI and FS starts.
In such cases, Regions may enter planning data into To Be Determined (TBD)
site records. WasteLAN provides the capability, through the use of a temporary
EPA identification number (EPA ID), to set up temporary site records as TBDs
until the actual site is identified. Following are procedures for handling SCAP
TBD sites and associated planning data in WasteLAN.
The key data field for site and related records is the EPA ID. This number is
twelve characters in length with the first two characters identifying the State in
which the site is located. The remaining digits uniquely identify a site within the
State. The method of handling TBD sites in WasteLAN must be consistent with
guidance for assigning EPA IDs to valid Superfund sites.
The procedure for assigning temporary numbers is as follows. Each SCAP
TBD site to be entered into WasteLAN will be assigned a unique 12-character
EPA ID which is constructed from Regionally assigned State codes and numbers.
The temporary State codes shown in Exhibit A-16 for each Region would be used
in the first two positions of the temporary ID. The third position of the code will
A-35 October 1993
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OSWER Directive 9200.3-14-1
always be "T" which further identifies the site as being a "TBD" site. The
remaining nine digits will be selected from the 1,000 numbers purchased from
Dun & Bradstreet by HQ and allocated to each Region.
An example of the use of the code is as follows. Region I has three TBD sites
for ESI/RI starts to be entered into WasteLAN. EPA IDs to be used for the three
sites are as follows:
• TBD site #1 - ZAT982565053
• TBD site #2 - ZAT982565061
• TBD site #3 - ZAT982565079
At the time a real site is determined for TBD site #1, the site and associated
data for EPA ID ZAT982565053 are deleted from the WasteLAN data base.
Subsequently, the appropriate planning data are added to the real site in the
WasteLAN data base. The temporary number, ZAT982565053, is then recycled
for future use.
EXHIBIT A-16
TEMPORARY STATE CODES
Temporary State Code
When multiple OUs at a site are involved, Regions should schedule the
subsequent starts and associated core activities when planning the first ESI/RI
start at the site to the maximum extent possible. Subsequent starts should be
scheduled even if they are not planned to begin in FY 94. Even though TBDs are
being used for target setting purposes, Regions must have real sites in
WasteLAN that can be substituted at a later date for the temporary sites.
October 1993
A-36
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OSWER Directive 9200.3-14-1
Do not record actual financial data with TBD sites. Regions should be sure
that this information is reported with the real site data. Placement of actual
financial data with a TBD site record prohibits the deletion of the TBD site record
from the WasteLAN data base.
Ecological Risk Assessments
Agency policy requires a human health risk assessment and an ecological risk
assessment be conducted at every NPL site. An ecological risk assessment
evaluates the harm to the environment posed by hazardous substances at a site.
The results of the ecological risk assessment are used by the Natural Resource
Trustee(s) to decide whether or not to grant a covenant not to sue for natural
resource damages pursuant to CERCLA section 122(j). If there are natural
resource damages or if natural resources are at risk, but these damages or risks
are not documented, the Trustees will not grant a covenant. It is EPA's
responsibility to conduct the ecological risk assessment and determine the
appropriate response actions to address those risks. Depending on the site, an
ecological risk assessment can be conducted for the entire site or on an OU basis.
The ecological risk assessment should be completed prior to ROD signature.
At sites where EPA is negotiating with the PRPs for early or long-term actions
and an ecological risk assessment has not been done, but where there will be a
subsequent ROD for an additional OU, delays can be avoided by preparing the CD
with a "reservation of rights" provision. This reserves the opportunity for the
Trustees to bring a claim for natural resource damages at a later time. When
negotiating at a site with only one ROD, or if it is the final OU for a site, the CD
for that OU must contain either a covenant not to sue, or a reservation of rights.
PRPs are beginning to refuse to sign CDs that do not contain covenants not to
sue. The result is no settlement until an ecological risk assessment is completed.
Planning for Response Mega-Sites
FY 94 Regional requests in WasteLAN for Fund-financed ESI/RI/FS starts
should be limited to an average of $1,157,000 per project, and all ongoing Fund-
financed and PRP RI/FSs (except mega-sites) should be fully funded. The
$1,157,000 limit and full funding requirement do not pertain to response mega-
sites (sites with total ESI/RI/FS projects in excess of or expected to exceed $3
million). There are over 20 sites nationally that currently come under the mega-
site definition. In light of increased stress on the Superfund budget, a national
initiative is being undertaken to scrutinize the management plans for these sites.
The mega-site management plan should characterize site problems and
management options. Mega-site management plans require joint development
by response and enforcement personnel including ORC. The purpose of the plan
is to document the Region's approach for managing the site, to identify
coordination options, and to project total resource requirements for the site.
Mega-site management plans are to be completed annually and submitted to
A-37 October 1993
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OSWER Directive 9200.3-14-1
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
BUDGET AND FINANCIAL MANAGEMENT
This section of the Appendix discusses the site screening and assessment/
Regional decision budgets, the criteria used to develop the Regional budgets,
financial planning for the Advice of Allowance (AOA), and the availability and
management of contractor resources.
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
ANNUAL REGIONAL BUDGET
The proposed site screening and assessment budget was established based on
the need to:
• Implement the SACM integrated site screening and assessment function;
• Reduce the SIP backlog by FY 97 and quickly identify "worst first" sites; and
• Assess sites early as they are discovered.
Exhibit A-17 contains the national average pricing factors for the major site
screening and assessment/Regional decision activities. The criteria used to
develop the FY 94 Regional budget is different from the allocation process used
in previous years. For FY 94, the Regional budgets were developed as follows:
• The national budget was prepared based on the site schedules in CERCLIS, the
criteria shown in Exhibit A-17, and the SACM process;
• 90 percent of a Region's budget was based on its FY 91, FY 92, and FY 93 actual
site characterization, RI/FS, and other response obligations; and
• The remaining 10 percent was allocated to the Region based on the final
negotiated targets.
The same procedures will be followed for the development of the FY 95
budget.
Fund-Financed ESI/RI/FS Funding Strategy
Successful implementation of the Fund-financed ESI/RI/FS full funding
strategy requires meeting the RI/FS cost reduction goals initiated in FY 89. This
requires that ESI/RI/FS costs be reduced to a national average of $1,157,000 per
site. A Region's RI/FS and part of its site characterization budget are developed
based on the full funding strategy.
A-39 October 1993
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OSWER Directive 9200.3-14-1
EXHIBIT A-17
SITE SCREENING AND ASSESSMENT
PRICING FACTORS AND BUDGET DEVELOPMENT CRITERIA
Activity
Level of Effort
(LOE) - Hours
Dollars
PA
Federal Facility PAs
SI
Site Inspection
Prioritizations
ESI
RI
FS
Mega-site ESI/RI/FS
HRS Package
Development
(Federal Facility
and non-Federal
Facility)
Ongoing RI/FS
Project Support
Technical Assistance
Grants (TAGs)
Core Program
Cooperative Agreements
(CPCAs)
Contract Management
130
45
440
200 (Average)
1,050
550
$6,840 per site based on number
of PAs planned
$2,565 per site based on the number
of Federal Facility PAs planned
$22,800 per site based on number
of Sis planned
$57,000 per site
$737,000 per site
$363,000 per site
Negotiated between HQ/Region
Based on number of projects and
funds obligated in previous FYs
Based on each Region's share of
negotiated response targets
$50,000 per NPL site with
response work ongoing in FY 93
Based on State CPCA draw
down or current hands
Based on number of contracts in
each Region. Funds are allocated
to Regions that have Project
Officers.
October 1993
A-40
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OSWER Directive 9200.3-14-1
Treatability studies are not included in the cost goals. These activities are
funded as a separate event.
Support agency assistance or other forms of State assistance should be funded
as project support or CPCA funds and not as part of the ESI/RI.
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
ADVICE OF ALLOWANCE
The following AOAs for site screening and assessment activities are issued
by the Office of the Comptroller (CXI) on a non-site specific basis. OERR has
proposed that the RD, site characterization, and RI/FS allowances be combined in
FY 94. As a result, the following allowances will be issued in FY 94:
• Site Characterization — Includes funds for PA, SI, and removal assessments,
ESI/RI, FS, EE/CA, RD and oversight of RP-lead RDs, RAs early actions under
remedial authority, NTC removals, O&M, five year reviews, and Long-Term
Response Action (LTRA); and
• Other Response — Includes response program and project support.
Budget Development
Site specific planned obligations for ESI/RI and FS projects are entered directly
into WasteLAN in the appropriate event record for the site (C2101 = SS, ES, CO,
RI, or FS). Funds for EE/CAs are also planned site specifically and are placed into
WasteLAN with the removal event (C2101 = RV). The planned obligation date
(C3218), amount (C3230), financial vehicle (C3239), budget source (C3229), and
priority funding status (C3225) are to be entered.
Planned obligations for PAs, Sis, and program support are entered into the
non-site portion of WasteLAN. The planned obligation amount (P1420), the
budget source (P1416), priority funding status (P1419), and number of sites (P1417)
to be funded are to be entered.
During the development of the budget, project support and removal
assessment funding needs can be planned site specifically or non-site specifically
by event type in the non-site portion of WasteLAN. If the planned obligations
for these events are site specific, the following information must be entered into
WasteLAN: planned obligation date (C3218); amount (C3230); financial vehicle
(C3239); budget source (C3229); and priority funding status (C3225). Non-site
specific project support and expanded removal assessment funding needs require
the following information in WasteLAN: planned obligation amount (P1420);
budget source (P1416); priority funding status (P1419); and number of sites to be
funded (P1417).
A-41 October 1993
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OSWER Directive 9200.3-14-1
Those events at sites that have the greatest likelihood of requiring funding
during the FY that are within the Region's budget allocation should be identified
by placing "APR" (approved) in the Funding Priority Status field (C3225 and
P1419). The approved site specific or non-site specific planned obligations for site
screening and assessment activities, EE/CAs, and FS projects must be designated
with a budget source code (C3229 or P1416) of "R" (Remedial). These totals are
placed in the site characterization or other response AOAs. CERCLIS financial
reports (SCAP-4 and SCAP-21) provide a total for the site specific and non-site
specific planned obligations for the purpose of developing and issuing the AOA.
Project Support Activities
During the operating year, project support activities needing funds in the
upcoming quarter must either be planned site specifically in WasteLAN prior
to generation of the CERCLIS AOA report, or a quarterly breakout (by activity)
of the annual funding need must be provided in CERHELP.
If the Regional project support budget is established non-site specifically, then,
regardless of whether the quarterly planning is site or non-site specific, the
total annual project support budget must be reduced by the quarterly funding
needs prior to HQ placement of the AOA in CERHELP. If a Region plans
project support activities non-site specifically, the planned funding amount
in CERHELP must be reduced as the site specific funding documents are
processed. Failure to make these adjustments could cause the Region to
exceed its annual budget and result in withholding approval of their AOA.
Regions should also plan the conduct of aerial surveys and topographical
mapping by the Environmental Management System Laboratories (EMSL) or
other technical assistance from entities within EPA (e.g., ORD). To the
maximum extent practicable, the necessary funding should be planned in
WasteLAN prior to the FY. These project support activities are to be funded
out of the Region's annual budget
Technical Assistance Grants
The Region should budget Technical Assistance Grant (TAG) funds at Fund
or RP-lead sites based on its knowledge of which communities may request
such grants. Since many communities may decline to apply for various
reasons, the Region should not assume that every site will require a TAG.
Funds for TAGs at Fund-financed or RP-lead sites are in the response budget
and can be found in other response AOA. TAGs at Federal Facilities are
funded by the Federal Facility budget and are found in the Federal Facility
AOA. Regions should negotiate reimbursement of TAG costs at the Federal
Facility during LAG discussions. The Regions are to administer the TAGs at
Federal Facilities.
October 1993 A-42
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OSWER Directive 9200.3-14-1
Obligating Funds
Funds for PA, SI, ESI/RI, FS, EE/CA, removal assessment, and project support
activities are obligated site specifically. Funds for program support activities (e.g.,
contract management) are obligated non-site specifically.
Funds for EMSL or another EPA entity can be obligated through a
Procurement Request (PR) or through an AOA change request. The AOA change
request is the preferred method. Regions must be sure to change the budget
source in WasteLAN to a HQ account after the change request is processed. (See
Volume I, Chapter HI for additional information on budget source codes and
change request procedures.) In either situation, a Statement of Work (SOW)
should be prepared before the paperwork is processed. The SOW should clearly
identify the site name, tasks that will be performed, any deliverables that are
required, the time frames for performance, and the funds that will be transferred.
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
CONTRACTOR RESOURCES
The Superfund LTCS provides mechanisms for greater contractor flexibility
and improves oversight and cost management by giving Regions full
responsibility for contract management. The LTCS anticipated many of SACM's
underlying principles. For example, LTCS combines site assessment and
response technical assistance functions under a single Superfund Technical
Assistance and Response Team (START) contract.
In addition to the EPA in-house staff, resources for conducting site screening
and assessments include:
• START — Will provide technical services, including well drilling and
monitoring, geophysical investigative support, sampling and sample
analyses, engineering analyses, aerial photography, geotechnical consulting
services, community relations support, data management, and quality
assurance. The START contracts are scheduled to be awarded in September
1994;
• ARCS — Can be used for technical services, including well drilling and
monitoring, geophysical investigative support, sampling and sample
analyses, engineering analyses, waste disposal, aerial photography, drum
removal, geotechnical consulting services, and analytical services. The
Response Action Contracts (RACs) will replace ARCS by FY 97;
• Technical Assistance Team (TAT) — Provide technical support including
sampling, procurement of field and laboratory analyses, community relations
A-43 October 1993
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OSWER Directive 9200.3-14-1
support, data management, and quality assurance. Once in place, the START
contracts will replace TAT;
• Site Specific Contracts — Can be used for actions that are straightforward or
uncomplicated. These contracts take about 4 months to complete and are
preferable because they promote competition;
• USAGE and BUREC — Can provide technical services, including well drilling
and monitoring, geophysical investigative support, sampling and sample
analyses, and engineering analyses; and
• States — States have the ability to do a variety of Superfund work, including
well drilling and monitoring, geophysical investigative support, sampling
and sample analyses, and engineering analyses.
Assignment of Site Screening and Assessment Work
Each of the entities discussed above has the capacity to do a certain amount of
Superfund work. It is essential that the assignment of work be balanced with the
capabilities of the various entities. HSCD will track the workload distribution
between ARCS and USAGE based on information in CERCLIS.
When site assessment and long-term action or early action under remedial
authority assignments are planned for different entities, a smooth transition is
necessary. This can be easily achieved by giving a technical assistance assignment
to the entity that will be performing the long-term action or early action under
remedial authority during the FS. The purpose of the assignment would be to
review the FS and provide input on the ROD.
In order to convey ARCS contract information to HQ, the five character
Financial Vehicle data element in WasteLAN (C3239) will be used to identify the
type of contract, the Region, and the name of the ARCS contractor. If an entity
other than the ARCS contractor will perform the work, the first three positions
of the five character Financial Vehicle data element are used to identify the type
of contract, and the last two characters should be blank. For example, if the
activity is assigned to the USAGE, the Financial Vehicle entered should be "COE"
("BUR" for Bureau of Reclamation projects). If the activity is assigned to ARCS,
the first three characters of the Financial Vehicle data element should be "ARC."
The fourth and fifth characters identify the particular ARCS contractor. Exhibit
A-18 contains the codes to be placed in characters four and five based on the
existing ARCS contractors. During event/activity planning stages, work that will
be assigned to the ARCS contractors should be identified by placing "ARC" in the
Financial Vehicle. The name of the ARCS contractor should be placed in
WasteLAN when inputting the actual obligation data. The Region should place
the amount of the funds needed for ARCS program management in the non-site
portion of the WasteLAN data base by contractor.
October 1993 A-44
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OSWER Directive 9200.3-14-1
If Regions are planning to use ARCS contractors and pay for them through
the Regional enforcement extramural budget or Federal Facility budget, the same
codes should be used.
EXHIBIT A-18
ARCS CONTRACTOR CODES
Contractor
Arthur D. Little
Bechtel
Black & Veatch
Camp, Dresser & McKee
CH2m Hill
Donohue & Associates
EBASCO
Ecology & Environment
Fluor Daniel
ICF-Kaiser
Jacobs Engineering
Malcolm - Pirnie
Metcalf & Eddy
Morrison & Knudson
NUS Corporation
PRC Environmental
Sverdrup
TAMS Consultants
Tetra-Tech
TRC Environmental
URS Corp.
Roy F. Weston
WW Engineering
Code
A-45
October 1993
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OSWER Directive 9200.3-14-1
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Intentionally Blank
October 1993 A-46
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OSWER Directive 9200.3-14-1
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
FY 94 SCAP/STARS TARGETS AND MEASURES
OVERVIEW OF FY 94 SITE SCREENING AND ASSESSMENT/REGIONAL
DECISION TARGETS AND MEASURES
Superfund cleanup results are measured through targets and measures that track
progress on three distinct levels: STARS, SCAP, and internal.
SCAP and STARS targets are the tools by which program goals are translated
into quantifiable program achievements. Regions should concentrate their resources
on achieving targets negotiated and set by HQ and the Regions.
STARS is used by the Administrator to set and monitor the progress each
program is making toward meeting its environmental goals. SCAP is used by the
AA SWER, OE, the Office of Federal Facilities Enforcement (OFFE), and senior
Superfund managers to monitor the progress each Region is making toward
achieving its Superfund goals. National and Regional STARS goals are established
and tracked through SCAP. STARS targets are a subset of those contained in SCAP.
Those Superfund activities not tracked at the STARS or SCAP level are
monitored by HQ for internal management purposes.
TARGETS AND MEASURES
A SCAP or STARS target (either semi-annual or annual) is a pre-determined
numerical goal that is negotiated by HQ and the Regions prior to the FY to ensure
that designated activities will take place. All STARS targets are SCAP targets. Ten
percent of a Region's annual budget is established based on STARS and SCAP
targets.
A STARS and/or SCAP measure is used to track an activity that is important in
monitoring overall program progress. The two types of measures are STARS
reporting and SCAP planning/reporting measures. Planning estimates result in
numerical goals established prior to the FY that are used in setting annual budgets.
Regions report progress against the planning estimates. STARS/SCAP reporting
measures have no associated quantitative goals; only actual accomplishments are
tracked.
HQ has developed internal management planning and reporting measures to
monitor activities not currently tracked at the STARS/SCAP level. These measures
are used by HQ for trend analyses and to evaluate progress through the cleanup
pipeline.
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OSWER Directive 9200.3-14-1
STARS/SCAP accomplishments will be pulled from CERCLIS on a quarterly
basis. Regions are evaluated semi-annually according to their completion of
activities within established target areas.
DEVELOPMENT OF FY 94 STARS/SCAP TARGETS/MEASURES
Site screening and assessment and Regional decision STARS/SCAP targets and
measures for FY 94 are broader in scope than in FY 93. A concerted effort has been
made to combine targets and measures that in the past were tracked separately to
provide maximum flexibility to the Regions for program implementation and
provide incentives for conducting actions at NPL caliber sites prior to NPL proposal.
By incorporating and tracking on a broader level, the FY 94 site screening and
assessment/Regional decision targets and measures provide more program-wide
measures of progress being made towards site cleanup not just those activities at
NPL sites. In addition, the trend established a few years ago not to develop lead-
specific or event-specific targets and measures has been maintained. However, these
subgroups will continue to be tracked for internal management purposes in order to
assess, among other things, the level of PRP participation.
Every attempt has been made to equate SACM activities and definitions to pre-
SACM activities and definitions. Many of the targets/measures and definitions in
FY 94 embody the FY 93 targets/measures. For example, the FY 93 Number of
Remedial Program Remedies Selected (ROD) and Action Memoranda Signed for
Removal Actions at NPL Sites is characterized in FY 94 as RDT -1 • Decision
Document Developed.
The following pages contain, in pipeline order, the definitions of the FY 94 site
screening and assessment/Regional decision SCAP/STARS targets and measures
(with the prefix SSA or RDT and an identifying icon), internal management planning
and reporting measures, and site screening and assessment project support
activities. Exhibit A-19, displays the full list of site screening and assessment and
Regional decision activities with definitions in this Appendix. Exhibit A-20 provides
a crosswalk of the FY 94 site screening and assessment/Regional decision targets
and measures organized in pipeline order. FY 94 targets and measures that are
similar to those in FY 93 are identified. Exhibit A-21, at the end of this Appendix,
describes the planning requirements for all site screening and assessment/Regional
decision activities.
October 1993 A-48
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OSWER Directive 9200.3-14-1
EXHIBIT A-19
SITE SCREENING & ASSESSMENT/REGIONAL
DECISION ACTIVITIES
SSA-1 Site
Characterization Starts
PA Completions
SI Completions
Site Inspection
Priori tizations
SSA-2 Site Screening &
Assessment Decisions
Regional Decisions
Community Relations
Support Agency Assistance
Technical Assistance
Technical Assistance
Grants
RI Starts
ESI/RI Completion
FS Starts
Combined RI/FS Starts
FS Report to Public
RI/FS Duration
RDT-1 Decision Document
Developed
STARS
-
-
-
-
Measure
-
-
-
-
-
-
-
-
-
-
-
Target
^^•^•I^^^^MM^
SCAP
Measure
-
-
-
Measure
-
-
-
-
-
-
-
-
-
-
-
Target
^••^^••^•^H
NTERNAL!
-
Reported
Planned
Planned
-
Reported
-
-
-.
-
Planned
-
Planned
Planned
Reported
Reported
^__^^^^_^_
Semi-annual targets are established in SCAP/STARS .
Accomplishments are pulled from CERCLIS on a quarterly basis.
Internal measures are reported semi-annually.
A-49
October 1993
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OSWEF Directive 9200.3-14-1
EXHIBIT A-20
SITE SCREENING AND ASSESSMENT/REGIONAL
DECISION
TARGET/MEASURE CROSSWALK
FY 94 Target/Measure
Similar FY 93
Target/Measure
Comments
SSA-1 - Site
Characterization Starts
(SCAP measure)
None
New
SSA-2 - Site Screening
and Assessment
Decisions (STARS/
SCAP measure)
None
New
RDT-1 - Decision
Document Developed
(STARS/SCAP target)
• Decision Document
Development -
Remedies Selected and
Action Memoranda
Signed (SCAP/STARS
target)
• First Remedy Selected
at NPL Sites - ROD
(SCAP target)
• Subsequent Remedy
Selected at NPL Sites -
ROD (SCAP target)
• Deleted special
reporting requirements
for PRP-lead removals.
• This measure will
include NPL, non-NPL, |
and NPL caliber sites.
• A Technical
Information Type will
be required for sites
where presumptive
remedies are selected.
October 1993
A-50
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OSWER Directive 9200.3-14-1
STARS/SCAP ICONS
For easy identification of STARS/SCAP targets and measures, each
STARS/SCAP activity or duration is identified by an easily recognizable icon. Each
icon identifies an activity or duration as a target or measure, and whether it is
tracked through STARS and/or SCAP. The icons are as follows:
STARS/SCAP
Target
STARS/SCAP
Measure
SCAP Target
SCAP Measure
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION DEFINITIONS
SSA-1 • Site Characterization Starts
Definition of Target/Measure:
Site characterization involves 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, ESI/RI, or removal assessment at a site.
Definition of Accomplishment:
The Region will receive credit for a site characterization start when:
• EPA or the State approves, in writing, the sampling plan (work plan) at a site for
the first SI (C2101=SI) or removal assessment (C2101=EA) and the actual start
date is reported in WasteLAN; or
• Funds are obligated for the first ESI/RI (C2101 = SS) and the actual start date is
reported in WasteLAN. Funds are obligated when the Contracting Officer (CO)
signs the contract modification, the Regional Administrator or his/her designee
signs the Cooperative Agreement (CA), or an LAG is signed by the other Federal
agency (i.e., USACE or BUREC).
Regions will only receive credit for the first site characterization event started at a
site.
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October 1993
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OSWER Directive 9200.3-14-1
Changes in Definition FY 93 - FY 94:
This is a new SCAP measure for FY 94.
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 Sis, ESI/RIs, and removal assessments are contained in the site
characterization AOA.
PA Completions
Definition:
A PA is the first stage of site assessment which determines whether a site should be
recommended for further CERCLA action. Federal, State, and local government
files, geological and hydrological data, and data concerning site practices are
reviewed to complete the PA report. A site reconnaissance is also conducted.
Definition of Accomplishment:
A PA is complete when the report is reviewed and approved by the Region and
WasteLAN contains the actual PA completion date, a valid event lead (C2117), and
the decision on whether further activities are necessary is shown in the Event
Qualifier Field (C2103).
Changes in Definition FY 93 - FY 94:
PA Completions will no longer be tracked as a SCAP reporting measure in FY 94;
however, the first PA completion at a site will continue to be reported for internal
management purposes.
Special Planning/Reporting Requirements:
For budget and resource allocations, a projection must be made in CERHELP for
State PA completions. PA completions (C2101=PA) are reported site specifically in
WasteLAN. Only the first PA completion at a site will be tracked. PAs at Federal
Facilities will be tracked separately.
SI Completions
Definition:
The SI involves collection of field data from a hazardous substance site for the
purpose of characterizing the magnitude and severity of the hazard posed by the site
and/or to support enforcement. An SI should provide adequate data to determine
the site's HRS score.
NOTE: SI start dates are also required (see SSA-1, Site Characterization Starts).
October 1993 A-52
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OSWER Directive 9200.3-14-1
Definition of Accomplishment:
A SI is complete when:
• A Site Inspection Report has been received by the Region from the ARCS
contractor or the State;
• The report has been reviewed and approved by the appropriate Regional official;
• The appropriate Regional official decides whether further site evaluation work is
necessary; and
• The following has been recorded in WasteLAN: the SI report approval date as
the actual SI complete date, a valid event lead (C2117), and a decision on the
need for further action in the Event Qualifier data field (C2103).
Changes in Definition FY 93 - FY 94:
SI Completions will no longer be tracked as a SCAP target in FY 94; however, the
first SI completion will continue to be planned and reported for internal
management purposes.
Special Planning/Reporting Requirements:
For budget and resource allocations, separate projections must be made in
CERHELP for EPA vs. State SI completions. SI completions (C2101=SI) are reported
site specifically in WasteLAN. Only the first SI completion at a site will be tracked.
Sis at Federal Facilities will be tracked separately.
Site Inspection Prioritization
Definition:
The SIP requires the gathering of data to update the site evaluation and determine
whether the HRS score is greater than 28.5, if the site should be designated SEA or
deferred to another authority.
Definition of Accomplishment:
A SIP is complete when a revised HRS score is generated, the SIP report is accepted
by the Region, and a decision has been made to:
• Designate the site SEA;
• High or low priority to conduct an ESI/RI and NPL listing; or
• Defer the site to another authority (i.e., RCRA Title C or NRC personnel).
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OSWER Directive 9200.3-14-1
The following information must be entered into WasteLAN:
• Enter the SIP as a subevent to the last SI (C2101 = SI and C3101 = SP);
• Enter the actual completion date when the SIP report (including revised HRS
score) is accepted by the Region in writing; and
• Delete the event qualifier (C2103) for the SI and enter the decision made upon
completion of the SIP in the Event Qualifier data field (C2103).
Changes in Definition FY 93 - FY 94:
This is a new internal planning measure.
Special Planning and Reporting Requirements:
See Definition of Accomplishment. SIPs are reported site-specifically in WasteLAN.
SSA-2 • Site Screening and Assessment Decisions
Definition of Target/Measure:
Site screening and assessment decisions are made at all Superfund sites and identify
how to proceed with site response. These decisions include: SEA, perform an early
action, prepare the HRS package, perform a response action as part of a "parent NPL
site/1 and deferral to another authority (NRC or RCRA Subtitle C).
Definition of Accomplishment:
Credit is given for each site screening and assessment decision at a site that
identifies how to proceed with the site or Operable Unit (OU), including when:
• Superfund site assessment activities are suspended and a SEA determination is
made when the site assessment report (i.e., PA, SI, etc.) is reviewed and
approved by the appropriate Regional official. No further Superfund actions will
be taken at a site with a SEA determination. The date of the SEA determination
must be entered as the actual completion date of the appropriate site screening
and assessment event when the decision was made. In addition, a valid lead
(C2117) and the event qualifier for no further remediation planned (C2103 = N)
must be entered into WasteLAN; or
• The RDT or other Regional personnel determines that a time critical or NTC early
action under removal authority or an early action under remedial authority is
necessary. This decision must be documented in a memo to the file. The date of
the Regional decision (C2101 = DT) as the actual completion date, and the
October 1993 A-54
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OSWER Directive 9200.3-14-1
appropriate early action Event Qualifier (C2103 = R, V, or J) must be entered into
WasteLAN; or
• The RDT or other Regional personnel determine that sufficient data exist to
indicate the site may require long-term action and a decision is made to begin
preparation of the HRS package. This decision must be documented in a memo
to the file. The date of the Regional decision to begin preparing the HRS package
(C2101 = DT) as the actual completion date and the Hazard Ranking System
Package Development Event Qualifier (C2103 = G) must be entered into
WasteLAN; or
• A decision is made to collapse or combine a site into another "parent NPL site"
(C0305 = A, "Aggregate"). This would be done when contamination at a non-
NPL site is being addressed by cleanup actions at a NPL site. This type of action
would typically be taken at Federal Facilities or an area-wide ground water
contamination problem that results from multiple sources. In this situation, the
parent site EPA ID number must be entered into WasteLAN (C0306) with the
child site. Upon completion of the site assessment activity that led to the
decision to aggregate the site, the Region should enter "A" (Aggregate) in the
Event Qualifier data field (C2101= PA, SI, ES, or SS and C2103=A). This decision
should be documented in the form used to approve the site assessment report.
After a site is collapsed into the parent site, no further work is recorded with the
original site. Any further response work performed at these collapsed sites is
recorded as a separate OU and assigned to the parent site. The changes in the
data base to allow this coding are currently under development; or
• A determination is made that the site is excluded from Superfund consideration
under policy, regulatory, or legislative restrictions and it is deferred to another
authority (NRC or RCRA Subtitle C). The date of the decision must be entered as
the actual completion date of the appropriate site screening and assessment event
when the decision was made. The decision is documented in the form used by
the Region to approve the site assessment report. In addition, a valid lead
(C2117) and the event qualifier (C2103 = D) must be entered into WasteLAN with
the applicable event at which the decision is made.
Changes in Definition FY 93 - FY 94:
This is a new STARS/SCAP measure for FY 94.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The date of the Regional decision to begin an
early action, list the site on the NPL or aggregate the site with a parent site; the date
of the determination that the site is excluded from Superfund; or the date of the SEA
are to be entered into WasteLAN. Also enter the appropriate qualifiers with the site
screening and assessment event (i.e., C2101= PA, SI, ES, or SS). Accomplishments
are reported site-specifically in WasteLAN. This is a STARS/SCAP measure.
A-55 October 1993
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OSWER Directive 9200.3-14-1
Regional Decisions
Definition:
This measure will track decisions made by the Region (including the RDT) on
whether to perform site assessment and enforcement activities 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 following information on Regional decisions must be entered into WasteLAN:
• The dates of the Region's decisions on appropriate response actions (C2101 = DT)
as the actual completion dates. Each decision must be documented in a memo to
the file and reported separately.
• The response or enforcement decision made in the Event Qualifier data field
(C2103).
Changes in Definition FY 93 - FY 94:
This is a new internal reporting measure in FY 94.
Special Planning/Reporting Requirements:
This is an internal reporting measure. See Definition of Accomplishment for
information on the WasteLAN reporting requirements.
Community Relations
Definition:
Community Relations (CR) are the activities conducted in accordance with SARA,
the NCP, and the Community Relations Handbook to involve the community in
response activities conducted at a site.
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 AO, 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.
October 1993 A-56
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OSWER Directive 9200.3-14-1
The completion of CR is the deletion of the site from the NPL or the conclusion of an
early removal action at non-NPL or NPL caliber sites.
Changes in Definition FY 93 - FY 94:
Added non-NPL and NPL caliber sites.
Special Planning/Reporting Requirements:
CR activities at PRP sites or Federal Facilities are paid for by the Regional
enforcement extramural budget or Federal Facility budget, respectively. 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 enforcement, 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 under remedial authority support agency costs, may be
documented under a single Superfund account number designated specifically for
support agency activities. RA or early action under remedial authority support
agency activities must be documented site specifically and require cost share
provisions.
Definition of Accomplishment:
The start of support agency assistance is the signature of the C A 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 93 - FY 94:
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OSWER Directive 9200.3-14-1
Special Planning/Reporting Requirements:
Support agency assistance for RP and PS-lead site assessment projects are paid for
by the Enforcement program, are contained in the Regional enforcement extramural
budget, and are distributed to the Region in the enforcement AOA. Funds to
support MR and F-lead site assessment projects and all RD/RA projects are paid for
by the response program and are 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 USAGE, U.S.
Fish and Wildlife Service, and ARCS and RAC contractors.
Definition of Accomplishment:
The start of technical assistance is the obligation of hinds 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 93 - FY 94:
Provided examples of entities that 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
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.
October 1993 A-58
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OSWER Directive 9200.3-14-1
Changes in Definition FY 93 - FY 94:
Added early actions
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.
Rl 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.
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.) - A Fund RI starts when funds are
obligated. Funds are obligated when:
• The contract modification for the RI 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 his designee to conduct
aRI;and
• Obligation and actual start dates have been recorded in WasteLAN.
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-financed (Includes RP-, MR-, and PS- lead events) - A Responsible Party (RP or
MR)-lead RI start counts when one of the following enforcement actions occurs:
• An AOC is signed by the Regional Administrator. The RI start date is the AOC
completion date (Regional Administrator signature date); or
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OSWER Directive 9200.3-14-1
• A CD is referred by the Region to DOJ or HQ. The RI start date is the date the
Regional Administrator signs the memo transmitting the CD to HQ or DOJ.
A PS-lead RI start counts when a State order or comparable enforcement document
is signed by the last appropriate State official or party and the site is covered by one
of the following:
• State enforcement CA;
• Superfund Memorandum of Agreement (SMOA) containing a schedule for RI
work at the site; or
• Other State/EPA agreement.
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 defined as
EPA's or the State's written approval of 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 of signature by the Regional Administrator on the memo
transmitting the CD to HQ or DOJ.
EP-lead - An EP-lead RI start counts when the Region has the initial scoping
meeting. The start is documented by preparing and placing the minutes from the
meeting in the file.
Changes in Definition FY 93 - FY 94:
The EP-lead start definition was revised. RI starts are included to show a separation
from the traditional combined RI/FS under SACM. RI/FS starts will no longer be
tracked as a SCAP target in FY 94. The start of a RI or combined RI/FS will continue
to be planned and reported for internal management purposes.
Special Planning/Reporting Requirements:
Regions are not required to enter the RI start date if the RI is being conducted as part
of a combined ESI/RI, RI/FS, or ESI/RI/FS. The RI (C2101 = RI), combined RI/FS
(C2101 = CO) or combined ESI/RI (C2101 = SS) actual startdate is reported site
specifically in WasteLAN. Funds for RIs are found in the site characterization AOA.
October 1993 A-60
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OSWER Directive 9200.3-14-1
ESI/PI 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.
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 contractor or
the State;
• The report has been reviewed and approved, in writing, by the appropriate
Regional office; and
• A decision is made to:
- Perform a FS and HRS scoring;
- Perform an early action under removal or remedial authority; or
- Designate the site SEA.
The following must be recorded in WasteLAN:
• The actual ESI/RI completion date (C2101 = SS); and
• The decision on further action in the Event Qualifier data field (C2103).
Changes in Definition FY 93 - FY 94:
This is a new definition in FY 94.
Special Planning/Reporting Requirements:
See Definition of Accomplishment.
FS Starts
Definition:
The FS is used to develop and evaluate all potential remediation alternatives to clean
a hazardous waste site.
A-61 October 1993
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OSWER Directive 9200.3-14-1
Obligation of funds for forward planning, community relations and/or other
support activities do not constitute a FS start.
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.
Definition of Accomplishment:
Fund-financed (Including F- and S-lead events.) - A Fund FS starts when funds are
obligated. Funds are obligated when:
• The contract modification for the FS has been signed by the EPA CO; or
• An LAG 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; and
• The obligation and actual FS start dates have been recorded in WasteLAN.
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) - A Responsible Party (RP or
MR)-lead FS starts 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 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
DOJorHQ.
A PS-lead FS starts when a State order or comparable enforcement document is
signed by the last appropriate State official or party and the site is covered by one of
the following:
• State enforcement CA;
• SMOA containing a schedule for FS work at the site; or
• Other State/EPA agreement.
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 for the FS is
October 1993 A-62
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OSWER Directive 9200.3-14-1
defined as EPA's or the State's written approval of 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 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.
EP-lead - An EP-lead FS start counts when the Region has the initial scoping
meeting. The start date is documented by preparing and placing the minutes from
the meeting in the file.
Changes in Definition FY 93 - FY 94:
The EP-lead start definition was revised. The FS Start definition has been separated
from the traditional combined RI/FS to show its new identity under SACM. RI/FS
starts will no longer be tracked as a SCAP target in FY 94. The start of a FS or
combined RI/FS will continue to be planned and reported for internal management
purposes.
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 is entered into WasteLAN site-specifically. Funds for
FS projects are found 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.
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.) - A Fund RI/FS starts when funds
are obligated. 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-63 October 1993
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OSWER Directive 9200.3-14-1
• A CA has been signed by the Regional Administrator or his designee to conduct
a RI/FS; and
• The obligation and actual RI/FS start dates have been recorded in WasteLAN.
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-fiwnced (Includes RP-, MR-, and PS- lead events) - A Responsible Party (RP or
MR)-lead RI/FS starts when one of the following enforcement actions occurs:
• An AOC is signed by the Regional Administrator. The RI/FS start date is the
AOC completion date (Regional Administrator signature date); or
• A CD 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;
A PS-lead RI/FS starts when a State order or comparable enforcement document is
signed by the last appropriate State official or party and the site is covered by one of
the following:
• State enforcement CA;
• SMOA containing a schedule for RI/FS work at the site; or
• Other State/EPA agreement.
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 for the RI/FS
is defined as EPA's or the State's written approval of 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 the last State
official or Regional Administrator signs the amendment. If an EPA CD is amended,
the start date is the date of signature by the Regional Administrator on the memo
transmitting the CD to HQ or DOJ.
EP-lead - An EP-lead RI/FS start counts when the Region has the initial scoping
meeting. The start is documented by preparing and placing the minutes from the
meeting in the file.
Changes in Definition FY 93 - FY 94:
The EP-lead start definition was revised. Combined RI/FS starts will no longer be
tracked as a SCAP target in FY 94. The start of ESI/RI, FS, or combined RI/FS will
be planned and reported for internal management purposes.
October 1993 A-64
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OSWER Directive 9200.3-14-1
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 are entered into
WasteLAN site-specifically. Funds for RI/FSs are found in the site characterization
AOA.
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:
A FS report to public is accomplished the date the RI/FS reports and the proposed
plan are placed in the site repository and are available for public review. This date
must be recorded as an actual completion date in WasteLAN with the FS or
combined RI/FS subevent, RI/FS to public (C2101=FS or CO and C3101=CF).
Changes in Definition FY 93 - FY 94:
FS to Public will no longer be tracked as a SCAP reporting measure in FY 94;
however, it will continue to be reported for internal management purposes.
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.
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. The RI/FS or FS is complete with the signature of the
ROD.
The objective of this measure is to focus on good project management of critical
portions of the traditional remedial pipeline and establish a methodology which
A-65 October 1993
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OSWER Directive 9200.3-14-1
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 94. 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 94 will be compared to:
• The Regional and national average duration of RI/FS projects completed in FY 92
and FY 93; and
• The Regional and national average duration of RI/FS projects completed in
previous quarters of FY 94.
Changes in Definition FY 93 - FY 94:
RI/FS durations will no longer be tracked as a SCAP reporting measure in FY 94;
however, they will continue to be reported for internal management purposes.
Special Planning/Reporting Requirements:
CERCUS 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 one site-wide RI
and OU specific FSs and RODs are conducted, Links data will be used to calculate
durations.
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 under removal authority;
• Perform a NTC early action under remedial or removal authority; or
• Perform a long-term action.
October 1993 A-66
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OSWER Directive 9200.3-14-1
Definition of Accomplishment:
Early Actions under Removal Authority - Emergency. Time Critical, or Non-Time
Critical - The date the OSC, Regional Administrator/Deputy Regional
Administrator, AA SWER, or designated Regional official signs the Action
Memorandum is the date the cleanup decision is made. The date of the signature is
recorded as an actual completion date in WasteLAN for the removal subevent,
Approval of Action Memo (C2101 = RV and C3101 = AM). If a presumptive remedy
is used, it must be recorded in the Technical Information Type (C3401 = PR) in
WasteLAN.
Early or Long-Term Actions under Remedial Authority - The date the Regional
Administrator /Deputy Regional Administrator or the AA SWER signs the ROD
must be reported in WasteLAN as the actual RI/FS or FS and ROD completion date
(C2101 = CO or FS and C2101 = RO). Final RODs will be tracked as a component of
this target. If a presumptive remedy is used, it must be recorded in the Technical
Information Type (C3401 = PR) in WasteLAN.
For State-lead, State signed RODs, where the ROD is also signed by EPA,
accomplishments are reported as the date EPA signs the ROD.
These decisions will be tracked separately but reported on a combined basis.
Changes in Definition FY 93 - FY 94:
This definition is equivalent to the FY 93 SCAP/STARS target "Number of Program
Remedies Selected (ROD) and Action Memoranda Signed for Removal Actions at
NPL Sites." State-lead, State signed RODs were included.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Accomplishments are reported site-specifically
in WasteLAN. For RODs, the following additional information must be recorded in
WasteLAN: if a presumptive remedy is employed, the Presumptive Remedy
Technical Information Type (C3401 = PR) or, if a presumptive remedy is not used,
the Remedial Technology Technical Information Type (C3401 = RT) and the
appropriate Technical Information Qualifier (C3402 - C3411). This is a
SCAP/STARS target.
A-67 October 1993
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n
H*
»
EXHIBIT A-21
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
PLANNING REQUIREMENTS
SSA-l Site
Characterization
Starts
Site Inspection
Prioritize tion
PA
Completions
SI
Completions
Planning Requirements
Internal Management?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically or in
Non-Site Portion of
WasteLAN?
Site
Characterization
AOA Category, if Fund
Financed?
AOA Category for
Oversight?
Basis for AOA?
n
Semi-annual targets are established in SCAP/STARS. Accomplishments are pulled from CERCLIS on a quarterly basis.
Internal measures are planned and reported semi-annually.
-------
$
i?
I
EXHIBIT A-21 (continued)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
PLANNING REQUIREMENTS
SSA-2 Site
Screening &
Assessment
Decisions
Regional
Decisions
Community
Relations
Support Agency
Assistance
Technical
Assistance
Planning Requirements
Internal Management?
Not
Required
Not
Required
Planned Site-Specifically?
Not Required
Planned/Reported on
Operable Unit or Whole
Site Basis?
Operable
Unit
Operable
Unit
Operable
Unit
Reported Site-Specifically or in
Non-Site Portion of
WasteLAN?
Not Required
Not Required
Not Required
AOA Category, if Fund
Financed?
Site
Characterization
Other
Response
Site
Characterization
AOA Category for
Oversight?
Enforcement
Enforcement
Site Or
Non-site
Specific
Plans
Site Or
Non-site
Specific
Plans
Site Or
Non-site
Specific
Plans
Basis for AOA?
Semi-annual targets are established in SCAP/STARS. Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are
planned and reported semi-annually.
w
OJ
-------
EXHIBIT A-21 (continued)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
PLANNING REQUIREMENTS
Technical
Assistance
Grants
Combined RI/FS
Start
ESI/RI
Completions
Planning Requirements
STARS?
Internal Management?
Not Required
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Operable
Unit
Operable
Unit
Operable
Unit
Operable
Unit
Reported Site-Specifically or
in Non-Site Portion of
WasteLAN?
Not Required
Other
Response
Site
Characterization
Site
Characterization
AOA Category, if Fund
Financed?
Site
Characterization
AOA Category tor
Oversight?
Other Response
or Federal Facility
Enforcement
Enforcement
Enforcement
Site Or
Non-site
Specific
Plans
Site
Specific
Plans
Site
Specific
Plans
Basis for AOA?
* "To be determined" sites are allowed for first starts.
Semi-annual targets are established in SCAP/STARS. Accomplishments are pulled from CERCLIS on a quarterly basis. Internal measures are
planned and reported semi-annually.
I
I
-------
8-
EXHIBIT A-21 (continued)
SITE SCREENING AND ASSESSMENT/REGIONAL DECISION
PLANNING REQUIREMENTS
Planning Requirements
STARS?
SCAP?
Internal Management?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically or in
Non-Site Portion of
WasteLAN?
AOA Category, if Fund
Financed?
AOA Category for
Oversight?
FS Report
To Public
RI/FS
Duration
Reported
Reported
Yes
Operable
Unit
RDT-1
Decision
Document
Developed
* "To be determined" sites are allowed for first starts.
Semi-annual targets are established in SCAP/STARS. Accomplishments are pulled from CERCLIS
on a quarterly basis. Internal measures are planned and reported semi-annually.
1
m
X>
S
g
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OSWER Directive 9200.3-14-1
APPENDIX B
EARLY AND LONG-TERM ACTIONS
October 1993
-------
OSWER Directive 9200.3-14-1
APPENDIX B
EARLY AND LONG-TERM ACTIONS
TABLE OF CONTENTS
EARLY AND LONG-TERM ACTION
PRIORITIES B-l
OVERVIEW B-l
EARLY ACTION PRIORITIES B-3
Early Actions Under Remedial Authority B-4
Removal Actions B-4
Community Relations Requirements for NTC Removals
and Early Actions Under Remedial Authority ..B-5
LONG-TERM ACTION PRIORITIES B-6
Community Involvement B-7
ROLES AND RESPONSIBILITIES B-7
States B-7
Early Actions B-8
Long-Term Actions B-8
COMPLETIONS/DELETIONS B-9
FIVE YEAR REVIEWS B-10
ADMINISTRATIVE IMPROVEMENTS B-ll
PROGRAM MANAGEMENT INITIATIVES B-ll
EARLY AND LONG-TERM ACTION
PLANNING AND REPORTING REQUIREMENTS B-15
EARLY ACTION PLANNING REQUIREMENTS B-15
Removal Planning B-15
Early Actions Under Remedial Authority B-15
LONG-TERM ACTION PLANNING REQUIREMENTS B-15
REMOVAL REPORTING PROCEDURES B-16
Technology Type Information B-16
Chemical Information B-17
EARLY REMEDIAL AND LONG-TERM ACTION REPORTING
PROCEDURES B-17
RA or Early Action Under Remedial Authority Cost
Estimate B-18
Technical Information B-19
ROD Technical Information B-19
RD Technical Information B-22
RA or Early Action under Remedial Authority
Technical Information B-22
GENERAL PLANNING AND REPORTING REQUIREMENTS B-25
Event/Activity Lead Codes B-25
Lead Changes B-26
Probability of PRP Funded Response Actions B-29
First and Subsequent Starts and Completions B-29
Operable Units B-33
October 1993
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OSWER Directive 9200.3-14-1
Operable Unit Coding Guidance B-34
Sequence Numbers B-34
Project Support B-35
Early Actions B-35
Long-Term Actions B-36
Project Phasing B-36
Links B-36
Project Support Activities B-37
Treatability Study Planning B-37
Superfund Innovative Technology Evaluation (SITE)
Program B-37
To Be Determined (TBD) Sites B-38
EARLY AND LONG-TERM ACTION
BUDGET AND FINANCIAL MANAGEMENT B-41
FUND-FINANCED EARLY ACTION ANNUAL REGIONAL
BUDGET. B-41
Removal B-41
Early Actions Under Remedial Authority B-41
LONG-TERM ACTION ANNUAL REGIONAL BUDGET B-42
EARLY AND LONG-TERM ACTION ADVICE OF
ALLOWANCES B-42
Financial Planning for the AOA B-43
Remedial B-43
Removal B-44
Project Support Activities B-44
Obligating Early and Long-Term Action Funds B-45
EARLY AND LONG-TERM ACTION CONTRACTOR
RESOURCES B-46
Assignment of Remedial Response and Oversight Work B-47
EARLY AND LONG-TERM ACTION
FY 94 TARGETS AND MEASURES B-49
OVERVIEW OF FY 94 EARLY AND LONG-TERM ACTION
TARGETS/MEASURES B-49
TARGETS AND MEASURES B-49
DEVELOPMENT OF FY 94 SCAPISTARS TARGETS AND
MEASURES B-50
SCAP/STARS ICONS B-55
EARLY AND LONG-TERM ACTION DEFINITIONS B-55
ACT-1 • Duration From Site Discovery To Site
Construction Completion B-55
Community Relations B-56
Support Agency Assistance B-57
Technical Assistance B-57
Technical Assistance Grants B-58
Treatability Studies B-59
Projects Nominated for SITE Program B-59
October 1993
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OSWER Directive 9200.3-14-1
Design Assistance B-60
ACT-2 • Duration From Cleanup Decision to RD
Completion B-60
ACT- 3 • Duration From Cleanup Decision to Each
Cleanup Action Completion B-61
ACT- 4 • Percent of Sites with Early Actions B-63
RD Starts B-64
RD Completion B-65
Remedial Action Start B-66
RA Contract Award B-67
ACT-5 • Sites Addressed Through Early or Long-Term
Action On-Site Construction Starts B-68
ACT-6 • Early or Long-Term Action Completions B-70
ACT-7 • NPL Site Construction Completions Through
Early or Long-Term Actions B-73
ACT-8 • Non-NPL and NPL Caliber Site Construction
Completions Through Early or Long-Term
Actions B-77
Operational and Functional (O&F) B-82
Long Term Response Action (LTRA) B-82
NPL and Non-NPL Site Completions B-83
Ground Water Monitoring B-88
Operation and Maintenance (O&M) B-89
ACT - 9 • Five-Year Reviews Started B-89
Five-Year Review Completions B-90
NPL Deletion Initiation B-91
El - 1 • Progress Through Environmental Indicators B-91
October 1993
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OSWER Directive 9200.3-14-1
LIST OF EXHIBITS
B-l Sample of Cleanup Activities to be Early
and/or Long-Term Actions B-2
B-2 Examples of Early Actions B-3
B-3 RA Cost Estimating Coding B-20
B-4 Coding Guidance - Remedial Technology
Information Qualifiers B-21
B-5 Remedial Technology Information Qualifier
Codes ...B-23
B-6 Event/Activity Lead Codes in WasteLAN B-25
B-7 ESI/RI/FS and ROD Lead Codes B-26
B-8 Coding of Takeovers B-28
B-9 PRP Probabilities B-30
B-10 First and Subsequent Starts and Completions B-30
B-l 1 Operable Unit and First and Subsequent Start
and Completion Coding B-31
B-12 Coding Anomalies B-32
B-13 Impossible FSS and FSC Code Combinations B-33
B-14 Criteria for OUs B-33
B-15 Examples of RD and RA Operable Units B-34
B-l 6 Ground Rules for Coding Early and Long-
Term Action Operable Units B-35
B-17 SITE Program Coding B-38
B-18 Temporary State Codes B-39
B-19 Criteria for Proposed National Budget
Development B-43
B-20 ARCS Contractor Codes B-48
B-21 Early and Long-Term Action Activities B-51
B-22 Early and Long-Term Action Target/Measure
Crosswalk B-53
B-23 Long-Term Action Flow Chart B-93
B-24 Early and Long-Term Action Planning
Requirements B-94
October 1993
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OSWER Directive 9200.3-14-1
EARLY AND LONG-TERM ACTION
PRIORITIES
OVERVIEW
The Superfund program's highest priorities are completion of all
construction at sites and the management of imminent risks to human
health and the environment. The primary purposes of the Superfund
Accelerated Cleanup Model (SACM) are to:
• Streamline and accelerate cleanup, thereby moving more projects/sites
to construction completion in a timely, efficient, and cost effective
manner;
• Prompt risk reduction through early removal or remedial actions;
• Appropriate cleanup of long-term environmental problems; and
• Maximize the number of Potentially Responsible Party (PRP)-lead
cleanups.
Two SACM goals, streamlining cleanup actions and reducing risk
using remedial and/or removal authorities, are not new. In the past, the
Agency has encouraged the use of removal authorities to perform quick
response actions (i.e., Initial Remedial Measures (IRMs) and Expedited
Response Actions). In Fiscal Years (FY) 91 and FY 92, a variety of
contracting mechanisms were implemented that provided the capability to
perform these actions.
During the conduct of site screening and assessment activities,
including Preliminary Assessment (PA) and Site Inspection (SI), removal
assessment, or during the development of the Statement of Work (SOW)
for the Expanded Site Inspection/Remedial Investigation (ESI/RI) and
Feasibility Study (FS), the Remedial Project Manager (RPM), On-Scene
Coordinator (OSC), or Site Assessment Manager (SAM) should determine
if the site is safe. A part of the site evaluation is to determine the need for
cleanup actions that will reduce risk and can be accomplished quickly
through the use of removal/remedial authorities.
Before an early action is taken, certain enforcement issues need to be
addressed: Are willing and viable PRPs that are able to produce quality
products involved? Are these PRPs interested in conducting early
actions? These criteria will assist the Region in making a decision as to
whether to conduct an early action at the site.
B-l October 1993
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OSWEK Directive ^200.3-14-1
Long-term actions will usually be taken when there are conditions
requiring extensive site characterization, where there are high costs for
cleanup, or where it will take more than approximately five years to
complete the work. The majority of the current National Priorities List
(NPL) sites have some long-term response component.
The Region's decision makers, which may include the Regional
Decision Team (RDT), weigh what is known about a site and
recommend/select those actions that address the threats in a timely and
effective manner. Exhibit B-l gives a conceptual outline of activities
generally considered to be either early actions and/or long-term actions;
however, it is not an exhaustive, definitive categorization.
The remainder of this chapter discusses early and long-term actions
and their related challenges, the administrative improvements that affect
the response program, and the management initiatives that are being
implemented that help ensure the overall effectiveness of the Super fund
program.
EXHIBIT B-l
SAMPLE OF CLEANUP ACTIVITIES TO BE
EARLY AND/OR LONG-TERM ACTIONS
Early Action
Either
Long-Term Action
Access Restrictions
Source Removals/
Containment
Surface Structures
and Debris
Source Remediation
Capping/Containment
Permanent / Temper a ry
Relocation
Non-Aqueous Phase
Liquid (NAPL) Source
Extraction
Ground Water Plume
Containment/Cleanup
Alternate Water Supply
Property Acquisition
Extensive Source
Remediation
Restoration:
- Ground Water
- Surface Water
October 1993
B-2
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OSWER Directive 9200.3-14-1
EARLY ACTION PRIORITIES
The primary goals of an early action are to achieve prompt risk
reduction and increase the efficiency of overall site response. Early actions
may be conducted under removal or remedial authority, and, therefore,
can be taken at NPL, NPL caliber, and non-NPL sites. There are four types
of early actions:
• Emergency removals;
• Time-critical removals;
• Non-time Critical (NTC) removals; and
• Early actions under remedial authority.
Exhibit B-2 provides examples of typical early actions.
EXHIBIT B-2
EXAMPLES OF EARLY ACTIONS
• Fences, warning signs, or other security or site control precautions
• Drainage controls where needed to reduce migration of contamination
off site or to prevent run off from other sources
• Stabilization of berms, dikes, or impoundments, or drainage or closing
of lagoons
• Capping, excavation, consolidation, or removal of contaminated soil
and sludge
• Removal of drums, barrels, tanks, or other bulk containers that contain
or may contain hazardous substances
• Containment, treatment, or disposal of hazardous materials
• Interim ground water plume control
• Provision of alternate water supply
B-3 October 1993
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OSWER Directive 9200.3-14-1
Emergency and time-critical removals require response actions within
6 months of discovery; NIC removals are performed in response to
releases requiring action that can start later than 6 months. Emergency,
time-critical, and NTC removals may be conducted at proposed or final
NPL, NPL caliber, or non-NPL sites. Early actions under remedial
authority can only be conducted at proposed or final NPL sites. Prior to
performing a NTC removal action, an Engineering Evaluation/Cost
Analysis (EE/CA) must be developed, and an Action Memorandum must
be signed. Prior to performing an early action under remedial authority, a
Focused Feasibility Study (FFS) must be developed, and a Record of
Decision (ROD) and Superfund State Contract (SSC) must be signed.
Appendix A, Site Screening and Assessment/Regional Decision, contains
a discussion on EE/CAs, Action Memoranda, and RODs.
Early Actions Under Remedial Authority
Sometimes it may be appropriate to undertake early actions with
remedial authority. This may be likely for:
• NPL sites already far down the remedial pipeline;
• Enforcement-lead sites where a Consent Decree (CD) may be
appropriate;
• Sites outside the scope (either technical or financial) or authority of a
removal action; or
• Sites where State cost share, Operation and Maintenance (O&M), post-
early action site controls, or other assurances may be important
considerations.
Removal Actions
In FY 94, as in the past, the key goal of the removal program is to
ensure that resources are available for time-critical removals, rather than
being diverted to less critical removal actions. Regions should prioritize
time-critical removals in the following order:
• Classic emergencies;
• Time-critical and NTC removals at NPL and NPL caliber sites; and
• Time-critical removals at non-NPL sites posing major environmental and
public health threats that cannot be addressed by other authorities.
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OSWER Directive 9200.3-14-1
NTC removals at non-NPL sites should be undertaken only as
resources allow and to expedite cleanup in conformance with the worst
sites first policy. NTC removals at NPL and NPL-caliber sites should be
planned and budgeted site specifically. For all NTC removals, Regions
should involve States and PRPs to the maximum extent practicable. In
classic emergencies, PRPs should be notified orally and given up to 24
hours to respond, depending on the situation. Oral notification should be
followed up in writing. For time-critical removals, enforcement activities
(i.e., PRP searches, negotiations, and issuance of an order) should be
initiated as soon as the site is identified, and scheduled for completion
based on the timing of the removal start date.
See Appendix C for further information on removal enforcement
activities.
Removal actions are subject to the statutory limitations of 12 months
and $2 million, unless an exemption is justified. Exemptions to the 12
month limit are approved by the Regional Administrator. Section 104(c)
of the Superfund Amendments and Reauthorization Act (SARA) allows
an exemption from the $2 million limit if the continued response action is
otherwise appropriate and consistent with the long-term action to be
undertaken. Where an exemption to the $2 million statutory limit is
required, all source samples and soil and pathway data must be collected,
or determined not requisite for Hazard Ranking System (HRS) scoring
before reaching the $2 million. The authority for approving these
consistency exemptions at proposed and final NPL sites falls to the
Regional Administrator. A copy of each Action Memorandum signed
under this authority must be sent to the Director, Emergency Response
Division (ERD). Regions must consult with Headquarters (HQ) on PRP-
lead and Fund-lead NTC removals that cost over $5 million.
Each Region should recognize that it probably does not have sufficient
funds to address all actual or threatened releases that meet the removal
criteria in the National Oil and Hazardous Substances Pollution
Contingency Plan (NCP). Responsible management means having to
make difficult decisions, such as deferring the funding of time-critical
actions in order to maintain a sufficient contingency for classic
emergencies. Additionally, Regions have to depend more upon State and
local authorities to address the real, but smaller threats that Regions now
occasionally handle.
Community Relations Requirements for NTC Removals and Early
Actions Under Remedial Authority
Community relations requirements during early actions are intended
to promote communication between the community and the lead agency.
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OSWER Directive 9200.3-14-1
The following community relations activities are required for early actions
under remedial authority and NTC removals:
• Designate an Agency spokesperson;
• Establish an information repository no later than when the EE/CA
approval memo is signed or funds are obligated for the FFS;
• Conduct community interviews and prepare a community relations
plan before completing the EE/CA or FFS;
• Give public notice of the availability of the EE/CA or proposed plan
and hold a 30-day public comment period. The public comment period
must be extended a minimum of 15 days upon request; and
• Develop written response to comments.
Additional community relations activities may be conducted as
community interest and awareness increases.
LONG-TERM ACTION PRIORITIES
The main goal of a long-term action is to attain an effective, final site
cleanup. Under SACM, an increased number of early actions are expected;
however, sites requiring extensive, long-term cleanup measures will
proceed through the traditional remedial cleanup pipeline (i.e., FS, ROD,
Remedial Design (RD), and Remedial Action (RA)). Long-term response
actions will usually be taken when there are conditions requiring
extensive site characterization, where there are high costs anticipated for
cleanup, or where it will take more than approximately five years to
complete the work. The majority of current NFL sites have some long-
term response component.
Most ground water and large-scale soil remediation efforts and many
surface water remediation efforts would be expected to take in excess of
five years to complete, or have complexities that preclude using early
action approaches, alone. In addition, remedies that require extensive
O&M activities may fall into the long-term response category.
Identification of a response action as a long-term action does not mean
that all of the work can or will be deferred. In many cases, even when
there is no immediate threat, a quick start to the long-term response will
be necessary to prevent site conditions from deteriorating (e.g.,
containment of a ground water plume). In such circumstances, an early
action is appropriate if the site meets the NCP requirements for a removal
action or if an early action under remedial authority can be initiated.
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OSWER Directive 9200.3-14-1
Greater emphasis will be placed on the evaluation and selection of
alternative technologies, the employment of the technologies on-site, and
presumptive remedies. Treatability studies will be an important part of
the long-term action, ensuring that adequate data exist to evaluate each
technology prior to remedy selection. Regions should provide technical
oversight of all treatability study activities.
Community Involvement
A critical problem in the Superfund program is the lack of support for the
cleanup among the communities around Superfund sites. Citizen groups and
communities are often dissatisfied with both the pace and the results of cleanup
actions. To remedy this situation, EPA will prepare and implement a new
Superfund public participation plan. One element of the plan is the early
involvement of the communities in the Superfund process. Over the next year,
EPA will also monitor the progress made by other Federal agencies as they
establish Site-Specific Advisory Boards at their sites. EPA expects to be using this
new public participation plan at Superfund sites in FY 94.
ROLES AND RESPONSIBILITIES
Because of the urgency of emergency and time-critical removals, the
Environmental Protection Agency's (EPA's) OSCs or RPMs, or the U.S.
Coast Guard (USCG) generally takes the lead. There are two exceptions:
1) when the PRP is capable of conducting the response; or 2) the release is
the responsibility of another Federal agency. For NTC removals and early
actions under remedial authority, it may be appropriate for the State to
take the lead in conducting the response or enforcement actions. State
involvement is obtained through a Cooperative Agreement (CA). The
State, EPA, or PRPs may take responsibility for long-term actions.
Appendix C contains information on the role of PRPs in the Superfund
program.
States
EPA and the States agree that the universe of sites potentially requiring
cleanup is larger than either level of government can address alone. As a result,
EPA will be unable to address the environmental threats at some sites for years.
Several States have already developed increasingly sophisticated sites programs
to clean up non-NPL sites, relying in part on EPA technical assistance and
funding. In FY 94, EPA will encourage more environmental cleanups sooner, by
expanding the State role to address sites that are potentially NPL-caliber, and
enlisting the States' participation in a complementary program.
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OSWER Directive 9200.3-14-1
The State "deferral" initiative encourages States to start addressing the
potentially large number of sites now in the NPL listing queue, thus accelerating
cleanup, minimizing the risk of duplicative State/Federal efforts, and offering
PRPs a measure of confidence that only one agency will address the site. States
will have the initial responsibility to cleanup low to medium priority NPL-
caliber sites, while EPA focuses its efforts on early actions, high priority NPL-
caliber sites, and sites on the NPL. The sites the States will address will be
negotiated between the State and EPA. EPA will not propose sites for the NPL
that are being satisfactorily cleaned up by a participating State.
Early Actions
For NTC removals costing more than $2 million, EPA should request
State participation in the response, including State cost share. When a
State does not participate, the Region should evaluate whether the
urgency is great enough to justify the loss of the State contribution or
whether an early action under remedial authority should be conducted
instead. Since remedial funds are used, States are required to provide
cost share for early actions under remedial authority.
States are encouraged to provide post-removal site control (PRSC)
actions for all Fund-financed early actions. Prior to initiating a
response, the OSC/RPM should obtain a commitment from the State to
perform and fund the necessary PRSC. Such commitments can take
the form of a letter agreement or Memorandum of Understanding
(MOU) between EPA and the State. If the OSC/RPM cannot obtain
such an agreement, either the removal should not be conducted, a
different alternative that does not require PRSC should be selected, or
an early action under remedial authority should be performed. Since
an early action under remedial authority uses remedial funds, States
are required to provide post-early action site controls and share in the
cost of the action (see section below on long-term actions). The State
commitment is obtained through a SSC, or if the State is performing
the action, through a CA.
Long-Term Actions
State involvement in long-term actions is also obtained through either
a SSC or a CA. If the State is taking the lead role in managing a long-
term action, a CA is used to award Superfund money to the State and
obtain State statutory assurances (i.e., providing O&M and cost share).
If EPA is taking the lead, the SSC documents the State assurances.
States are required to pay 10 percent of the RA costs at sites that were
privately owned and operated. If the site was publicly operated, the
State is required to pay 50 percent of all response actions performed at
the site, including site assessment and removal activities.
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OSWER Directive 9200.3-14-1
In addition, States are given the opportunity to concur on the selected
long-term action and the decision to delete the site from the NPL. It is
also the State's responsibility to identify potential Applicable or
Relevant and Appropriate Requirements (ARARs) for both early and
long-term actions.
COMPLETIONS/DELETIONS
On October 2, 1991, the EPA Administrator announced targets for sites
where all construction has been completed. The target includes 200 sites
by the end of FY 93 and 650 sites by the end of the year 2000.
Construction at a NPL site is considered complete when:
• Physical construction under removal or remedial authority 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 have achieved final cleanup objectives or have no further response
actions, other than the ongoing "long-term response action" (LIRA) component
of the cleanup being performed, are included in the Administrator's goal.
Section 300.425(e) of the NCP states that "Releases may be deleted from
or re-categorized on the NPL where no further response is appropriate." It
further states that in making a determination to delete a release from the
NPL, EPA shall consider, in consultation with the State, whether any of
the following criteria has been met:
• PRPs or other persons have implemented all appropriate response
actions required;
• All appropriate Fund-financed responses under the Comprehensive
Environmental Response, Compensation, and Liability Act of 1980
(CERCLA) have been implemented and no further response actions by
the PRPs are appropriate; or
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OSWER Directive 9200.3-14-1
• The Rl has shown that the release poses no significant threat to public
health or the environment and, therefore, taking remedial measures is
not appropriate.
While the current focus remains on site construction completions, a
priority remains to delete sites from the NPL when appropriate. Close-Out
Reports and Federal Register notices, respectively, are required for sites
eligible for recategorization as site completions or for deletion from the
NPL. These reports should be prepared and submitted promptly to ensure
that progress is accurately conveyed to those outside the Agency. Final
Superfund Site Close-Out Reports should be completed no later than the
quarter following EPA acceptance of the RA Report for the final RA.
ACT-7, NPL Site Construction Completions Through Early and Long-
Term Actions, and ACT-8, Non-NPL and NPL Caliber Site Construction
Completions Through Early and Long-Term Actions, provide thorough
definitions for site construction completion requirements. (See Early and
Long-Term Actions FY 94 Superfund Comprehensive Accomplishments
Plan (SCAP)/Strategic Targeted Activities for Results System (STARS)
Targets and Measures section in this Appendix.)
FIVE YEAR REVIEWS
SARA requires EPA to review those remedial actions that result "...in
any hazardous substances, pollutants, or contaminants remaining at the
site..." no less often than every five years after implementation. The NCP
states that RAs that result in hazardous substances, pollutants, or
contaminants remaining at the site "...above levels that allow for
unlimited use and unrestricted exposure..." shall be reviewed no less than
every five years after initiation of the selected RA.
The Agency must report to Congress on five-year reviews and actions
taken in response to such reviews. On May 23,1991, the Office of
Emergency and Remedial Response (OERR) issued Office of Solid Waste
and Emergency Response (OSWER) Directive 9355.7-02, entitled Structure
and Components of Five-Year Reviews. This guidance defines the scope
of five-year reviews and identifies two types of reviews: statutory reviews
(i.e., reviews required by CERCLA and the NCP) and policy reviews (i.e.,
reviews that EPA will implement as a matter of policy). Each Region must
schedule statutory reviews to assure that they are completed within five
years of RA on-site construction start. In addition, Regions must
determine whether to conduct the review in-house (EP-lead), by the State
(S-lead), under a CD (RP-lead), or through a contract (e.g., Alternative
Remedial Contracting Strategy (ARCS)) or assistance agreement (e.g.,
United States Army Corps of Engineers (USACE) or Bureau of
Reclamation (BUREQ).
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OSWER Directive 9200.3-14-1
Since five-year reviews for appropriate sites are to be completed within
five years of RA on-site construction start, reviews may be conducted
during phases of the RA, during LIRA, and during O&M. Where
appropriate, additional reviews may be conducted after a site has been
deleted from the NPL. Each ROD attempts to identify when a five-year
review is necessary based on the nature of the remedy. Regions should
identify sites where a five-year review is required and schedule those
reviews. HQ has established a mechanism to provide extramural funds
for such reviews on a site-specific basis. Funds for five-year reviews are
contained in the RA Advice of Allowance (AOA). Funds for oversight of
five-year reviews being conducted by PRPs can be found in the site
characterization AOA.
ADMINISTRATIVE IMPROVEMENTS
One of the goals identified by the Superfund Administrative Task Force was
to enhance cleanup effectiveness and consistency. To reach this goal, the
following initiatives were developed for implementation in FY 94:
• Streamlining and expediting the cleanup process - The Agency has begun
efforts to standardize parts of the remedial process and to take advantage of
experience at sites across the country. EPA plans to develop standard design
specifications for some remedial components, clarify the policy on land use,
set out approaches for dealing with lead contamination, provide a strategy to
address the problem of Dense Non-Aqueous Phase Liquids (DNAPLs) in
ground water, and promote the use of presumptive remedies; and
• Develop soil trigger levels - Contamination of soils occurs at virtually all
hazardous waste sites. EPA is developing soil trigger levels for a variety of
chemicals, and these will be an important screening tool to identify
contaminant levels below which there is no concern and above which further
site-specific evaluation would be warranted. The trigger level could also be
used as a cleanup level. The soil trigger levels will accelerate investigation of
soil contamination at sites, streamline the baseline risk assessment, and
improve consistency in soil cleanups between the Resource Conservation and
Recovery Act (RCRA) and Superfund.
PROGRAM MANAGEMENT INITIATIVES
In addition to the specific early and long-term action priorities
discussed previously, the following initiatives have been implemented in
recent years to ensure the overall effectiveness of the Superfund program:
• Contract Management— During FY 94, program emphasis should
continue to be placed on ensuring effective contract management. Full
implementation ot the ARCS and Contract Laboratory Program (CLP)
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OSWER Directive 9200.3-14-1
task force recommendations remains a high priority. Also, HQ and
Regions must continue to focus on the management and control of the
ARCS program management costs to achieve goals mandated by
Congress. Implementation of the Long-Term Contracting Strategy
(LTCS) will focus on the phase-in of new contracts, most of which are
delegated to the Regions for management.
• Make effective use of other agency expertise— It is important that EPA
make full use of construction management expertise available from
the USAGE and the BUREC, and that EPA staff avoid duplicative
oversight of projects assigned to these agencies. The USACE has a
mission assignment from EPA to provide technical assistance, oversee
PRP RDs and RAs, and conduct RDs and RAs depending on their
estimated cost. Pursuant to OSWER Directive 9242.3-08, RD
assignments can be made to the ARCS or Response Action Contractor
(RAC) or the USACE/BUREC at the Region's discretion. RA
assignments with an estimated cost of over $15 million must be issued
to the USACE.
• Information management — Continue the efforts toward making the
Comprehensive Environmental Response, Compensation, and
Liability Information System (CERCLIS)/WasteLAN more of a
management tool for the Regions. This includes integrating the
information needs external to OSWER (e.g., Office of Regional Counsel
(ORC), Office of Enforcement (OE), and Department of Justice (DOJ))
into the CERCLIS information management environment,
implementing and integrating project and program management tools
(e.g., the Superfund Management and Reporting Technology
(SMARTech), SCAP Management Reporting System (SMRS), and the
Remedial Pipeline Project Management (RP2M) System), and reporting
technical data using WasteLAN (e.g., Environmental Indicators (El)
and RA information). HQ will continue to work with the Regions to
expand the use of CERCLIS/WasteLAN for these and other
management initiatives.
• Building public confidence — In past years, the Agency has taken
major steps in improving the communication of the ongoing efforts of
the Superfund program and the progress being made in site cleanup.
These efforts started in FY 90 with the implementation of the El
program and the publishing of the NPL Books. In FY 92, the Office of
Waste Programs Enforcement (OWPE) initiated a communication and
outreach effort. Working closely with OERR, OWPE developed a
format for telling site-specific stories of Superfund at Work. The
Superfund at Work success stories, which will continue to be prepared
in FY 94, demonstrate both the effort and results of the program to key
October 1993 B-12
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OSWER Directive 9200.3-14-1
external audiences. In FY 94 and beyond, the Agency will look toward
SACM as a means for communicating the successes in risk reduction.
Better communication of this type of information to Congress and the public
will help build confidence in the Agency and the Superfund program.
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OSWER Directive 9200.3-14-1
EARLY AND LONG-TERM ACTION
PLANNING AND REPORTING REQUIREMENTS
EARLY ACTION PLANNING REQUIREMENTS
Removal Planning
Since so much of the removal work cannot be anticipated, Regions are only
required to develop site specific plans one quarter in advance. Each quarter, a
plan for the upcoming quarter is prepared. A Region begins this planning period
by identifying sites in WasteLAN that are candidates for removal work in the
upcoming quarter, designating the expected lead, identifying the funding each
action will require, and determining the category of each removal. Valid early
action categories (C2118) for removals are:
• TC -Time Critical;
• NT - Non-Time Critical; and
• EM - Emergency.
Early Actions Under Remedial Authority
Regions are required to plan site specific early actions under remedial
authority prior to the FY. The planning information required for early actions
under remedial authority is the same as the information required for RAs (e.g.,
planned start and completion date, lead, and planned obligation). In addition,
Regions must enter the code for an early action under remedial authority into
the Early Action Category data field (C2118 = EA).
LONG-TERM ACTION PLANNING REQUIREMENTS
Planned start and completion dates for RD and RA and planned completion
dates for award of RA contract and RA on-site construction are entered into
WasteLAN for a site at the start of the site screening and assessment phase.
These dates represent the best estimate for when the activities are scheduled to
begin or end. The schedules are updated regularly until the start or completion
is actually accomplished. The actual completion dates of Preliminary and Final
Site Close-Out Reports are to be entered into WasteLAN when the reports are
approved.
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OSWER Directive 9200.3-14-1
The schedules for these activities will be closely tracked and used for many
different purposes, including:
• Reporting planned project starts and completions during a given FY as
Regional SCAP/STARS targets or measures;
• Indicating progress in site cleanup and movement of sites to the advanced
phases of the remedial pipeline;
• Analyzing standard durations and timeframes; and
• Tracking progress in meeting site construction completion goals.
REMOVAL REPORTING PROCEDURES
In addition to reporting the actual start and completion date and the funds
obligated for the removal, Regions are required to provide additional
information on the removal in WasteLAN. These data include:
• The actual date the Action Memorandum is signed (C2101=RV and
€3101= AM);
• Whether an exemption to the $2 million (C2101=RV and C3101=ME) or 1 year
(C2101=RV and C3101=SE) limit was requested;
• The EPA official authorized to commit and obligate funds for the early action
(C2109 = Approval Authority);
• Whether community relations activities will be conducted at the site
(C2101=RC);
X
• Event qualifier (C2103) to identify whether the removal resulted in a total site
cleanup (C2103=C) or a site stabilization (C2103=S);
• Technology type information; and
• Chemical information.
Technology Type Information
This segment of the WasteLAN data base is structured so that Regions first
indicate in general terms what removal work was done at the site using the
Technology Information Type (C3401), and then using the Technology Event
Qualifiers (C3402), adding more specific data as they become available. For
example, a Region indicates in the Technology Information Type that a natural
resource was affected (C3401=NR). The Region then must identify the particular
October 1993 B-16
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OSWER Directive 9200.3-14-1
natural resources that were affected, air (C3402=AR), flora/fauna (FF) or national
forest or park (NT).
Chemical Information
Chemicals addressed during a removal action are entered to support program
management and reporting needs. Regions enter the official Chemical Abstract
Number (CAS No.) associated with the removal in the CAS No. field (C3701).
The second field holds the official chemical name (C3702), and the third field
contains the common name for the chemical (C3703). When the CAS No. is
entered, the chemical name is automatically generated. When the official
chemical name is entered, the CAS No. is automatically generated.
EARLY REMEDIAL AND LONG-TERM ACTION REPORTING PROCEDURES
As the Agency measures the progress made in meeting the requirements of
SARA, additional and more accurate information will be required for RA and
early action under remedial authority activities. This information will be used
to:
• Support and justify the response RA budget;
• Facilitate priority-setting for Fund-financed RAs and early actions under
remedial authority;
• Provide RA and early action under remedial authority cost-tracking
information; and
• Provide the capability to characterize RA and early action under remedial
authority projects and their associated costs.
The information on RAs and early actions under remedial authority that HQ
will collect and that must be entered into WasteLAN by the Regions includes:
• RA cost estimates at different phases during the remedial pipeline; and
• Technical information on the early action under remedial authority or long-
term action remedy.
Each of these will be discussed in greater detail in the following sections.
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OSWER Directive 9200.3-14-1
RA or Early Action Under Remedial Authority Cost Estimate
The following paragraphs discuss the RA/early action under remedial
authority cost estimating/projections that need to be reported to HQ via
WasteLAN:
• Draft FS Estimate for Fund-Financed and PRP RA or Early Action Under
Remedial Authority Projects - Prior to ROD signature. Regions can estimate
the capital cost of cleanup based on the information contained in the draft FS.
This estimate is entered into WasteLAN with the FS event (C2101=FS or CO)
and the Financial Type (C3202) of "E" (RA Cost Estimate).
• ROD Estimate - When an F- or FE-lead ROD is signed, the capital cost of the
early action under remedial authority or long-term action remedy must be
entered into WasteLAN with the ROD event (C2101=RO) and the Financial
Type (C3202) of "E" (RA Cost Estimate).
If the ROD is amended, an alternative technology is chosen over the original.
The new ROD capital cost should be entered with the new ROD event
(C2101=RO) with the Financial Type (C3202) of "E". When a significant
change is made that alters the scope, performance, or cost of a component of
the remedy, it is documented in an Explanation of Significant Differences
(ESD). A second entry with the new cost estimate is reported with the
original ROD (C2101=RO) using the Financial Type (C3202) of "E." The date of
signature of the ESD is placed in the Financial Date (C3220), and "ESD" is
entered in the Financial Note field (C3242). In both situations, the original
RA cost estimate remains in WasteLAN. (See the Records of Decisions
section in Appendix A for additional information.)
• RD Estimate - When the Fund-financed RD for a long-term action reaches
the 90 percent completion point, the Region enters the total RA capital cost
estimate into WasteLAN based on the information gathered during the
design. This estimate is entered with the RD event (C2101=RD) and the
Financial Type (C3202) of "E" (RA Cost Estimate).
• Contract Award - When the contract for a Fund-financed RA or early action
under remedial authority is awarded to the construction contractor, the
Region enters the construction contract award amount into WasteLAN with
the RA (C2101=RA) or early action under remedial authority (C2101=RA and
C2118=EA) event and the Financial Type of "E" (RA Cost Estimate). The date
of the contract award should be entered into the Financial Date (C3220). If the
contract is later increased, a second entry must be made for the new total
contract amount. The Financial Date field (C3220) is used to enter the date of
the modification.
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OSWER Directive 9200.3-14-1
• Total Fund-Financed RA or Early Action Under Remedial Authority Cost -
Regions estimate and report the total Fund-financed RA or early action under
remedial authority cost by entering planned obligations, actual obligations,
and open commitments into WasteLAN. This includes planned obligations
for the current year and upcoming FY, as well as any incremental funding
needs during the duration of the project. This total RA or early action under
remedial authority cost estimate constitutes the total Regional funding
request for an early action under remedial authority or RA. The early action
under remedial authority or RA cost estimate for actions scheduled to begin
in FY 95 must be in CERCLIS prior to mid-year negotiations. Regions should
update the RA or early action under remedial authority cost estimate on a
continuous basis as better information becomes available.
The SCAP-25, RA Cost Estimate Information Report contains the information
in CERCLIS on RA cost estimates/projections. Exhibit B-3 provides examples of
coding RA cost estimates.
Technical Information
Regions will not receive funds for a RA or early action under remedial
authority in their AOA unless the remedial technology information qualifier for
the RA or early action under remedial authority is in CERCLIS. Similarly,
Regions will not receive credit for an early or long-term action start unless the
remedial technology information qualifier for the RA or early action under
remedial authority is in CERCLIS. Exhibit B-4 contains coding guidance for the
remedial technology information qualifiers, which are repeating fields. Exhibit
B-5 contains the WasteLAN remedial technology information qualifier codes.
SCAP-24, RA Technology and Pipeline Tracking Report, displays the events and
the remedial technology information qualifiers.
ROD Technical Information
When a ROD is signed, an ESD becomes a component of the issued ROD, or a
ROD is amended, the Region must enter the remedial technology for the RA
or early action under remedial authority into WasteLAN with the
appropriate ROD events (C2101=RO). This is done by entering Remedial
Technology or Presumptive Remedy in the Tech Information Type data field
(C3401 = RT or PR). If the Tech Information Type is Remedial Technology
(RT), the specific technology(ies) also must be entered into WasteLAN in the
Technical Information Qualifier fields (C3402 - C3411). The first ten remedial
technology treatment qualifiers are coded with a "I" in the Technical
Information Type Suffix (C3415). When more than ten technologies are
chosen, the Region should adjoin the qualifiers to the ROD event by entering
the appropriate suffix number (C3415) in WasteLAN. One of the measures of
success under SACM is the use of presumptive remedies; therefore it is
imperative that Regions enter this information into CERCLIS.
B-19 October 1993
-------
8
ca
i
N)
O
EXHIBIT B-3
RA COST ESTIMATING CODING
Plan
Start
FY/Q
C2132
Plan
Comp
FY/Q
C2133
Actual
Comp
Finan
Amount
Budget
Source
Instructions
Draft FS estimate
=$10,000,000
ROD estimate =
$12,000,000 (Capital Cost
entered when ROD
is signed
RD 90% estimate =
$13,500,000 entered when
RD is 90% complete
Total planned RA cost
originally entered 89/2,
updated as better
information became
available
RA contract award =
$13,225,000 entered when
contract is awarded
RA contract award =
$14,000,000 entered when
contract is modified
n>
-------
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EXHIBIT B-4
CODING GUIDANCE
REMEDIAL TECHNOLOGY INFORMATION QUALIFIERS
Tech
Info
Type
Suffix
C3415
w
S'
NJ
O
-------
OSWER Directive 9200.3-14-1
RT) with the ROD using the Necessary Actions Completed technical qualifier
(C3402 = NA).
If the ROD states that the only action being taken is institutional controls or long-
term monitoring, Regions should code the Tech Information Type (C3401=RT)
with the ROD using the Institutional Controls technical qualifier (C3402=IC). The
"NA" event (no action ROD) should not be used.
RD Technical Information
When a RD is started, the Region must enter the RA technology into WasteLAN.
Like the ROD, this is done by entering Remedial Technology or Presumptive
Remedy in the Tech Information Type data field (C3401=RT or PR) with the RD
(C2101=RD). If the Tech Information Type is Remedial Technology (RT), the
specific technology(ies) also must be entered into WasteLAN in the Technical
Information Qualifier (C3402 - C3411).
If the ROD is amended after the RD has started, the Region must determine if a
new RD is necessary. If a new RD is required, the original RD event should be
discontinued and a new RD event entered. An 'S' (suspended) code should be
placed in the Event Status data field (C2110) for the original RD. The FSC code
(C2116) for the original RD should be changed to an "E" (Event Anomaly). The
completion date for the old RD and the start date for the new RD should be the
same. The FSS code (C2115) for the new RD should be "E" (Event Anomaly). If
there is a new remedial technology, it should be reported by entering Remedial
Technology or Presumptive Remedy in the Tech Information Type data field
(C3401=RT or PR) and the specific remedial technology(ies) in the Technical
Information Qualifier (C3402 - C3411) with the new RD. If the ROD is amended
and a new RD is not necessary, the Technical Information Qualifier field should be
updated.
If the design is split into multiple OUs from the ROD, the appropriate technical
information qualifiers should be attached to the appropriate RD.
RA or Early Action under Remedial Authority Technical Information
When requesting RA or early action under remedial authority funds or
recording a RA or early action under remedial authority start, the Region
must enter the Remedial Technology or Presumptive Remedy (C3401=RT or
PR) into the Tech Information Type data field for the RA or early action
under remedial authority with the RA (C2101=RA) or early action under
remedial authority (C2101=RA and C2118=EA) event. If the Tech Information
Type is Remedial Technology (RT), the Technical Information Qualifiers
(C3402 - C3411) also must be entered into WasteLAN. If the RA is divided
into multiple OUs from the ROD or RD, the appropriate technology type and
technical information qualifiers should be attached to the appropriate RA.
October 1993 B-22
-------
OSWER Directive 9200.3-14-1
EXHIBIT B-5
REMEDIAL TECHNOLOGY INFORMATION
QUALIFIER CODES
Code
Remedy Type
Specific Technology
Actions Deemed Unnecessary
Biodegradation/
Land Application
1C
LT
Institutional Controls
Implemented
Leachate
Collection /Trea tment
Necessary Actions Complete
Other
ON
On-site
OS
Other Source Control
Remedies
Activated Sludge
Biodenitrification
Ex-Situ Biodegradation
Ex-Situ Bioremediation
In-Situ Biodegradation
In-Situ Bioremediation
Other
Deed Restriction
Drilling
Fishing/Swimming
Local Land Use Restriction
Public Water Supply Use
Other
Abandoned/Plugged Wells
Debris Treatment
Demolition
Discharge to a Stream
Fence
Monitoring
Natural Attenuation
Plume Management
Recycling
Relocation
Revegetati on/ Vegetation
Upgrading Existing Facilities
Slope Stabilization
Subsurface Water Diversion/Collection
Surface Water Diversion
Active Landfill Gas Collection
Asphalt Cover
Cap (other)
Clay Cap
Debris Removal
Deep Well Injection
Excavation
Groundwater Extraction/Injection (Hydraulic
Containment)
Landfill (unspecified)
Levees
Multilayer Cap
Pumping Contained Wastes
On-site RCRA Landfill (Above/Below Grade)
RCRA Cap
Slurry Wall
Sediment Excavation and Dredging
Soil Cap
Soil Cover
Other
On-site/Off-site Residual
Other
B-23
October 1993
-------
OSWER Directive 9200.3-14-1
EXHIBIT B-5 (continued)
REMEDIAL TECHNOLOGY INFORMATION
QUALIFIER CODES
Code
Definition
Technology
OT
Other Treatment Technologies
Passive Containment of Liquids
Pump and Treatment
RH
Alternate Water Supply
Incineration/Thermal Destruction
Off-site
SO
WF
Solidification / Stabilize bon
Temporary Storage
Vacuum Extraction
Volatilization/Soil Aeration
Soil Washing/Flushing
Dechlorinization (APEG/KPEG)
Decontamination
Dewatering
Dehalorination
Ex-Si tu Vitrification
In-Situ Flaming
In-Situ Flushing
In-Situ Vitrification
Off-site RCRA Treatment and Recycling
Solvent Extraction
Thermal Desorption
Other
Activated Carbon Units - Residential
Activated Sludge
Air Stripping
Carbon Adsorption
Coagulation
Electrochemical Reduction
Extraction
Filtration
Flocculation
Ion Exchange
Oil/Water Separator
Precipitation
Publicly Owned Treatment Works (POTW)
UV Ozonation
Wellhead Treatment
Other
Municipal Distribution System
Public Water Supply
Temporary Water Supply
Other
On-site
Off-site
Active Landfill Gas Collection
Debris Removal
Groundwater Extraction/Injection (Hydraulic
Containment)
Landfill (unspecified)
Off-site RCRA Landfill
Off-site Solid Waste Landfill
Pumping Contained Wastes
Sediment Excavation and Dredging
Soil Excavation
Other
Fixation
Neutralization
Other
On-site
Off-site
Soil Vapor Extraction
Other
Aeration
Flaring
Other
Ion Exchange
Metals Precipitation
Other
October 1993
B-24
-------
OSWER Directive 9200.3-14-1
GENERAL PLANNING AND REPORTING REQUIREMENTS
Event/Activity Lead Codes
Event/activity lead codes identify the entity performing the work at the site.
Exhibit B-6 shows the valid project/event lead codes.
EXHIBIT B-6
EVENT/ACTIVITY LEAD CODES IN WASTELAN
Lead
Definition
F Fund-financed response actions performed by EPA (applies to
response events)
RP PRP-financed response actions performed by the PRP under a
Federal order/CD (applies to response events)
S Fund-financed response actions performed by a State - Money
provided through a Cooperative Agreement (CA) (applies to
response events)
PS PRP-financed response actions performed by PRP under a State
order/CD with PRP oversight paid for or conducted by EPA
through an EPA CA with the State, or, if oversight is not funded by
EPA, a State Memorandum of Agreement (SMOA) or other formal
document between EPA and the State exists which allows EPA
review of PRP deliverables (applies to response events)
SN State-financed (no Fund dollars) response actions performed by the
State (applies to response events)
SR PRP response under a State order/CD and no EPA oversight
support or money provided through a CA and no other formal
agreement exists between EPA and the State (applies to response
events)
CG Work performed by the Coast Guard - Limited to removals (applies
to response events)
MR Preauthorization mixed funding work performed by PRP under a
Federal CD with an agreement that the Fund will provide some
reimbursement to the PRP (applies to response events)
SE Enforcement activities performed by a State - Money provided
through a CA or, if not funded by EPA, a comparable enforcement
document exists (also applies to ROD events at SR-lead events)
FE Enforcement activities performed by EPA or work done by
enforcement program at private or Federal Facilities sites (also applies
to ROD events at RP- and PS-lead events). Historically (Pre-FY 89)
applied to RI/FS and RD response events
EP Response activities performed by EPA using in-house resources
FF Response activities performed by the Federal Facility with oversight
provided by EPA and/or the State at sites designated as Federal
Facilities on the NPL (also applies to RODs at Federal Facilities)
TR Indian Tribal Governments
B-25
October 1993
-------
OSWER Directive 9200.3-14-1
A lead code must be placed in WasteLAN for all response events (C2117) and
enforcement activities (C1707). Regions have the ability to code the lead for
project support activities (i.e., community relations, support agency assistance,
etc.) based on Regional preference. The national rule for coding project support
leads was eliminated in FY 92. Exhibit B-7 contains the guidance for coding
RODs based on the ESI/RI/FS leads. All enforcement actions (i.e., orders,
decrees, PRP searches, etc.) performed by EPA should have a lead of "FE" (Federal
Enforcement). All enforcement actions conducted by the State and should have
a lead of "SE" (State Enforcement). WasteLAN should not contain planned
obligations for projects with "SR" or "SN" leads. No funds will be provided for
activities with these leads.
EXHIBIT B-7
ESI/RI/FS and ROD LEAD CODES
ESI/RI/FS Project Lead ROD Lead
F, S, EP, TR
RP, PS, MR
SR
SN
FF
The Agency acknowledges that States can and have assumed the lead role in
reaching an agreement with the PRPs for response activities at NPL sites without
negotiating a cooperative agreement or other formal agreement with EPA (SR
lead). However, the NCP has determined that in the absence of a formal
agreement, the State will *iot be officially recognized as the "lead agency" for the
project, and EPA will not concur on the remedy selected.
Lead Changes
A takeover or lead change occurs when the entity performing an event
changes after the event has started and credit has been given. Typically, this
occurs when a settlement with the PRP had been reached after the event started.
It may also occur when the Fund assumes a RP-lead project because of non-
compliance with an Administrative Order (AO) or CD.
In order to avoid delays resulting from PRPs' assuming the lead during a
discrete phase of the project (a takeover), a policy has been established that limits
lead changes from EPA to PRPs in the middle of a phase of the Superfund
process, except in situations where the change will not cause undue delays
October 1993
B-26
-------
OSWER Directive 9200.3-14-1
(OSWER Directive 9800.1-01, Limiting Lead Transfers to Private Parties During
Discrete Phases of the Remedial Process, November 14, 1991). The policy applies
to lead changes from EPA to PRPs only; not EPA takeovers of PRP work or lead
changes involving States.
Response lead changes (i.e., changeovers) can occur at any of the following
points in the process:
• Prior to conducting an early action (removal or early action under remedial
authority);
• After the ROD is signed and prior to beginning the RD or RA; and
• Prior to RA contract solicitation, when funding the RA would have
significant implications for the Fund and when no significant delays will
occur.
When circumstances warrant passing the lead to PRPs during a phase of
cleanup, steps should be taken to minimize potential causes of delay. For
example, if PRPs assume the lead during an early action under remedial
authority, they should be given a limit of 60 days to enter into an Administrative
Order on Consent (AOC) or CD for performing the work.
If the PRPs are allowed to take over the RD, RA, early action under remedial
authority, or NIC removal after funds have been obligated, the Region can
retain the funds needed to provide oversight of the entire PRP response activity.
The remainder should be deobligated. RD and NTC removal funds that are
deobligated may be replaced in the Region's AOA and used in accordance with
the flexible funding priorities outlined in Volume I, Chapter III. Deobligated RA
or early action under remedial authority funds must be returned to HQ for
funding of other priority RA or early action under remedial authority projects. If
the PRPs take over a rime critical removal after funds have been obligated, the
Region can retain the funds needed to provide oversight for the remainder of
the FY and deobligate the rest. Additional funds in the next FY should be
obtained from the Regional enforcement extramural budget.
When the Fund originally obligated dollars for response activities and a
takeover occurs, Regions will have to request a change in Account Number (AN)
through their Regional Financial Management Office (FMO). The activity code
within the AN changes if the Agency is acting in an oversight role, as opposed to
performing the response action.
RP-lead projects that are deficient or where the PRPs are recalcitrant may be
addressed by the response program. If the project requires substantial Fund
involvement to correct, it should be coded as a Fund takeover in WasteLAN.
B-27 October 1993
-------
OSWER Directive 9200.3-14-1
If a takeover of a remedial or removal event does occur, a new WasteLAN
record must be created and the First and Subsequent Start (FSS) and First and
Subsequent Completion (FSC) codes (C2115 and C2116) revised. A takeover does
not create a new OU. The original WasteLAN event must be updated to show
the completion date as the date of the takeover. The start date for the new
WasteLAN event is also the date of the takeover.
The WasteLAN Event Takeover Flag (C2114) is manually maintained. A "T"
is used in this field to flag the original event which has the change in lead. The
new event has the event code and sequence number of the original event that
was taken over in the Event Takeover Flag field (C2114).
The placement of the FSS and FSC codes in the event of a takeover is
important. When the takeover of a remedial event has occurred and work has
not proceeded past the workplan stage, the FSS and FSC codes should be placed •
with the event that was taken over. However, if the takeover occurs after the
workplan stage or a removal action is taken over, the FSS code is placed with the
original event, and the FSC code is placed with the new event. (See Exhibit B-8
for an example of the takeover coding.)
EXHIBIT B-8
CODING OF TAKEOVERS
Event Takeover At Workplan Stage
Actual
Comp.
Takeover
Flag
SITE WIDE
SITE WIDE
11/30/88 11/30/88
12/15/90
7/29/88
11/30/88
Event Takeover After Workplan Stage or Removal Takeover
/
Actual
Comp.
Takeover
Flag
FSC Comments
SITE WIDE
SITE WIDE
4/30/90
2/20/90
7/31/93
8/31/93
11/15/87
4/30/89
9/10/92
12/5/92
Lead changes between discrete phases of the Superfund process are preferable
to takeovers. However, EPA may take back the response lead from a PRP when
the Agency deems that a lead change would be appropriate to maintain response
integrity or to protect human health and the environment.
October 1993
B-28
-------
OSWER Directive 9200.3-14-1
Probability of PRP Funded Response Actions
During the development of budget planning information, Regions should
pay particular attention to the probability of a PRP assuming responsibility for
early actions under remedial authority or long-term actions, or the potential for a
mixed funding response. Historically, 20 to 25 percent of each Region's Fund-
lead RI/FS projects result in RP-lead RDs and RAs. Regions should examine the
early actions under remedial authority and long-term actions scheduled in FY 95
through FY 96, ascertain PRP viability and the strength of the enforcement case,
the relative environmental priority of the project, and the likelihood of a PRP
assuming the lead. The likelihood of the PRPs assuming lead responsibility
should be recorded in WasteLAN in the Event Qualifier data element (C2103)
with the event(s) that are scheduled to begin. As better information is received
on the probability of the PRPs assuming responsibility, the qualifier in
WasteLAN should be updated.
Valid probabilities are:
• H - High, estimated 75 percent or better chance of PRP takeover;
• M - Medium, estimated 25 to 74 percent chance of PRP takeover; and
• L - Low, estimated 24 percent or less chance of PRP takeover.
Exhibit B-9 provides coding guidance for reporting PRP takeover probability.
First and Subsequent Starts and Completions
FSS and FSC codes (C2115 and C2116, respectively) are used to identify and
characterize the sequencing of event starts and completions at a site. If an event
does not have actual start or completion dates, the FSS and FSC codes are
determined by the planned dates. One of the codes shown in Exhibit B-10 must
be assigned to each response event as it is entered into WasteLAN. Exhibit B-ll
illustrates the use of FSS/FSC codes. Mass FSS/FSC data generation routines
have been implemented to ease data entry and maintenance burdens. When a
date is changed in WasteLAN for a project that causes the existing FSS/FSC codes
to be invalid, the Region can use the WasteLAN mass generation routine to
revise the codes. The Region selects mass generation from the WasteLAN main
menu and highlights the FSS/FSC codes that need to be revised. WasteLAN will
automatically change these FSS/FSC codes.
The FSS/FSC codes are based on planned or actual event start and completion
dates, not the system generated sequence number. Thus, the first start of an
event, for example a RD, at a site is coded "A." If a second RD is started, the "A"
code for the first RD start must be changed to a "B" and the second RD is assigned
a "D" code. If a third RD is started, the first RD remains a "B," the second RD
B-29 October 1993
-------
OSWER Directive 9200.3-14-1
must be changed from a "D" to a "C," and the third RD is assigned a "D" code.
Event completions use the same methodology. If there is one occurrence of each
event, all FSS/FSC codes are "A."
EXHIBIT B-9
PRP PROBABILITIES
Take Plan Actual Plan Actual
OU Event LD Over Start Start Comp Comp Qual
(CHOI) (C2101) (C2117) (C2114) (C2130) (C2140) (C2131) (C2141) (C2103)
EXHIBIT B-10
FIRST AND SUBSEQUENT STARTS
AND COMPLETIONS
A
B
C
First and only event at a site
First of two or more events
Subsequent, but not final event
Final of two or more events
Anomaly
Anomalies are those projects that do not fit the normal definitions of
pipeline events and activities. Anomalies can be those projects that 1) do not
receive SCAP/STARS credit, but still need to be tracked, or 2) occur out of the
ordinary pipeline progression. An example of an abnormal pipeline progression
is an early action under remedial authority that is conducted after the RD and in
place of the RA. (See Exhibit B-11.) Anomalies must be manually coded in
WasteLAN.
October 1993
B-30
-------
OSWER Directive 9200.3-14-1
EXHIBIT B-ll
OPERABLE UNIT AND FIRST AND SUBSEQUENT START
AND COMPLETION CODING
OPERABLE UNIT '00' AND REMOVAL EVENTS
Plan
Start
FY/Q
Plan
Comp
FY/Q
FSS FSC Comment
83/3
84/2
85/2
86/3
92/1
86/3
A A ENTIRE SITE
88/3
89/1
90/2
86/2
CR ACTIVITIES FOR 1 OU
REMEDIAL EVENTS. ANOMALIES. AND PROTECT PHASING
OU
00
01
01
01
01
01
01
02
02
02
02
03
03
03
03
04
04
Event
SS
FN01
CO1
RO1
AN01
RD1
RD2
RA1
RA2
FS1
RO1
AN02
RD1
RA1
FS1
RO1
AN03
RD1
RA1
RD1
RA1
Lead
F
FE
S
F
FE
F
F
F
F
F
F
FE
F
F
F
F
FE
F
F
F
F
^^^^^^•^^^^^^H
Plan
Start
FY/Q
93/4
87/1
87/3
88/3
89/1
89/2
90/3
90/3
94/4
95/3
95/4
96/2
95/4
96/2
96/3
97/1
96/2
97/4
^^^^__^^_^_f
Plan
Comp
FY/Q
95/4
87/3
88/3
88/3
89/1
90/2
90/3
91/1
94/1
95/3
95/3
95/4
96/2
97/1
96/2
96/2
96/2
97/1
99/1
97/4
98/4
•••••^^•^•^H
FSS
A
A
B
E
B
E
B
C
C
D
D
C
C
D
^___^_
FSC
A
A
B
E
B
E
B
B
C
C
C
D
D
C
D
D
C
^^Mi^H
Comment
SS WITH 2 FS PROJECTS LINKS
WITH OU02 FS & OU03 FS
LINK WITH OUOO SS
PHASE I
PHASE H
PHASE I
PHASE II
1ST FS FROM OUOO SS
EARLY ACTION INSTEAD OF RA -
NEED EARLY ACTION QUALIFIER
2ND FS FROM OUOO SS
2ND RD FROM OU03 ROD
2ND RA FROM OU03 ROD
••^^^^^^^^^^•^^^^^•••^•^^B
B-31
October 1993
-------
OSWER Directive 9200.3-14-1
Another example of an anomaly would occur when EPA has decided not to
complete an ongoing event. The FSS/FSC code of "E" is used in this situation to
identify anomaly events that do not meet the criteria for start or completion
accomplishment reporting. Those dates associated with the "E" value will not
receive SCAP/STARS credit. Suppose EPA discovers information that leads to a
decision not to implement a RA already underway. Instead, a new RA is
necessary. The anomaly coding allows the Region to receive and retain credit for
the first RA that is started and, at the same time, inform HQ and Regional
managers that a significant occurrence has taken place at the site. Since the first
RA was interrupted and, therefore, was not completed according to the
definition, it does not meet SCAP criteria for credit as a RA completion. In this
situation, the FSC code = "E" and the Activity/Event Planning code = "S"
(Suspended). The second RA will not be counted as a subsequent start (FSS code
= "E") because it is addressing the same remedy (ROD), but the Region can
receive credit for a RA completion (FSC code = A). (See Exhibit B-12.)
EXHIBIT B-12
CODING ANOMALIES
DECISION NOT TO COMPLETE AN ONGOING EVENT
Plan
Comp
FY/Q
Plan
Start
FY/Q
Event/
Subevent
FSC Comments
94/4
95/3
96/1
RA WILL NOT BE FINISHED
NO CREDIT FOR COMPLETEION
NO CREDIT FOR START, RA
ADDRESSES SAME ROD
It is necessary to update FSS and FSC codes each time an event is added.
Exhibit B-13 indicates combinations of FSS/FSC codes that are inconsistent with
the coding procedures.
October 1993
B-32
-------
OSWER Directive 9200.3-14-1
EXHIBIT B-13
IMPOSSIBLE FSS AND FSC CODE COMBINATIONS
More than one A, B, or D
An A and B
An A and D
An A and C
C without a D and B
B and C without a D
C and D without a B
Operable Units
The NCP defines OUs as "discrete actions that comprise incremental steps
toward the final remedy." An OU is the division of a project into meaningful
work elements (events) that can be implemented on different schedules,
resulting in acceleration of cleanup. OUs allow certain elements of a project to be
started ahead of others to lessen the hazards present at the site and to complete
some work elements ahead of more complex and hazardous work elements.
Each element can move at its own rate to completion, thereby preparing the site
for any further required remediation. Exhibit B-14 presents the criteria for
establishing OUs. Exhibit B-15 shows examples of OUs.
EXHIBIT B-14
CRITERIA FOR OUs
Availability of existing information
Type of waste
Type of media involved
Technology requirements
Funding availability
Management considerations
Geographic location
B-33
October 1993
-------
OSWER Directive 9200.3-14-1
EXHIBIT B-15
EXAMPLES OF RD AND RA
OPERABLE UNITS
Pump and Treat System
Incineration
Cap
Waterline Installation
Soil Removal
Operable Unit Coding Guidance
The OU concept is one of the driving mechanisms for Superfund's budgeting,
planning, and accomplishment-reporting processes. Since the inception of
CERCLIS, a standard methodology has been used by OSWER to code, track,
and evaluate site progress. OUs were distinguished by using a combination of
data fields that made the event unique. This caused confusion and multiple
interpretations of OUs. The methodology currently being implemented uses
OU numbers (CHOI - Operable Unit Indicator), FSS/FSC codes (C2115 and
C2116), and Links. (See Exhibit B-ll.) Links provides the technical ability to
link response events or enforcement activities with another event or activity.
This capability allows coding of discrete parts of response actions at sites in
WasteLAN using unique OU numbers.
Two important capabilities of the OU methodology are:
• Coding, tracking, and consolidating multiple investigation activities into
one ROD; and
• Tracking single RODs with multiple RDs and RAs.
Following are the rules for coding OUs. These rules are summarized in
Exhibit B-16.
Sequence Numbers
If a site has multiple like-events (e.g., several RDs) within a single OU,
WasteLAN automatically generates a sequence number for each event. This
sequence number is dependent on the order in which the event is entered
into the system.
October 1993
B-34
-------
OSWER Directive 9200.3-14-1
EXHIBIT B-16
GROUND RULES FOR CODING EARLY AND
LONG-TERM ACTION OPERABLE UNITS
• Removals for the entire site are OU "00"
• Each FS project and its associated RD are coded with the
same OU number as the ROD it is associated with;
subsequent RODs must address an aspect of the remedy
not developed in the initial ROD
• Early actions under remedial authority are coded with the
OU number for the ROD
• Each OU at the RD stage must result in separate plans and
specifications
• Each OU at the RA stage must be based on a separate bid
package
• PRP, State, or EPA takeovers do not result in separate OUs
• Phased projects do not result in separate OUs
Project Support
Activities that reflect a site-wide condition or occurrence and events that
cover the entire site are coded as OU '00'. For example, NPL deletions and
Technical Assistance Grants (TAGs) are not specific to an OU; therefore, these
should be coded as OU number '00' (C1101=00). Project support activities
such as community relations, aerial surveys, and topographical mapping will
sometimes address a single event or span multiple events or even an entire
site. In cases where the project support event addresses a single response
event, the project support event should be coded with the same OU number
as the response event. Where the project support event spans multiple
response events, it should be coded with the same OU number as the
response event it is most closely related to and linked to the additional
response events as the other OUs it addresses. (See Exhibit B-ll.)
Early Actions
Removals that are strictly site-wide and not related to a specific ROD are to be
coded with the OU'00'. (See Exhibit B-ll.) Early actions under remedial
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OSWER Directive 9200.3-14-1
authority result from a ROD and will be coded with the OU number of that
ROD.
Long-Term Actions
Multiple RDs and RAs may be generated from the same ROD. These events
are coded with different OU numbers only if they address discrete parts of the
site cleanup. Links relates them to the ROD designating the remedy they are
addressing. (See Exhibit B-ll.)
Project Phasing
At the RD and RA stages, a project may be phased or time-sequenced to
accelerate the cleanup effort. Phasing is complementary to OUs. .Whereas
OUs break large, complex projects into smaller, more manageable work
elements, phasing is a method to accelerate the implementation of the OUs.
Phasing manipulates the internal steps required to complete each OU, thereby
optimizing the overall schedule, for example, a RA that requires site clearing
prior to constructing an incinerator. The clearing would be one phase of the
RA, while the construction of the incinerator would be a second phase.
Event sequence numbers allow the Regions to code and track this phasing.
Phases of each response event are shown in WasteLAN by the use of
sequence numbers and the value of '£' (anomaly) in the FSS/FSC codes
(C2115 and C2116). Funding required for each of the phases is tracked against
the phase. However, the duration of the project is calculated from the date
the first phase started to the date the last phase is completed. (See Exhibit fi-
ll-)
Links
The Links Module enables the integration of site assessment, response, and
enforcement data for a specific site in WasteLAN and CERCLIS. Links
graphically connects enforcement activities to enforcement activities,
enforcement activities to response events, and response events to response
events.
A graphic representation of the flow of events and activities at a site, called a
site map, can be generated using Links. The site map shows the relationship of
events and activities at the site and indicates whether the event/activity is
completed, planned, or ongoing. Once the sequence and relationship of events
and activities has been determined, they are linked using the Links rules.
Events and activities and the appropriate links are entered as the site is
planned. If an activity or event does not occur as planned, then those
activities/events must be modified and the related link record deleted and
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OSWER Directive 9200.3-14-1
updated, as appropriate. It is especially important that the Links records be up-to-
date and accurate, as they are used when calculating SCAP/STARS duration
measures. For additional information on the Links module and OUs, please
refer to the Links Coding Guidance, May 1992.
Project Support Activities
Regions are not required to plan or report the start or completion of project
support activities (community relations, technical assistance, support agency
assistance, etc.). This does not apply to treatability studies, O&M, or LTRA.
The lead code for project support activities is based entirely on Regional
preference.
Treatability Study Planning
The performance of treatability studies during the design of the long-term
action is a priority for the remedial and enforcement programs. Separate
identification of this work allows the Superfund program to determine and
explain the impact of treatability studies on RD costs and schedules. Treatability
studies are a separate event code (C2101 = TS) in WasteLAN. Funds should be
planned site specifically; planned and actual start and completion dates are
required. Treatability study information/results are to be submitted to the EPA
Office of Research and Development (ORD) in Cincinnati.
Superfund Innovative Technology Evaluation (SITE) Program
The purpose of the SITE program is to assess new technologies for the
treatment of hazardous waste in order to develop permanent technologies. The
SITE demonstration program sponsors pilot and full scale treatability studies at
Superfund sites. The participating developers mobilize and operate their
equipment during the test period. ORD develops the test plan, provides for site
preparation, funds sampling and analysis, and prepares the documentation.
Technologies enter the program through an annual solicitation. Proposals
are reviewed for their technical merit and applicability to Superfund problems.
A number of developers are currently in the program, and new developers are
added each year. Once new technologies are accepted, it is necessary to find
demonstration sites. A memorandum is sent to the Regional Division Directors
requesting the nomination of potential locations for testing the technologies. All
projects should be considered, regardless of the entity performing response
activities at the site. Special consideration is given to selecting sites where the
data will provide useful information for the ROD or RD.
When a site is nominated by the Region for a SITE technology, the Region
should enter an EP-lead (in-house) (C2117) treatability study (C2101 = TS) with an
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OSWER Directive 9200.3-14-1
"A" (alternative) Activity/Event Planning Status (C2110) into WasteLAN. The
date of the memorandum nominating the site for the program should be
recorded in the plan start date field (C2130). When the site is accepted by HQ and
matched with a technology, the actual start date (C2140) should be entered, and
Activity/Event Planing Status (C2110) should be changed to a "P" (primary). (See
Exhibit B-17 for an example of the coding of sites.) Information Management
Coordinators (IMCs) should work with the SITE coordinators in the Regions to
determine when information needs to be added to WasteLAN.
EXHIBIT B-17
SITE PROGRAM CODING
Site Nominated
OU Event
(C1101) (C2101)
LD
(C2117)
Event
Planning
Status
(C2110)
Plan
Start
(C2130)
Actual Plan
Start Complete
(C2140) (C2131)
01
TS
EP
7/25/90
Actual
Complete
(C2141)
Event
Planning
Status
(C2110)
Plan
Complete
(C2131)
Actual
Complete
(C2141)
Plan
Start
(C2130)
Actual
Start
(C2140)
Event
(C2101)
10/13/90 5/20/91
Site Matched with Technology
OU
(Ciioi)
To Be Determined (TBD) Sites
Under certain circumstances, Regions may not be able to identify all the sites
necessary to meet early action SCAP targets. In such cases. Regions may enter
planning data into TBD site records. WasteLAN provides the capability, through
the use of a temporary EPA Identification Number (EPA ID), to set up temporary
site records as TBDs until the actual site is identified. Following are procedures
for handling SCAP TBD sites and associated planning data in WasteLAN.
The key data field for site and related records is the EPA ID. This number is 12
characters in length, with the first two characters identifying the State in which
the site is located. The remaining digits uniquely identify a site within the State.
The method of handling TBD sites in WasteLAN must be consistent with
guidance for assigning EPA IDs to valid Superfund sites.
The procedure for assigning temporary numbers is as follows. Each SCAP
TBD site to be entered into WasteLAN will be assigned a unique 12-character
October 1993
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OSWER Directive 9200.3-14-1
EPA ID, which is constructed from Regionally assigned State codes and numbers.
The temporary State codes shown in Exhibit B-18 for each Region would be used
in the first two positions of the temporary ID.
EXHIBIT B-18
TEMPORARY STATE CODES
Temporary State Code
The third position of the code will always be "T," which further identifies the
site as being a "TBD" site. The remaining nine digits will be selected from the
1,000 numbers purchased from Dun & Bradstreet by HQ and allocated to each
Region.
An example of the use of the code is as follows. Region I has three TBD sites
for removal starts to be entered into WasteLAN. EPA IDs to be used for the three
sites are as follows:
• TBD site #1 - ZAT982565053
• TBD site #2 - ZAT982565061
• TBD site #3 - ZAT982565079
At the time a real site is determined for TBD site #1, the site and associated
data for EPA ID ZAT982565053 are deleted from the WasteLAN data base.
Subsequently, the appropriate planning data are added to the real site in the
WasteLAN data base. The temporary number, ZAT982565053, is then recycled
for future use.
When multiple OUs at a site are involved, Regions should schedule the
subsequent starts and associated core activities when planning the first ESI/RI
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OSWER Directive 9200.3-14-1
start at the site to the maximum extent possible. Subsequent starts should be
scheduled even if they are not planned to begin in FY 94. Even though TBDs are
being used for target-setting purposes, Regions must have real sites in
WasteLAN that can be substituted at a later date for the temporary sites.
Do not record actual financial data with TBD sites. Regions should be sure
that this information is reported with the real site data. Placement of actual
financial data with a TBD site record prohibits the deletion of the TBD site record
from the WasteLAN data base.
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OSWER Directive 9200.3-14-1
EARLY AND LONG-TERM ACTION
BUDGET AND FINANCIAL MANAGEMENT
This section of the Appendix discusses the response budget categories, the
criteria used to develop Regional budgets, financial planning for the AOA, and
the availability and management of contractor resources.
FUND-FINANCED EARLY ACTION ANNUAL REGIONAL BUDGET
Removal
The removal annual Regional budget consists of removal actions and
removal support dollars. The FY 94 Regional budget allocation for removals will
be based on 90 percent of the FY 91, FY 92, and FY 93 actual removal obligations.
The balance of the FY 94 removal budget will be held in reserve at HQ. Each
Region's annual removal budget will be established in August.
Oversight dollars for PRP emergency and time critical removals will be
provided through the Regional enforcement extramural budget. Funds for
oversight of NTC PRP removals are provided in the response budget. In order
for funds to be available for classic emergencies or for sites that cannot be
identified during the planning process, the Region places a removal contingency
amount is placed in the non-site/incident activity section of the WasteLAN data
base by the Region.
FY 94 removal support dollars will be the sum of the program management
costs in each Region's Emergency Response Cleanup Services (ERCS) or
Emergency and Rapid Response Services (ERRS) contracts.
Early Actions Under Remedial Authority
To provide incentives for early actions under remedial authority, the
following management procedures are in place:
• $50 million dollars are set aside in the RA budget to be used for early actions
under remedial authority. This funding is available on a first ready/first
funded basis. It is not for emergencies or time-critical actions;
• There is no maximum dollar cap for early actions under remedial authority;
however, Regions should consult with HQ on early actions under remedial
authority estimated to cost over $5 million or exceed five years in duration;
and
• Funds for early actions under remedial authority will be allocated based on
the planned early action under remedial authority obligations in CERCLIS.
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LONG-TERM ACTION ANNUAL REGIONAL BUDGET
Funding for RAs will be distributed to the Regions based on a first ready/first
funded basis. Since the Regional RA budget is not developed prior to the start of
the FY, Regions have the flexibility to modify their RA funding request during
the year based on updated information. The criteria used to develop the FY 94
Regional budgets were different from the allocation process used in previous
years. Previously, the initial budgets were developed based on the site schedules
in CERCLIS and the criteria shown in Exhibit B-19. For FY 94, Regional budgets
were allocated as follows:
• 90 percent of a Region's budget was based on its FY 90, FY 91, and FY 92 actual
remedial obligations; and
• The remaining 10 percent was allocated to each Region based on its final
negotiated targets.
The FY 94 national budget is based on the criteria shown in Exhibit B-19. This
process also will be followed when developing the FY 95 budget.
EARLY AND LONG-TERM ACTION ADVICE OF ALLOWANCES
The Advice of Allowances (AOA) for early and long-term actions and their
support activities is issued by the Office of the Comptroller (OC) on a site and
non-site specific basis. OERR has proposed that the RD, site characterization, and
RI/FS allowances be combined in FY 94. As a result, the following allowances
will be issued:
• RA (site specific) - includes funds for early actions under remedial authority,
RA, LTRA, and five-year reviews;
• Removal - includes funds for emergency, time-critical, and NTC removals;
• Other Response - includes funds for TAGs and response program and project
support; and
• Site Characterization - includes funds for PA, SI, ESI/RI, FS, EE/CA,
treatability studies, RD, design assistance, community relations, support
agency assistance, technical assistance, and oversight of RP-lead RDs, RAs,
early actions under remedial authority, NTC removals, O&M, five year
reviews, and LTRA.
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OSWER Directive 9200.3-14-1
EXHIBIT B-19
CRITERIA FOR PROPOSED NATIONAL
BUDGET DEVELOPMENT
ACTIVITY CRITERIA
EARLY ACTION UNDER
REMEDIAL AUTHORITY
FIVE YEAR REVIEWS
PROJECT SUPPORT
TAG
PRP OVERSIGHT
CONTRACT
MANAGEMENT
$700,00 for each planned Fund-financed
RD start in CERCLIS
Based on dollars and schedules in
CERCLIS
Based on dollars and schedules in
CERCLIS
$35,000 per planned five-year
review start in CERCLIS
Based on budget in previous years
$50,000 per site based on the number
of NPL sites with remedial work
ongoing in FY 94 where a TAG was
not awarded previously
Based on the Region's PRP early action
under remedial authority, NTC removals, I
RD and RA projects priced at $37,500 per
quarter
Based on the number of contracts in
each Region. Funds are allocated to
Regions that have project officers
Financial Planning for the AOA
Remedial
Site-specific planned obligations for early actions under remedial authority,
RDs, and RAs are entered directly into WasteLAN in the appropriate event
record for the site (C2101 = RD or RA and for early actions under remedial
authority C2101 = RA and C2118 = EA). The planned obligation date (C3218),
amount (C3230), contract vehicle (C3239), budget source (C3229), and priority
funding status (C3225) are to be entered. Those remedial events at NPL sites
that have the greatest likelihood of requiring funding during the FY that are
within the Region's budget allocation should be identified by placing "APR"
(approved) in the Funding Priority Status field (C3225). The site
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October 1993
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OSWER Directive 9200.3-14-1
characterization and other response AOAs are the total of the approved site-
specific or non-site specific planned obligations at NPL sites in CERCLIS with
a budget source code (C3229) of "R"(Remedial). CERCLIS financial reports
(SCAP-4 and SCAP-21) provide a total for the site specific and non-site specific
planned obligations for the purpose of developing and issuing the AOA.
The RA AOA is pulled directly from the approved site-specific planned RA
and early action under remedial authority obligations in CERCLIS and is
issued by site name, Site/Spill Identification Number (S/S ID), and dollar
amount. Regions must be sure the planned obligation date (C3218), contract
vehicle (C3239), budget source (C3229), priority funding status (C3225),
technological information type (C3401 = RT or PR), and if necessary,
technology information qualifier (C3402 - C3411) are entered into WasteLAN.
Regions will not receive RA or early action under remedial authority funds
in their AOAs unless the remedial technology information qualifier is
reflected in CERCLIS.
Removal
By the end of the quarter before a removal is scheduled to begin, a quarterly
removal plan must be entered into WasteLAN. The plan includes the site-
specific planned obligation date (C3218), amount (C3230), contract vehicle
(C3239), removal budget source (C3229=V), and priority funding status
(C3225). These plans may be adjusted, as needed, any time after the pull date.
The Regional AOA will be distributed as follows: 30 percent of the annual
budget in the first quarter; 20 percent in the second quarter; and 30 percent in
the third quarter, as long as updated quarterly plans for those amounts are
reflected in CERCLIS by the specified pull dates. HQ and the Regions will
negotiate the fourth quarter allocation in order to ensure that all removal
funds are being used to the best advantage. If at any time a Region needs
additional funding, WasteLAN and CERCLIS should be updated to show the
proposed spending plan with a funding priority status (C3225) of "Alternate"
(ALT). A change request/SCAP amendment should be sent to the Response
Operations Branch in ERD. (See Volume I, Chapter HI on procedures for
developing change requests and SCAP amendments.) When the change has
been approved, the funding priority status code (C3225) should be revised.
Project Support Activities
During the development of the budget, project support funding needs can be
planned site-specifically or non-site specifically by event type in the non-site
portion of WasteLAN. During the operating year, activities needing funds in
the upcoming quarter must either be planned site specifically in WasteLAN
prior to generation of the CERCLIS AOA report or a quarterly breakout (by
activity) of the annual funding need must be provided in CERHELP. Funds
for Environmental Monitoring Systems Laboratory (EMSL) or other entities
October 1993 B-44
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OSWER Directive 9200.3-14-1
providing technical assistance should be planned in WasteLAN prior to the
FY. These project support activities are to be funded out of the Region's
annual budget.
If the Regional project support budget is established non-site specifically then,
regardless of whether the quarterly planning is site- or non-site specific, the
total annual project support budget must be reduced by the quarterly funding
needs prior to HQ placement of the AOA in CERHELP. If a Region plans
project support activities non-site specifically, the planned funding amount
in CERHELP must be reduced as the site-specific funding documents are
processed. (See Volume I, Chapter III on handling financial data in CERCLIS.)
Failure to make these adjustments could cause the Region to exceed its
annual budget and result in withholding approval of its AOA.
If the planned obligations for these events are established site-specifically, the
following information must be entered into WasteLAN: planned obligation
date (C3218); amount (C3230); contract vehicle (C3239); budget source (C3229);
and priority funding status (C3225). Non-site specific project support funding
needs require the following financial information in WasteLAN: planned
obligation amount (P1420); budget source (P1416); priority funding status
(P1419); and number of sites to be funded (P1417).
Obligating Early and Long-Term Action Funds
Funds for removals, early actions under remedial authority, RDs, RAs, and
project support activities are obligated site specifically. Funds for program
support activities are obligated non-site specifically.
Funds for EMSL or another entity can be obligated through a Procurement
Request (PR) or through the AOA change request procedures. The AOA change
request is the preferred method. The change request would keep the funds
under TFAY9A and show the Allowance Holder as 60. The purpose should be
shown. Regions must be sure to change the budget source in WasteLAN to a HQ
account after the change request is processed. (See Volume I, Chapter HI for
additional information on budget source codes and change request procedures.)
In either situation, a SOW should be prepared before the paperwork is processed.
The SOW should clearly identify the site name, tasks that will be performed, any
deliverables that are required, the timeframes for performance, and the funds
that will be transferred.
The Region should budget TAG funds at Fund or RP-lead sites based on their
knowledge of which communities may request such grants. Since many
communities may decline to apply for various reasons, the Region should not
assume that every NPL site will require a TAG. Funds for TAGs at Fund-
financed or RP-lead sites are in the response budget and can be found in the
other response AOA. TAGs at Federal Facilities are funded by the Federal Facility
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OSWER Directive 9200.3-14-1
budget and can be found in the Federal Facility AOA. Regions should negotiate
reimbursement of TAG costs at the Federal Facility during LAG discussions. The
Regions are to administer TAGs at Federal Facilities.
EARLY AND LONG-TERM ACTION CONTRACTOR RESOURCES
The Superfund LTCS provides OSCs/RPMs with mechanisms for greater
flexibility and improves oversight and cost management by giving Regions full
responsibility for contract management. The LTCS anticipated many of SACM's
underlying principles. For example, the increase in early actions is aided by the
newly created ERRS and RAC contracts. LTCS combines site assessment and
response technical assistance functions under a single Superfund Technical
Assessment and Response Team (START) contract.
Contractor resources for conducting early and long-term actions include:
• ARCS - Can be used for early or long-term actions. Provides technical
services, engineering analyses, waste disposal, drum removal, geotechnical
consulting services, RDs/RAs, early actions under remedial authority, and
analytical services. The RACs will replace ARCS by FY 97;
• Technical Assistance Team (TAT) - Provides early action technical support,
including sampling, procurement of field and laboratory analyses,
community relations support, data management, and quality assurance. Once
in place, the START contracts will replace TAT;
• Site-Specific Contracts - Can be used for early or long-term actions that are
straightforward or uncomplicated. These contracts take about four months to
award and are desirable because they promote competition;
• Pre-Qualified Offerers Procurement (PQOP) - EPA is creating pools of
contractors qualified to use specific technologies. When an early or long-term
action is contemplated, any contractor in the pool can submit a bid. To date,
contractor pools are available for incineration and fixation/stabilization;
• U.S. Army Corps of Engineers (USACE) - Has rapid response contracts for
demolition actions, closures, point source contamination controls, and site
stabilization for use by EPA. USACE also conducts long-term action
RDs/RAs;
• Emergency Response Cleanup Services (ERCS) - Provide cleanup personnel,
equipment, and materials for early actions. Once in place, the new ERRS
contracts will replace ERCS; and
• States - Have the ability to perform NTC early actions and long-term actions.
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Assignment of Remedial Response and Oversight Work
Each of the entities discussed above has the capacity to do a certain amount of
Superfund work. It is essential that the assignment of work be balanced with the
capabilities of the various entities. The Hazardous Site Control Division (HSCD)
will track the workload distribution between ARCS and USAGE based on
information in CERCLIS. ERD will track the ERCS/ERRS workload.
As a reminder, when RD and RA assignments are planned for different
entities, a smooth transition is necessary. This can be easily achieved by giving a
technical assistance assignment to the entity that will be performing the RA
during the RD. The purpose of the assignment would be to review the plans and
specifications for bidability, constructability, operability, and claims prevention.
The entity that performed the RD should also be retained during the RA in a
technical assistance role for design clarification, modification review, etc.
In order to convey ARCS contract information to HQ, the five-character
Financial Vehicle data element in WasteLAN (C3239) will be used to identify the
type of contract, the Region, and the name of the ARCS contractor. If an entity
other than the ARCS contractor will perform the work, the first three positions
of the five-character Financial Vehicle element are used to identify the type of
contract and the last two characters should be blank. For example, if the activity
is assigned to the US ACE, the Financial Vehicle entered should be "COE"
("BUR" for Bureau of Reclamation projects). If the activity is assigned to ARCS,
the first three characters of the Financial Vehicle data element should be "ARC."
The fourth and fifth characters identify the particular ARCS contractor. Exhibit
B-20 contains the codes to be placed in characters four and five based on the
existing ARCS contractors. During event/activity planning stages, work that will
be assigned to the ARCS contractors should be identified by placing "ARC" in the
Financial Vehicle. The name of the ARCS contractor and its associated code
should be placed in WasteLAN when inputting the actual obligation data. The
Region should place the funds needed for ARCS program management in the
non-site portion of the WasteLAN data base by contractor.
If Regions are planning to use ARCS contractors and pay for them through
the Regional enforcement extramural budget, the same codes should be used.
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OSWER Directive 9200.3-14-1
EXHIBIT B-20
ARCS CONTRACTOR CODES
CONTRACTOR
CODE
Arthur D. Little
Bechtel
Black & Veatch
Camp, Dresser & McKee
CH2MH1U
Donohue & Associates
EBASCO
Ecology & Environment
Fluor Daniel
ICF Kaiser
Jacobs Engineering
Malcolm - Pirnie
Metcalf & Eddy
Morrison & Knudson
NUS Corporation
PRC Environmental
Sverdrup
TAMS Consultants
Terra-Tech
TRC Environmental
URSCorp.
Roy F. Weston
WW Engineering
October 1993
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OSWER Directive 9200.3-14-1
EARLY AND LONG-TERM ACTION
FY 94 TARGETS AND MEASURES
OVERVIEW OF FY 94 EARLY AND LONG-TERM ACTION TARGETS/MEASURES
Superfund cleanup results are measured through targets and measures that track
progress on three distinct levels: STARS, SCAP, and internal.
SCAP and STARS targets are the tools by which program goals are translated
into quantifiable program achievements. Regions should concentrate their resources
on achieving targets negotiated and set by HQ and the Regions.
STARS is used by the Administrator to set and monitor the progress each
program is making toward meeting its environmental goals. SCAP is used by the
AA SWER, AA of OE, the Office of Federal Facilities Enforcement (OFFE), and
senior Superfund managers to monitor the progress each Region is making toward
achieving its Superfund goals. National and Regional STARS goals are established
and tracked through SCAP. STARS targets are a subset of those contained in SCAP.
Those Superfund activities not tracked at the STARS or SCAP level are
monitored by HQ for internal management purposes.
TARGETS AND MEASURES
A SCAP or STARS target (either semi-annual or annual) is a pre-determined
numerical goal that is negotiated by HQ and the Regions prior to the FY to ensure
that designated activities will take place. All STARS targets are SCAP targets. Ten
percent of a Region's annual budget is established based on STARS and SCAP
targets.
A STARS and/or SCAP measure is used to track an activity that is important in
monitoring overall program progress. The two types of measures are STARS
reporting and SCAP planning/reporting measures. Planning estimates result in
numerical goals established prior to the FY that are used in setting annual budgets.
Regions report progress against the planning estimates. STARS/SCAP reporting
measures have no associated quantitative goals; only actual accomplishments are
tracked.
HQ has developed internal management planning and reporting measures to
monitor activities not currently tracked at the STARS/SCAP level. These measures
are used by HQ for trend analyses and to evaluate progress through the cleanup
pipeline.
STARS/SCAP accomplishments will be pulled from CERCLIS on a quarterly
basis. Accomplishments for internal reporting measures will be tracked semi-
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annually. Regions are evaluated semi-annually according to their completion of
activities within established target areas.
DEVELOPMENT OF FY 94 SCAP/STARS TARGETS AND MEASURES
Early and long-term action SCAP/STARS targets and measures for FY 94 are
broader in scope than in FY 93. A concerted effort was made to combine targets and
measures that in the past were tracked separately to provide maximum flexibility to
the Regions in program implementation and provide incentives for conducting
actions at NFL caliber sites prior to NPL proposal. By incorporating and tracking
cleanup actions on a broader level, the FY 94 early and long-term action targets and
measures provide more program-wide measures of progress being made towards
site cleanup, not just these activities at NPL sites. In addition, the trend established a
few years ago not to develop lead-specific and to combine event specific targets and
measures has been maintained. However, these subgroups will continue to be
tracked for internal management purposes in order to assess, among other things,
the level of PRP participation.
Every attempt has been made to equate SACM activities and definitions to pre-
SACM activities and definitions. Many of the targets/measures and definitions in
FY 94 embody the FY 93 targets/measures. For example, FY 93 RA Completions are
characterized in FY 94 as ACT-6 • Early and Long-Term Action Completions;
therefore, pre-SACM sites completing an RA in FY 94 would receive credit for a
Long-Term Action Completion.
The following pages contain the definitions of the FY 94 early and long-term
action SCAP/STARS targets and measures (with the prefix ACT and an identifying
icon), internal management planning and reporting measures, and early and long-
term action project support activities. Exhibit B-21 displays the full list of these early
and long-term action activities. Exhibit B-22 provides a crosswalk of the FY 94 early
and long-term action targets and measures to the FY 93 targets and measures,
organized in pipeline order. FY 94 targets and measures that are equivalent to those
in FY 93 are identified. Exhibit B-23, at the end of this Appendix, illustrates the long-
term action process. Exhibit B-24, also at the end of this Appendix, describes the
planing requirements for all early and long-term action activities.
October 1993 B-50
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OSWER Directive 9200.3-14-1
EXHIBIT B-21
EARLY AND LONG-TERM ACTION ACTIVITIES
ACT-1 • Duration from
Site Discovery to Site
Construction Completion
Community Relations
Support Agency Assistance
Technical Assistance Grants
Technical Assistance
Treatability Studies
Projects Nominated for
SITE Program
Design Assistance
ACT-2 • Duration from
Cleanup Decision to RD
Completion
ACT-3 • Duration from
Cleanup Decision to Each
Cleanup Action Completion
ACT-4 • Percent of Sites
with Early Actions
RD Starts
RD Completions
RA Starts
RA Contract Award
STARS
-
-
-
-
-
-
-
-
-
-
-
-
-
-
^^^^^^^•^^M
SCAP
Measure
-
-
-
-
-
-
-
Measure
Measure
Measure
-
-
-
^^•^^•I^^BBM
Internal
-
-
Reporting
Reporting
-
-
-
-
Planning
Planning
Planning
Planning
mmfm^^^^^^m
Semi-annual targets are established in SCAP/STARS. Accomplishments are
pulled from CERCLIS on a quarterly basis. Internal measures are planned
and reported semi-annually.
B-51
October 1993
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OSWER Directive 9200.3-14-1
EXHIBIT B-21 (continued)
EARLY AND LONG-TERM ACTION ACTIVITIES
ACT-5 • Sites Addressed
Through Early or
Long-Term Action Starts
ACT-6 • Early and
Long-Term Action
Completions
ACT-7 • NPL Site
Construction Completions
Through Early or
Long-Term Actions
ACT-8 • Non-NPL and
NPL Caliber Site
Construction Completions
Through Early or
Long-Term Actions
Operational and
Functional
Long Term Response
Action
NPL and Non-NPL
Site Completions
Ground Water
Monitoring
Operation and
Maintenance
ACT-9 • Five- Year
Reviews Started
Five- Year Review
Completions
NPL Deletion Initiation
EI-1 • Progress Through
Environmental Indicators
STARS
Measure
Measure
Target
-
-
-
-
-
-
-
-
-
Measure
_^___— ^_^^—
SCAP
Measure
Measure
Target
Measure
-
-
-
-
-
Measure
-
-
Measure
m^BBMMBMH
Internal 1
Reporting
-
-
•^•••••H
Semi-annual targets are established in SCAT/STARS. Accomplishments are
pulled from CERCLIS on a quarterly basis. Internal measures are planned
and reported semi-annually.
October 1993 B-52
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OSWER Directive 9200.3-14-1
EXHIBIT B-22
EARLY AND LONG-TERM ACTION
TARGET/MEASURE CROSSWALK
FY 94 Target/Measure
Equivalent FY 93
Target/Measure
Comments
ACT-1 • Duration From
Site Discovery to Site
Construction Completion
(SCAP measure)
None
New
ACT-2 • Duration From
Cleanup Decision to RD
Completion (SCAP
measure)
None
New
ACT-3 • Duration From
Cleanup Decision to Each
Cleanup Action
Completion (SCAP
measure)
None
New
ACT-4 • Percent of Sites
with Early Actions (SCAP
measure)
None
New
ACT-5 • Sites Addressed
Through Early or
Long-Term Action
(SCAP/STARS measure)
ACT-6 • Early and
Long-Term Action
Completions
(SCAP/STARS measure)
NPL Removal Start
(SCAP target)
Non-NPL Removal Start
(SCAP target)
RA On-Site Construction
(SCAP measure)
NPL Sites Addressed
Through Removal Action
or RI/FS (SCAP/STARS
target)
This measure includes
NPL, non-NPL, and NPL
caliber sites.
Removal Completion
(SCAP measure)
RA Completion (SCAP
target)
This measure counts each
action completed at NPL,
non-NPL, and NPL caliber
sites.
B-53
October 1993
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OSWER Directive 9200.3-14-1
EXHIBIT B-22 (continued)
EARLY AND LONG-TERM ACTION TARGET/MEASURE
CROSSWALK
FY 94 Target/Measure
Equivalent FY 93
Target/Measure
Comments
ACT-7 • NPL Site
Construction Completions
Through Early or
Long-Term Actions
(SCAP/STARS target)
• Final RA NPL Site
Construction
Completion (SCAP
measure)
• NPL Site Construction
Completions (STARS
measure)
• NPL Site Completions
Through Removal
(SCAP target)
This measure includes NPL
sites, and will track the 650
construction completion
goal. In order for early
actions under removal
authority to count, a
Preliminary and/or Final
Close-Out Report or a ROD
with a construction
completion certification
must be prepared.
ACT-8 • Non-NPL and
NPL Caliber Construction
Completions Through
Early or Long-Term
Actions (SCAP measure)
None
This measure includes
non-NPL, and NPL caliber
sites.
ACT-9 • Five-Year
Reviews Started
(SCAP measure)
None
No Change
ENV-1 • Progress Through
Environmental Indicators
(SCAP/STARS measure)
Progress Through
Environmental Indicators
(STARS/SCAP measure)
No Change
October 1993
B-54
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OSWER Directive 9200.3-14-1
SCAP/STARS ICONS
For easy identification of STARS/SCAP targets and measures, each
STARS/SCAP definition is identified by an easily recognizable icon. Each icon
identifies an activity or duration as a target or measure, and whether it is tracked
through STARS and/or SCAP. The icons are as follows:
STARS/SCAP
Target
STARS/SCAP
Measure
SCAP Target
SCAP Measure
EARLY AND LONG-TERM ACTION DEFINITIONS
ACT-1 • Duration From Site Discovery To Site
Construction Completion
Definition of Target/Measure:
This measure shows the average duration from site discovery to site cleanup
through a final early or long-term action.
Definition of Accomplishment:
A site is discovered when a site, spill, release or potential threat of a release is given
an EPA Identification number (EPA ID), or when the discovery event (C2101=DS) is
entered into WasteLAN.
A site is considered cleaned up when physical construction is complete at NPL, non-
NPL or NPL caliber sites as a result of one or several early or long-term actions. (See
ACT-7, NPL Site Construction Completions Through Early or Long-Term Actions,
and ACT-8 Non-NPL and NPL Caliber Site Construction Completions Through
Early or Long-Term Actions, for a more complete definition of site construction
completion.)
The duration will be calculated based on the site discovery date as recorded in
WasteLAN and the SCAP/STARS site construction completion definitions found in
ACT-7 and ACT-8. All sites where construction is completed in FY 94 will be used
in the analysis.
B-55
October 1993
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OSWER Directive 9200.3-14-1
Changes in Definition FY 93 - FY 94:
This is a new SCAP reporting measure for FY 94.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Regions should ensure that Links data are
accurate and up-to-date in order to calculate durations. Duration trends will be
developed using CERCLIS and will continue to focus on good project management
of critical events, and address the need for continuous improvements relative to
meeting the program's goal of accelerating cleanups and reducing risks. HQ will
couple duration data with specific analyses of problem factors to determine the
causes of delays. New SACM trend reports are currently under development. This
measure will not be used for performance evaluation purposes. This is a SCAP
reporting measure.
Community Relations
Definition:
Community Relations (CR) are the activities conducted in accordance with SARA,
the NCP, and the Community Relations Handbook to involve the community in
response activities conducted at a site.
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 AO, CD or IAG, the start of CR is defined as EPA's
written approval of the CRP. When EPA is preparing the CRP at a RP-lead site or at
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 removal action at non-NPL or NPL caliber sites.
Changes in Definition FY 93 - FY 94:
Added non-NPL and NPL caliber sites.
Special Planning/Reporting Requirements:
CR activities at PRP sites or Federal Facilities are paid for by the Regional
enforcement extramural budget or Federal Facility budget, respectively. 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 enforcement, Federal Facility, or
site characterization AOAs.
October 1993 B-56
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OSWER Dkective 9200.3-14-1
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 their 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 under remedial authority support agency costs, may be
documented under a single Superfund account number designated specifically for
support agency activities. RA or early action under remedial authority support
agency activities must be documented site-specifically and require cost share
provisions.
Definition of Accomplishment:
The start of support agency assistance is the signature of the C A 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 93 - FY 94:
Special Planning/Reporting Requirements:
Support agency assistance for RP- and PS-lead site assessment projects are paid for
by the enforcement extramural budget, and are distributed to the Region in the
enforcement AOA. Funds to support MR- and F-lead site assessment projects and
all RD/RA projects are paid for by the response program and are 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 USAGE, U.S.
Fish and Wildlife Service, and ARCS and RAC contractors.
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OSWER Directive 9200.3-14-1
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 93 - FY 94:
This year's definition provides examples of entities that 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
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 93 - FY 94:
Added early actions.
f/
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.
October 1993 B-58
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OSWER Directive 9200,3-14-1
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 - The start of the treatability study is the obligation of funds
specifically for the study. 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 PRP(s). The completion is the
approval of the report on the results of the treatability study.
Changes in Definition FY 93 - FY 94:
Treatability Studies will not be tracked as a SCAP reporting measure in FY 94;
however, they will be reported for internal management purposes.
Special Planning/Reporting Requirements:
Treatability study (C2101 = TS) planned and actual start and completion dates are
required in WasteLAN. Funds are planned site-specifically and are placed in the site
characterization AOA.
Projects Nominated for SITE Program
Definition:
The SITE program assesses new technologies for the treatment of hazardous waste.
Technologies enter the program through an annual solicitation. Once technologies
are selected, it is necessary to find demonstration sites.
Definition of Accomplishment:
A project is nominated for the SITE program when the Region sends a
memorandum to HQ formally submitting the site for consideration as a location for
a demonstration project.
Changes in Definition FY 93 - FY 94:
Projects Nominated for SITE Program will no longer be tracked as a SCAP reporting
measure in FY 94; however, these projects will continue to be reported for internal
management purposes.
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OSWER Directive 9200.3-14-1
Special Planning/Reporting Requirements:
These projects are reported site-specifically. Fund-financed or RP-lead sites may be
submitted for consideration. The coding requirements can be found in the General
Planning and Reporting Requirements section of this Appendix.
Design Assistance
Definition:
Design assistance activities are undertaken by the USAGE in preparation for
initiating RD activities. This includes:
• Synopsizing RD requirements in the Commerce Business Daily (CBD);
• Developing architect/engineer (A/E) firm pre-selection list;
• Contacting A/E firms on the pre-selection list to ascertain interest in project;
• Developing A/E selection list; and
• Tentatively selecting A/E firm.
Definition of Accomplishment:
The initiation of design assistance is the obligation of funds. The completion of
design assistance is the start of RD.
Changes in Definition FY 93 - FY 94:
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.
ACT-2 • Duration From Cleanup Decision to RD
Completion
Definition of Target/Measure:
This measure shows the average duration from cleanup decision to the completion
of each RD.
October 1993 B-60
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OSWER Directive 9200.3-14-1
Definition of Accomplishment:
A cleanup decision is made at a site when a ROD is signed for each long-term action.
A RD is complete when:
• Fund-financed - For Federal (F) or State (S) lead projects, EPA approves/ in
writing, the final design package.
• PRP-financed - 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.
The duration will be calculated based on the STARS/SCAP definition for Decision
Document Developed (RDT-1) (see Appendix A) and the RD Completion definition
above. This duration will be calculated for all sites where a RD actually is completed
inFY94.
Changes in Definition FY 93 - FY 94:
This is a new SCAP reporting measure for FY 94. The definitions for Decision
Document Developed and RD Completions have not changed between FY 93
and FY 94.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Regions should ensure that Links data are up-to-
date and accurate in order to perform duration calculations. Duration trends will be
developed using CERCLIS and will continue to focus on good project management
of critical events and address the need for continuous improvements relative to
meeting the program's goal of accelerating cleanups and reducing risks. HQ will
couple duration data with specific analyses of problem factors to determine the
causes of delays. New SACM trend reports are currently under development. This
measure will not be used for performance evaluation purposes. This is a SCAP
reporting measure.
ACT- 3 • Duration From Cleanup Decision to Each
Cleanup Action Completion
Definition of Target/Measure:
This measure analyzes the average duration from cleanup decision to the completion
of each early or long-term action.
Separate durations will be calculated for each type of cleanup completion: ACT-3A,
Duration from Cleanup Decision to Early Action Completion, will measure the
duration from cleanup decision to each early action completion in FY 94 under
B-61 October 1993
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OSWER Directive 9200.3-14-1
remedial or removal authority; ACT-SB, Duration from Cleanup Decision to Each
Long-Term Action Completion, will measure the duration from cleanup decision to
each long-term action completed in FY 94.
Definition of Accomplishment:
A cleanup decision is made at a site when a remedy is selected for early or long-term
action (e.g., Action Memorandum or ROD).
An early action is a response performed under removal or remedial authority that
eliminates or reduces threats to public health or the environment from the actual or
potential release of hazardous substances. These risk reduction activities can be
conducted as emergency response, time-critical or NTC removal actions, or as early
actions under remedial authority.
An early action under removal authority is complete when the actions specified in
the Action Memorandum and enforcement document (if RP-lead) are met as
documented in a Pollution Report (POLREP).
An early action under remedial authority is complete when the Region signs a letter
accepting the Early Action Report.
Long-term actions are responses taken under remedial authority intended to achieve
the completion of more extensive site remediation activities, such as restoration of
surface and ground water resources.
A long-term action is considered complete when the Region signs a letter accepting
the RA report.
The duration will be calculated based on the STARS/SCAP definitions for Decision
Document Developed (RDT-1) (see Appendix A) and Early and Long-Term Action
Completions (ACT-6). This measure will calculate the duration for all sites where an
early or long-term action is actually completed in FY 94.
Changes in Definition FY 93 - FY 94:
This is a new SCAP reporting measure for FY 94.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Regions should ensure that Links data are up-to-
date and accurate in order to perform duration calculations. Separate durations will
be calculated for each cleanup completion: ACT-3A, Duration from Cleanup
Decision to Early Action Completion, will measure the duration from cleanup
decision to each early action completion in FY 94 under remedial or removal
authority; ACT-SB, Duration from Cleanup Decision to Each Long-Term Action
Completion, will measure the duration from cleanup decision to each long-term
action completed in FY 94. Duration trends will be developed using CERCLIS and
October 1993 B-62
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OSWER Directive 9200.3-14-1
will continue to focus on good project management of critical events, and address
the need for continuous improvements relative to meeting the program's goal of
accelerating cleanups and reducing risks. HQ will couple duration data with
specific analyses of problem factors to determine the causes of delays. New SACM
trend reports are currently under development. This measure will not be used for
performance evaluation purposes. This is a SCAP reporting measure.
ACT- 4 • Percent of Sites with Early Actions
Definition of Target/Measure:
This measure will compare the number of sites with early action starts under
remedial or removal authority to the total universe of sites where a cleanup decision
has been made under SACM, or a cleanup decision has been made at a NPL, non-
NPL, or NPL caliber site pre-SACM.
Definition of Accomplishment:
A cleanup decision is made at a site when a remedy is selected for early or long-term
action (e.g., Action Memorandum or ROD).
An early action is a response performed under removal or remedial authority that
eliminates or reduces threats to public health or the environment from the actual or
potential release of hazardous substances. These risk reduction activities can be
conducted as emergency response, time-critical or NTC removal actions, or as early
actions under remedial authority.
This measure will examine both current and former NPL, non-NPL, and NPL caliber
sites. It will include the following:
• All current and former NPL or non-NPL sites where WasteLAN indicates that an
Action Memorandum resulted in a removal (actual start date) being started in
FY 92 or FY 93 (C2101=RV); or
• All current and former NPL sites where WasteLAN shows a ROD (actual
completion date) led to the implementation (actual start date) of a quick response
action or Expedited Response Action (ERA) in FY 92 or FY 93 (C2101=RO and
C2101=RA and C2118=EA or C2101=ER).
The total number of removals and ERAs will be compared to the total number of
current and former NPL or non-NPL sites where an Action Memorandum or a ROD
(excluding RODs that state that no remediation is required, RODs that state that all
remediation is complete, or RODs that state that the only action necessary is
institutional controls) was signed between FY 92 and FY 93; and
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OSWER Directive 9200.3-14-1
• Those sites (NPL, non-NPL, or NPL caliber) where a cleanup decision (actual
ROD or Action Memorandum completion date) resulted in the start of an early
action (C2101=RV, C3101=AM, and C2118=EM, TC or NT or C2101=RO,
C2101=RA, and C2118=EA) in FY 93 and FY 94 compared to the total number of
sites where cleanup decisions were made in FY 93 and FY 94.
The STARS/SCAP definition for Decision Document Developed (RDT-1) (See
Appendix A) and the early action starts definition contained in ACT-5, Sites
Addressed Through Early and Long-Term Action Starts, will be used to
determine a site's eligibility.
This measure will look at the total number of sites (not the total number of actions)
with early actions (regardless of lead) compared to the total number of sites where
cleanup decisions have been made. A site is counted in the universe of sites with
early actions if either a removal, an ERA, or an early action under remedial authority
started at the site in FY 92, FY 93, or FY 94. A site is counted in the total universe of
sites where a cleanup decision has been made if either an Action Memorandum or a
ROD was signed at the site. A site can only be counted once in the universe of sites
where cleanup decisions have been made and can only be counted once in the
universe of sites with an early action start.
Changes in Definition FY 93 - FY 94:
This is a new SCAP reporting measure for FY 94.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. SN and SR-lead sites will not be included in the
calculation. Data on cleanup decisions and early actions will be developed using
CERCUS. HQ will conduct the analysis. This is a SCAP reporting measure.
RD Starts
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 CO signs the contract modification for the RD;
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OSWER Directive 9200.3-14-1
• A CA is signed by the Regional Administrator or his designee; or
• An LAG 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 Region approves, in writing, the PRP design contractor and
an enforcement document, which clearly spells out EPA's expectations with respect
to the RD, exists or is planned. The actual date for the RD start and the planned or
actual completion date for the associated enforcement document must be entered in
WasteLAN.
For PS-lead sites, credit will be given based on the issuance of a State order or other
comparable State enforcement document for RD (or RD/RA) or, if the RD is covered
by a pre-existing State order, the RD notice to proceed date.
If PRPs are doing the work "in-house" pursuant to an enforcement settlement
document, the start date is when EPA authorizes the PRPs to proceed, as
documented in a memorandum to the file.
Changes in Definition FY 93 - FY 94:
RD Starts will not be tracked as a SCAP target in FY 94; however, they will continue
to be planned and reported for internal management purposes.
Special Planning/Reporting Requirements:
Accomplishments are reported as an actual start date site-specifically (C2101=RD) in
WasteLAN. Funds for RDs are in the site characterization AOA. This is an internal
planning measure.
RD Completion
Definition:
The RD converts the remedy selected in the ROD into a final design package for RA.
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OSWER Directive 9200.3-14-1
Definition of Accomplishment:
A RD is complete when:
• Fund-financed Federal (F) or State (S) lead - EPA approves, in writing, the final
design package.
• PRP-financed - 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 93 - FY 94:
RD Completions will not be tracked as a SCAP target in FY 94; however, they will
continue to be planned and reported for internal management purposes.
Special Planning/Reporting Requirements:
Accomplishments are reported as actual completion dates site-specifically in
WasteLAN (C2101=RD). This is an internal planning measure.
Remedial Action 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 LAG or CA is
awarded, and funds are obligated. The actual start date is entered into WasteLAN
with the RA (C2101=RA).
PRP-financed (RP-, MR- crTS-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 Unilateral
Administrative Order (UAO) as the RD, the RA start is the date EPA approves
the PRP RD package (RD completion);
• 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 the PRP RD package; or
• 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
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OSWER Directive 9200.3-14-1
judgment for RA only, the RA start date is the date on which the PRPs provide
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 DOJ (as
recorded in WasteLAN as the actual CD start (C1701=CD)). 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 93 - FY 94:
RA Starts will not be tracked as a SCAP target in FY 94; however, they will continue
to be planned and tracked for internal management purposes.
Special Planning/Reporting Requirements:
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-23).
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, USACE, or BUREC awards a contract to
initiate a Fund-financed RA.
If the ARCS contractor is assigned RA responsibility, the award of RA contract is
defined as the date the RA subcontract is awarded. If the ERCS or ERRS contractor
will be performing the RA, award of RA contract is defined as the date of obligation
of funds to the ERCS or ERRS contractor for the RA.
PRP-financed (RP-, MR- or PS-lead events) - Date (recorded in WasteLAN as an actual
completion date) when the PRP has begun substantial and continuous physical
action, which is equivalent to an EPA contract award, or where the PRP has taken
equivalent action with its own work force. The date of substantial and continuous
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physical action must be documented in a memorandum to the file. A copy of the
mobilization report from the contracting party is also acceptable.
Changes in Definition FY 93 - FY 94:
The PRP RA contract award must be documented in a memo to the file or a report
from the PRP's contractor. RA Contract Award will not be tracked as a STARS
target in FY 94; however, it will continue to be planned and reported for internal
management purposes.
Special Planning/Reporting Requirements:
The actual completion date 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-23).
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-NFL, 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, USAGE, BUREC, State or PRP, or their contractors,
have mobilized for on-site construction of the long-term action remedy selected in
the ROD.
/
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; 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.
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Early Action - A site is addressed by an early action when the EPA, 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 Under Removal Authority - The following data must be entered into
WasteLAN:
- The date of on-site construction as the early action (C2101=RV) actual start
date;
- The early action category code (C2118), classifying the early action as
time-critical (TC), NTC (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.
• Early Action Under Remedial Authority
Fund-financed (F- and S-lead) - The following data must be entered into WasteLAN:
- The date of obligation of funds for the early action under remedial
authority as the actual RA (C2101=RA) start date. Funds are obligated
when the CO 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;
- 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;
- The early action category code (C2118=EA); and
- The NPL status indicator as Proposed or Final (C305=P or F).
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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 under remedial authority on-site construction as
the RA on-site construction subevent (C2101=RA and C3101=RO) actual
completion date; and
- The early action category code (C2118=EA).
Changes in Definition FY 93 - FY 94:
This is a new SCAP reporting measure for FY 94 and incorporates the following FY
93 targets /measures:
• NFL Removal Start;
• Non-NPL Removal Start;
• RA On-Site Construction; and
• NPL Sites Addressed Through Removal Action or RI/FS.
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 ERA) 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. Therefore,
historical data must be reviewed prior to reporting accomplishments. This is a
SCAP/STARS reporting measure. Early and long-term action starts will be tracked
separately for internal management purposes. Accomplishments under this
measure will count toward the SARA RA start mandate.
ACT-6 • Early or Long-Term Action Completions
Definition of Target/Measure:
Early actions are responses performed at NPL, non-NPL or NPL caliber sites under
removal or remedial authority 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
NTC removal actions, or as early actions under remedial authority. This measure
tracks each early action completion at a site.
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Long-term actions are cleanup responses intended to achieve the completion of more
extensive site remediation such as restoration of surface and ground water
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 Under Removal Authority
• A Fund-financed early action under removal authority is considered complete
when the actions specified in the Action Memorandum are met, the contractor
has demobilized and left the site (as documented in the POLREP and recorded as
the removal (C2101=RV) actual completion date in WasteLAN), and no
additional expenditures are anticipated for that action.
• A PRP-financed early action under removal authority is considered complete
when the Region has certified that the PRPs or their contractors have completed
the actions specified in the Action Memorandum and fully met the terms of an
AOC, UAO, CD, or judgment (as documented in the POLREP and recorded as
the removal (C2101=RV) actual completion date in WasteLAN).
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.
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 CERCLA removal authority funds are anticipated to
be expended on this action. In this instance, no CERCLA removal authority
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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 Under 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 and C2118=EA). The date must be entered
as an actual completion date (C2141) into WasteLAN.
Changes in Definition FY 93 - FY 94:
This is a new SCAP/STARS reporting measure for FY 94 and incorporates the
following FY 93 Targets/Measures:
/
• Removal Completion, and
• RA Completion.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. This is a SCAP/STARS reporting measure.
Early and long-term action completions will be tracked separately but
accomplishments will be reported on a combined basis. See Long-Term Action Flow
Chart at the end of this Appendix (Exhibit B-23).
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ACT-7 • NPL Site Construction Completions Through
Early or Long-Term Actions
Definition of Target/Measure:
Construction at a NPL site is considered complete when:
• Physical construction under removal or remedial authority 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 OU staring 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.
Accomplishments under this measure will count toward the goal of 650 site
construction completions by the end of the year 2000.
Definition of Accomplishment:
Early or Long-Term Construction Under Remedial Authority is complete when:
• Construction activities at all OUs are complete;
• A pre-final inspection for the final OU has been conducted;
• A Preliminary Site Close-Out Report has been prepared. This 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 Operational and Functional
(O&F) phase), approval of the O&M work plan, and establishment of
institutional controls. (Note: A Preliminary Site Close-Out Report is not
required if the Region immediately prepares a Final Superfund Close-Out
Report); and
• The designated Regional official signs the Preliminary or Final Site Close-Out
Report. The completion date of the report must be entered into WasteLAN as the
actual completion of the subevent, Preliminary Close-Out Report Prepared
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(C2101=RA and C3101=CC or C2101=RA, C2118=EA, and C3101=CC), or Final
Superfund Site Close-Out Report Prepared (C2101=RA and C3101=CL or
C2101=RA, C2118=EA, and C3101=CL).
Accomplishments are credited based on the actual completion date of the
Preliminary Site Close-Out Report Prepared (C2101=RA and C3101=CC or
C2101=RA, C2118=EA/ and C3101=CC) or the Final Superfund Site Close-Out
Report Prepared (C2101=RA and C3101=CL or C2101=RA, C2118=EA, and
C3101=CL).
RODs that Document Construction Completion
• ROD for the only OU that states that no remediation is required is signed by the
Regional Administrator/Deputy Regional Administrator. The ROD must
include a construction completion certification. This ROD is equivalent to a Final
Superfund Site Close-Out Report and must be coded as such in WasteLAN.
There should be no future early or long-term actions, including LTRA, at the
site. Regions must enter the date of ROD signature as the actual ROD and Close-
Out Report (C2101=RO and C3101=CL) completion date, the Tech Information
Type (C3401 = RT), and the Actions Deemed Unnecessary technical qualifier
{C3402 = AC) into WasteLAN.
• ROD that states that all necessary remediation is complete is signed for the final OU
by the Regional Administrator/Deputy Regional Administrator. There should
be no further early or long-term actions conducted at the site after this ROD is
signed. Regions may receive credit under this measure if the LTRA required
by a previous ROD at another OU is ongoing. The ROD must document
compliance with the statutory requirements for site close-out and include a
construction completion certification. This ROD is equivalent to a Final
Superfund Site Close-Out Report and must be coded as such in WasteLAN. If
the ROD does not document compliance with the statutory requirements for site
close-out and have a construction completion certification a Final Superfund Site
Close-Out Report must also be prepared and signed by the Regional
Administrator. Regions must enter the date of ROD signature as the actual
completion date of the ROD and Close-Out Report (C2101=RO and C3101=CL),
the Tech Information Type (C3401 = RT), and the Necessary Actions Complete
technical qualifier (C3402 = NA) into WasteLAN. If a separate Final Superfund
Site Close-Out Report is prepared, the completion date also must be entered into
WasteLAN as the actual completion date of the ROD subevent, Final Close-Out
Report (C2101=RO and C3101=CL).
• ROD that states the only necessary remediation is the implementation of an institutional
control(s) is signed for the final OU by the Regional Administrator/Deputy
Regional Administrator. There should be no further early or long-term actions
conducted at the site after this ROD is signed. Regions may receive credit
under this measure if the LTRA required by a previous ROD at another OU is
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ongoing. The ROD must document compliance with the statutory requirements
for site close-out and include a construction completion certification. This ROD
is equivalent to a Final Superfund Site Close-Out Report and must be coded as
such in WasteLAN. If the ROD does not document compliance with the
statutory requirements for site close-out and include a construction completion
certification a Final Superfund Site Close-Out Report must also be prepared and
signed by the Regional Administrator. Regions must enter the date of ROD
signature as the actual completion date of the ROD and Close-Out Report
(C2101=RO and C3101=CL), the Tech Information Type (C3401 - RT), and the
Institutional Controls Implemented technical qualifier (C3402 = 1C) into
WasteLAN. If a separate Final Superfund Site Close-Out Report is prepared, the
completion date also must be entered into WasteLAN as the actual completion
date of the ROD subevent, Final Close-Out Report (C2101=RO and C3101=CL).
• For State-lead, State signed RODs, where the ROD is also signed by EPA,
accomplishments are reported as the date EPA signs the ROD. As with EPA
RODs, the State ROD must document compliance with the statutory
requirements for site close-out and include a construction completion
certification. This ROD is equivalent to a Final Superfund Site Close-Out Report
and must be coded as such in WasteLAN. If the ROD does not document
compliance with the statutory requirements for site close-out and include a
construction completion certification, a Final Superfund Site Close-Out Report
must also be prepared and signed by the Regional Administrator. Regions must
enter the date EPA signs the ROD as the actual ROD and close-out report
signature date (C2101=RO and C3101=CL), the Tech Information Type
(C3401=RT) and the appropriate technical qualifier (C3402=NA, AC, or 1C). If a
separate Final Superfund Site Close-Out Report is prepared, the completion date
also must be entered into WasteLAN as the actual completion date of the ROD
subevent, Final Close-Out Report (C2101=RO and C3101=CL).
Accomplishments are credited based on the date the Regional
Administrator/Deputy Regional Administrator signs the ROD or Final Superfund
Site Close-Out Report. These dates must be reported in WasteLAN (C2101=RO
and C3101=CL).
Time-Critical and NTC Early Action Construction Under Removal Authority at
NPL sites is complete when:
• Fund-financed:
- The contractor has demobilized and left the site as documented in a POLREP;
- The removal (C2101=RV) completion date has been entered into WasteLAN
as the actual completion date;
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- The early action event qualifier that indicates that the site is cleaned up
(C2103=C) is entered into WasteLAN; and
- A Final Superfund Site Close-Out Report has been prepared and signed by
the Regional Administrator/Deputy Regional Administrator OR a ROD that
states that all necessary remediation is complete, documents compliance with
the statutory requirements for site close-out, and includes a construction
completion certification is signed by the Regional Administrator/Deputy
Regional Administrator. This ROD is equivalent to a Final Superfund Close-
Out Report and must be recorded as such in WasteLAN. 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 the LTRA required at another OU is ongoing. The signature date of the
ROD (C2101=RO and CL) that states that all remediation is complete must be
entered into WasteLAN as the actual ROD and close-out report completion
date. The Tech Information Type (C3401=RT) and the Necessary Actions
Complete technical qualifier (C3402=NA) also must be entered into
WasteLAN. If a separate Final Superfund Site Close-Out Report is prepared,
the completion date must be reported in WasteLAN as the actual completion
date of the removal subevent, Final Close-Out Report (C2101=RV and
C3101=CL).
• PRP-financed:
- The Region certifies that the PRPs or their contractor have completed the
early action specified in the Action Memorandum and fully met the terms of
the AO, CD, or judgment, as documented in the POLREP;
- The removal (C2101=RV) completion date has been entered into WasteLAN
as the actual completion date;
- The early action event qualifier that indicates that the site is cleaned up
(C2103=C) is entered into WasteLAN; and
- A Final Superfund Site Close-Out Report has been prepared and signed by
the Regional Administrator OR a ROD that states that all necessary
remediation is complete, documents compliance with the statutory
requirements for site close out, and includes a construction completion
certification is signed by the Regional Administrator/Deputy Regional
Administrator. This ROD is equivalent to a Final Superfund Site Close-Out
Report and must be coded as such in WasteLAN. 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 the
LTRA required at another OU is ongoing. The signature date of the ROD
that states that all remediation is complete must be entered into WasteLAN as
the actual ROD and close-out report (C2101=RO and C3101=CL) completion
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date. The Tech Information Type (C3401=RT) and the Necessary Actions
Complete technical qualifier (C3402=NA) also must be entered into
WasteLAN. If a separate Final Superfund Site Close-Out Report is prepared,
the completion date must be reported in WasteLAN as the actual completion
date of the removal subevent, Final Close-Out Report (C2101=RV and
C3101=CL).
Accomplishments are credited based on the date Regional Administrator/Deputy
Regional Administrator signs the ROD or Final Superfund Close-Out Report.
These dates must be reported in WasteLAN (C2101=RO and C3101=CL).
Changes in Definition FY 93 - FY 94:
This is a new STARS/SCAP target for FY 94 and incorporates the following FY 93
Tar gets / Measures:
• Final RA NPL Site Construction Completion;
• NPL Site Construction Completion; and
• NPL Site Completions Through Removals.
For early actions, a Final Superfund Site Close-Out Report or ROD that states that all
necessary remediation is complete is required. Institutional RODs have been added
and the necessary ROD qualifiers have been revised.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. This is a STARS/SCAP target.
Accomplishments under this measure will count toward the goal of 650 NPL
Construction Completions by the end of the year 2000. See Long-Term Action Flow
Chart at the end of this Appendix (Exhibit B-23).
ACT-8 • Non-NPL and NPL Caliber Site Construction
Completions Through Early or Long-Term Actions
Definition of Target/Measure:
Construction at NPL caliber sites is considered complete for RP-lead sites when:
• Physical construction under remedial or removal authority is complete at a site
as a result of one or several early or long-term actions; or
• A ROD is signed at the only OU at a site stating that no remediation is required;
or
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• A ROD is signed at the final OU at a site stating that all necessary remediation is
complete; or
• A ROD is signed at the final OU stating that the only necessary remediation is
the implementation of an institutional control(s).
Construction at NFL caliber sites is considered complete for Fund-lead sites when:
• Physical construction under removal authority is complete at a site as a result of
one or several early actions;
• A ROD is signed at the only OU at a site stating that no remediation is required;
• A ROD is signed at the final OU at a site stating that all necessary remediation is
complete; or
• A ROD is signed at the final OU staring that the only necessary remediation is
the implementation of an institutional control(s).
Construction at non-NPL sites is considered complete (PRP- or Fund-lead) when:
• Physical construction/cleanup of a hazardous substance release under removal
authority is complete at the site as a result of one or several early actions.
Sites that receive credit under this measure will have achieved final cleanup goals
or have no further response actions, other than the ongoing LTRA component of
the cleanup actions being performed.
Definition of Accomplishment:
Construction at NPL caliber sites is complete for RP-lead sites when:
• Time Critical and Non-Time Critical Removal Actions
- Construction activities under removal authority are complete at all OUs;
- The contractor has demobilized and left the site, as documented in a final
POLREP;
- The removal (C2101=RV) completion date has been entered into WasteLAN
as the actual completion date; and
- The early action event qualifier that indicates that the site has been cleaned up
(C2103=C) is entered into WasteLAN.
Accomplishments are credited based on the actual removal (C2101=RV)
completion date with the "cleaned up" event qualifier (C2103=C).
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• Early or Long-Term Action Under Remedial Authority:
- Construction activities under remedial authority are complete at all OUs;
- A pre-final inspection of the site has been conducted;
- A Preliminary Site Close-Out Report has been prepared. This 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
Operational and Functional (O&F) phase), approval of the O&M work plan,
and establishment of institutional controls. (Note: A Preliminary Site Close-
Out Report is not required if the Region immediately prepares a Final
Superfund Site Close-Out Report); and
- The designated Regional official signs the Preliminary or Final Site Close-Out
Report. The completion date of the report must be entered into WasteLAN as
the actual completion of the subevent, Preliminary Close-Out Report
Prepared (C2101=RA and C3101=CC or C2101=RA, C2118=EA, and
C3101=CC) or Final Superfund Site Close-Out Report Prepared (C2101=RA
and C3101=CL or C2101=RA/ C2118=EA/ and C3101=CL).
Accomplishments are credited based on the actual completion date of the RA
subevent, Preliminary Close-Out Report Prepared (C2101=RA and C3101=CC or
C2101=RA, C2118=EA, and C3101=CC) or Final Superfund Site Close-Out Report
Prepared (C2101=RA and C3101=CL or C2101=RA, C2118=EA, and C3101=CL).
• RODs that Document Construction Completion:
- ROD for the only OU that states that no remediation is required is signed by the
Regional Administrator/Deputy Regional Administrator. The ROD must
include a construction completion certification. There should be no future
early or long-term actions at the site. Regions must enter the date of ROD
(C2101=RO) signature as the actual completion date, the Tech Information
Type (C3401 = RT), and the Actions Deemed Unnecessary technical qualifier
(C3402 = AC) into WasteLAN.
- ROD that states that all necessary remediation is complete is signed for the final
OU by the Regional Administrator/Deputy Regional Administrator. The
ROD must document compliance with the statutory requirements for site
close-out and include a construction completion certification. There should
be no further early or long-term actions conducted at the site after this ROD
is signed. Regions may receive credit under this measure if the LTRA
required by a previous ROD or Action Memorandum is ongoing. Regions
must enter the date of ROD (C2101=RO) signature as the actual completion
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date, the Tech Information Type (C3401 = RT), and the Necessary Actions
Complete technical qualifier (C3402 = NA) into WasteLAN.
- ROD that states the only necessary remediation is the implementation of an
institutional controKs) is signed for the final OU by the Regional
Administrator/Deputy Regional Administrator. The ROD must document
compliance with the statutory requirements for site close-out and include a
construction completion certification. There should be no further early or
long-term actions conducted at the site after this ROD is signed. Regions
may receive credit under this measure if the LTRA required by a previous
ROD or Action Memorandum is ongoing. Regions must enter the date of
ROD (C2101=RO) signature as the actual completion date, the Tech
Information Type (C3401 = RT), and the Institutional Controls Implemented
technical qualifier (C3402 = 1C) into WasteLAN.
- For State-lead, State signed RODs, where the ROD is also signed by EPA,
accomplishments are reported as the date EPA signs the ROD. The ROD
should include a construction completion certification and document
compliance with the statutory requirements for site close-out.
Accomplishments are credited based on the actual ROD (C2101=RO) signature
date.
Construction at NPL caliber sites is complete for Fund-lead sites when:
• Time Critical and Non-Time Critical Removal Actions
- Construction activities under removal authority are complete at all OUs;
- The contractor has demobilized and left the site, as documented in a final
POLREP;
- The removal (C2101=RV) completion date has been entered into WasteLAN
as the actual completion date; and
- The early action event qualifier that indicates that the site has been cleaned up
(C2103=C) is entered into WasteLAN.
Accomplishments are credited based on the actual removal (C2101=RV)
completion date with the "cleaned up" event qualifier (C2103=C).
• RODs that Document Construction Completion:
- ROD for the only OU that states that no remediation is required is signed by the
Regional Administrator/Deputy Regional Administrator. There should be
no future early or long-term actions at the site. Regions must enter the date
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of ROD (C2101=RO) signature as the actual completion date, the Tech
Information Type (C3401 = RT), and the Actions Deemed Unnecessary
technical qualifier (C3402 = AC) into WasteLAN.
- ROD that states that all necessary remediation is complete is signed for the final
OU by the Regional Administrator/Deputy Regional Administrator or the
AA SWER. There should be no further early or long-term actions
conducted at the site after this ROD is signed. Regions may receive credit
under this measure if the LTRA required by a previous ROD or Action
Memorandum is ongoing. Regions must enter the date of ROD (C2101=RO)
signature as the actual completion date, the Tech Information Type (C3401 =
RT), and the Necessary Actions Complete technical qualifier (C3402 = NA)
into WasteLAN.
- ROD that states the only necessary remediation is the implementation of an
institutional control(s) is signed for the final OU by the Regional
Administrator/Deputy Regional Administrator. There should be no further
early or long-term actions conducted at the site after this ROD is signed.
Regions may receive credit under this measure if the LTRA required by a
previous ROD or Action Memorandum is ongoing. Regions must enter the
date of ROD (C2101=RO) signature as the actual completion date, the Tech
Information Type (C3401 = RT), and the Institutional Controls Implemented
technical qualifier (C3402 = 1C) into WasteLAN.
- For State-had, State signed RODs, where the ROD is also signed by EPA,
accomplishments are reported as the date EPA signs the ROD. The ROD
should include a construction completion certification and document
compliance with the statutory requirements for site close-out.
Accomplishments are credited based on the actual ROD (C2101=RO) signature
date.
Construction at non-NPL sites is complete when:
• Construction activities specified in the Action Memorandum (removal authority)
are complete;
• The contractor has demobilized and left the site, as documented in a final
POLREP;
• The removal (C2101=RV) completion date has been entered into WasteLAN as
the actual completion date; and
• The early action event qualifier that indicates that the site has been cleaned up
(C2103=C) is entered into WasteLAN.
B-81 October 1993
-------
OSWER Directive 9200.3-14-1
Accomplishments are credited based on the actual removal (C2101=RV)
completion date with the "cleaned up" event qualifier (C2103=C).
Changes in Definition FY 93 - FY 94:
This is a new SCAP reporting measure for FY 94.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. This is a SCAP reporting measure.
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 93 • FY 94:
Added PRP information.
Special Planning/Reporting Requirements:
Since it is a subevent, O&F only has a completion date. See Long-Term Action Flow
Chart at the end of this Appendix (Exhibit B-23).
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.
October 1993 B-82
-------
OSWER Directive 9200.3-14-1
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.
Definition of Accomplishment:
LIRA begins when EPA and the State (Fund-financed LIRA) 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 93 - FY 94:
Added RP-lead definition.
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-23).
NPL and Non-NPL Site Completions
Definition of Target/Measure:
A NPL or non-NPL site is completed when:
• Cleanup goals are reached as a result of one or several early or long-term actions;
• A ROD is signed for the only OU at a site stating that no remediation is required;
• A ROD is signed for the final OU at a site stating that all necessary remediation is
complete;
B-83 October 1993
-------
OSWER Directive 9200.3-14-1
A ROD is signed for the final OU stating that the only necessary remediation
the implementation of an institutional control(s); or
is
• Site Evaluation Accomplished (SEA) is determined as a result of site screening
and assessment activities.
Sites that receive credit under this measure will have achieved final cleanup goals
or have no further response actions, including LTRA.
Definition of Accomplishment:
A final long-term action RA or early action under remedial authority is complete
when:
• Construction activities at all OUs are complete;
• LTRA at all OUs is complete;
• A pre-final inspection of the site has been conducted;
• A Preliminary Site Close-Out Report has been prepared and signed by the
designated Regional official. This 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. The date of the Preliminary Close-Out Report must be
reported in WasteLAN as the actual completion date of the RA subevent,
Preliminary Close-Out Report Prepared (C2101=RA and C3101=CC or
C2101=RA, C2118=EA, and C3101=CC). (Note: A Preliminary Close-Out Report
is unnecessary if the Region immediately prepares a Final Superfund Site Close-
Out Report);
• A final inspection has been conducted (C2101=RA and C3101=PQ or C2101=RA,
C2118=EA, and C3101=PQ);
• The remedy is O&F (C2101=RA and C3101=OF or C2101=RA, C2118=EA, and
C3101=OF);
• A letter accepting the RA or Early Action Report has been signed by the
designated Regional official (Branch Chief or above). The date of the letter is
entered into WasteLAN as the actual RA (C2101=RA) or early action under
remedial authority (C2101=RA and C2118=EA) completion date; and
• A Final Superfund Site Close-Out Report has been prepared and the actual
completion date reported in WasteLAN with the RA subevent, final Close-Out
Report (C2101=RA and C3101=CL or C2101=RA, C2118=EA, and C3101=CL).
October 1993 B-84
-------
OSWER Directive 9200.3-14-1
Accomplishments are credited based on the date the Regional Administrator signs
the Final Superfund Site Close-Out Report. The date of acceptance must be
entered into WasteLAN as the actual completion of the Final Superfund Site
Close-Out Report subevent (C2101=RA and C3101=CL or C2101=RA, C2118=EA,
and C3101=CL).
RODs that Document Completion
• ROD for the only OU that states that no remediation is required is signed by the
Regional Administrator/Deputy Regional Administrator. The ROD must
include a construction completion certification. There should be no future early
or long-term actions at the site. Regions must enter the date of ROD
(C2101=RO) signature as the actual completion date, the Tech Information Type
(C3401 = RT), and the Actions Deemed Unnecessary technical qualifier (C3402 =
AC) into WasteLAN.
• ROD that states that all necessary remediation is complete is signed for the final OU
by the Regional Administrator/Deputy Regional Administrator. The ROD must
document compliance with the statutory requirements for site close-out and
include a construction completion certification OR a Final Superfund Site Close-
Out Report must be prepared and signed by the Regional Administrator. There
should be no further early or long-term actions, including LTRA, conducted at
the site after this ROD is signed. If LTRA is ongoing at another OU, the
signature of the ROD will not be credited as an accomplishment. Regions
must enter the date of ROD (C2101=RO) signature as the actual completion date,
the Tech Information Type (C3401 = RT), and the Necessary Actions Complete
technical qualifier (C3402 = NA) into WasteLAN. If a separate Final Superfund
Site Close-Out Report is prepared, the completion date also must be entered into
WasteLAN as the actual completion date of the ROD subevent, Final Close-Out
Report (C2101=RO and C3101=CL).
• ROD that states the only necessary remediation is the implementation of an institutional
control(s) is signed for the final OU by the Regional Administrator/Deputy
Regional Administrator. The ROD must document compliance with the
statutory requirements for site close-out and include a construction completion
certification OR a Final Superfund Site Close-Out Report must be prepared and
signed by the Regional Administrator. There should be no further early or
long-term actions, including LTRA, conducted at the site after this ROD is
signed. If LTRA is ongoing at another OU, the signature of the ROD will not
be credited as an accomplishment. Regions must enter the date of ROD
(C2101=RO) signature as the actual completion date, the Tech Information Type
(C3401 = RT), and the Institutional Controls Implemented technical qualifier
(C3402 = 1C) into WasteLAN. If a separate Final Superfund Site Close-Out
Report is prepared, the completion date also must be entered into WasteLAN as
the actual completion date of the ROD subevent, Final Close-Out Report
(C2101=RO and C3101=CL).
B-85 October 1993
-------
OSWER Directive 9200.3-14-1
• For State-lead, State signed RODs, where the ROD is also signed by EPA,
accomplishments are reported as the date EPA signs the ROD. With EPA RODs,
the State ROD must document compliance with the statutory requirements for
site close-out and include a construction completion certification, OR a Final
Superfund Site Close-Out Report must be prepared and signed by the Regional
Administrator.
Accomplishments are credited based on the actual ROD (C2101=RO) signature
date or the date the Regional Administrator signs the Final Superfund Site Close-
Out Report (C2101=RO and C3101=CL), if a separate document is prepared.
Time-Critical or NTC Early Actions Under Removal Authority are complete when:
• Fund-financed:
- The contractor has demobilized and left the site, as documented in a POLREP;
- The removal (C2101 =RV) completion date has been entered into WasteLAN
as the actual completion date; and
- The early action event qualifier that indicates that the site has been cleaned up
(C2103=C) is entered into WasteLAN; and
- LTRA has been completed at all OUs.
- If the site is a NPL site, a Final Superfund Site Close-Out Report must be
prepared and signed by the Regional Administrator/Deputy Regional
Administrator OR a ROD that states that all necessary remediation is
complete, documents compliance with the statutory requirements for site
close-out, and includes a construction completion certification is signed by
the Regional Administrator/Deputy Regional Administrator. There should
be no further early or long-term actions conducted at the site after this ROD
or Close-Out Report is signed. If LTRA is ongoing at another OU, the
signature of the ROD or Close-Out Report will not be credited as an
accomplishment The signature date of the ROD (C2101=RO) must be entered
into WasteLAN as the actual completion date. The Tech Information Type
(C3401=RT) and the Technical Information Qualifier (C3402=NA) also must
be entered. If a separate Final Superfund Close-Out Report is prepared, the
signature date should be entered as the actual completion date of the removal
subevent, Final Close-Out Report (C2101=RV and C3101=CL).
October 1993 B-86
-------
OSWER Directive 9200.3-14-1
• PRP-financed:
- The Region certifies that the PRPs or their contractor have completed the
early action specified in the Action Memorandum and fully met the terms of
the AO, CD, or judgment, as documented in the POLREP;
- The removal (C2101=RV) completion date has been entered into WasteLAN
as the actual completion date; and
- The early action event qualifier that indicates that the site has been cleaned up
(C2103=C) is entered into WasteLAN; and
- LTRA has been completed at all OUs.
- // the site is a NPL site, a Final Superfund Site Close-Out Report must be
prepared and signed by the Regional Administrator/Deputy Regional
Administrator OR a ROD that states that all necessary remediation is
complete or that the only remediation necessary is the implementation of an
institutional control(s), documents compliance with the statutory
requirements for site close out, and includes a construction completion
certification is signed by the Regional Administrator/Deputy Regional
Administrator. There should be no further early or long-term actions
conducted at the site after this ROD or Close-Out Report is signed. If
LTRA is ongoing at another OU, the signature of the ROD or Close-Out
Report will not be credited as an accomplishment The following
information must be entered into WasteLAN: ROD signature date as the
actual ROD (C2101=RO) completion date, the Tech Information Type
(C3401=RT), and the Technical Information Qualifier (C3402=NA). If a
separate Final Superfund Close-Out Report is prepared, the signature date
should be entered as the actual completion date of the removal subevent,
Final Close-Out Report (C2101=RV and C3101=CL).
Accomplishments are credited based on the actual removal completion date
(C2101=RV) with the "cleaned up" event qualifier (C2103=C) or, if the site is an
NPL site, the actual ROD (C2101=RO) date or the date of the Final Close-Out
Report (C2101=RV and C3101=CL).
Site Evaluation Accomplished (SEA) determination is made when the site
assessment report (e.g., PA, SI, etc.) is reviewed and approved, in writing, by the
appropriate Regional official. The date of the SEA determination must be entered as
the actual completion date of the appropriate site screening and assessment event
when the decision is made. In addition, the event qualifier for "no further
remediation planned" (C2103=N) must be entered into WasteLAN.
B-87 October 1993
-------
OSWER Directive 9200.3-14-1
Accomplishments are credited based on the actual completion date of the site
screening and assessment event (C2101=PA, SI, ES, or SS) with a "no further
remediation planned" event qualifier (C2103=N).
Changes in Definition FY 93 - FY 94:
This is a new internal management planning/reporting measure for FY 94.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. See Long-Term Action Flow Chart at the end of
this Appendix (Exhibit B-23).
Ground Water Monitoring
Definition:
Ground water monitoring is defined as the collection and analysis of ground water
samples as a result of a ROD that addresses ground water contamination at a site.
The ROD will specify that 1) ground water monitoring is the only action that will be
taken at the site, or 2) ground water monitoring is the only action that will be
implemented during a ground water cleanup.
Definition of Accomplishment:
Ground water monitoring start is the date of obligation of funds for the ground
water monitoring. The date of the start should be entered into WasteLAN with the
Ground Water Monitoring event (C2101=GM).
Ground water monitoring completion is defined as the date of a memorandum that
determines that ground water monitoring is no longer necessary. This
memorandum should be included in the Final Superfund Close-Out Report or five-
year review. 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 93 - FY 94:
This is a new definition for FY 94.
Special Planning/Reporting Requirements:
See Definition of Accomplishment.
October 1993 B-88
-------
OSWER Directive 9200.3-14-1
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 under
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 is defined as the date 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 specified in a
CA, SSC, or CD.
Changes in Definition FY 93 - FY 94:
Added early actions under remedial authority.
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-23).
ACT -9 • Five-Year Reviews Started
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.
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.
B-89 October 1993
-------
OSWER Directive 9200.3-14-1
Definition of Accomplishment:
Credit is given for a five-year review start when:
• Fund-financed (F- or S- lead) - Funds are obligated for the five-year review;
• PRP-financed (RP-, MR-, or PS- lead) - The PRP or the PRP's contractor mobilizes
to begin the five-year review, as documented by a memo to the file; or
• EP-lead - EPA begins the five-year review by a site visit as documented by the
trip report for the site visit.
The five-year review should start within five years of the RA or early action under
remedial authority start (as defined in this Manual). The five-year review must be
complete within five years of the start of on-site construction.
Changes in Definition FY 93 - FY 94:
Five-Year Reviews Started is a SCAP measure in FY 94. Revised the RP-lead five-
year review and added EP lead.
Special Planning/Reporting Requirements:
Five-year review starts must be planned and reported site-specifically (C2101=FA) in
WasteLAN. Funds are allocated in the RA AOA. Funds for oversight of RP five-
year reviews are in the site characterization AOA. See Long-Term Action Flow
Chart at the end of this Appendix (Exhibit B-23).
Five-Year Review Completions
Definition:
Five year reviews are intended to evaluate whether the response action
implemented at a NPL site remains protective of human health and the
environment.
Definition of Accomplishment:
The five-year review is complete when:
• PRP-Financed (RP-, MR-, or PS-lead) - EPA or the State approves, in writing, the
five-year review report; or
• Fund-Financed (F- or S-kad) - EPA reviews and approves, in writing, the five-year
review report; or
• EP-lead - EPA completes the five-year review report and places it in the site file.
October 1993 B-90
-------
OSWER Directive 9200.3-14-1
Changes in Definition FY 93 - FY 94:
New definition in FY 94.
Special Planning/Reporting Requirements:
Five-year review completions are planned and reported site-specifically (C2101=FA)
in WasteLAN.
NPL Deletion Initiation
Definition:
The NPL deletion process is initiated when no further response is appropriate.
Definition of Accomplishment:
The deletion process starts when a notice of intent to delete the site is published in
the Federal Register. The deletion process is completed when the notice of deletion is
published in the Federal Register.
Changes in Definition FY 93 • FY 94:
NPL Deletion Initiation is no longer a SCAP reporting measure; however, it will
continue to be reported for internal management purposes.
Special Planning/Reporting Requirements:
The actual start and actual completion date are to be reported in WasteLAN with the
"ND" event (C2101=ND). This is an internal reporting measure. See Long-Term
Action Flow Chart at the end of this Appendix (Exhibit B-23).
El -1 • Progress Through Environmental Indicators
Definition of Target/Measure:
This measure results from the Environmental Indicators program. It documents the
number of sites where the following types of results have been achieved:
• Progress toward final cleanup goals; and
• Reduction of acute threats.
Either of these results may be achieved through implementing early and/or long-
term action projects. Results are reported for each medium affected at a site. These
media include contaminated land, surface water, and ground water.
B-91 October 1993
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OSWER Directive 9200.3-14-1
Progress toward final cleanup goals is reported as three levels of progress at NPL
sites:
• Full achievement of site goals for a medium;
• Partial achievement of goals for a medium; and
• Cleanup underway.
Reduction of acute threats measures how often threats to human health have been
eliminated at NPL, NPL caliber, and non-NPL sites by preventing exposure to
contaminated materials. Progress recorded by this indicator should reveal success in
closing off exposure pathways.
Definition of Accomplishment:
Same as definition.
Changes in Definition FY 93 - FY 94:
Special Planning/Reporting Requirements:
This is a STARS reporting measure. Accomplishment data will be reported through
the El module in WasteLAN. The results will be reflected in the comment field of
the STARS data base.
October 1993 B-92
-------
EXHIBIT B-23
LONG-TERM ACTION FLOW CHART
Groundwater
Monitoring
C2101=GM
Associated RA Activities
RA Start
C2101=RA
Operational and
Functional Completion
C2101=RA, C3101=OF
and
RA Complete (RA
Report)
ACT-6
C2101=RA
T
Five-Year Review
Start
ACT-9
C2101=FA
Five-Year Review
Completion
C2101=FA
?
I
0>
OJ
Final RA Activities
Final RA Construction
Completion (Preliminary
Close-Out Report)*
ACT-7
C2101=RA, C3101=CC
i
Site Completion
(Final Close-Out Report)
C2101=RA, C3101=CL
* NOTE: A Preliminary Close-Out Report is not required if the Region immediately prepares a Final Superfund Site
Close-Out Report.
-------
EXHIBIT B-24
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
OJ
Technical
Assistance
Support Agency
Assistance
ACT-1
Duration from
Site Discovery
to Site
Construction
Completion
Technical
Assistance
Grants (TAGs)
Community
Relations
Planning Requirements
Internal Management?
Planned Site
Specifically?
Not Required
Not Required
Not Required
Not Required
Planned/Reported on
Operable Unit or Whole
Site Basis?
Whole
Site
Operable
Unit
Operable
Unit
Operable
Unit
Whole Site
Reported Site Specifically or in
Non-Site Portion of WasteLAN?
Site
Specific
Not Required
Not Required
Not Required
Not Required
Utner
Response
Site
Characterization
AOA Category, if
Fund-Financed?
Site
Characterization
Site
Characterization
Other Response or
Federal Facility
AOA Category for
Oversight?
Enforcement
Enforcement
Enforcement
Basis for AOA?
Site or Non-site
Specific Plans
Site or Non-site
Specific Plans
Site or Non-site
Specific Plans
Site or Non-site
Specific Plans
Semi-annual targets are established in SCAP/STARS. Accomplishments are pulled from CERCLIS on a quarterly basis.
Internal measures are planned and reported semi-annually.
-------
o
r>
EXHIBIT B-24 (continued)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
Design
Assistance
ACT-2
Duration from
Cleanup
Decision to RD
Completion
Treatability
Study
Projects
Nominated
for SITE
Program
ACT-3
Duration from
Cleanup Decision
to Each Cleanup
Action Completion
Planning Requirements
Reporting
Internal Management?
Planned Site
Specifically?
Not
Required
Planned/Reported on
Operable Unit or Whole
Site Basis?
Operable
Unit
Operable
Unit
Operable
Unit
Operable
Unit
Operable
Unit
Site
Specific
Site
Specific
Not
Required
Site
Specific
Site
Specific
Reported Site Specifically or in
Non-Site Portion of WasteLAN?
Other
Response
Other
Response
AOA Category, if
Fund-Financed?
AOA Category for
Oversight?
Enforcement
Basis for AOA?
Site or Non-
Site Specific
Plans
Site
Specific Plans
ST.
rt>
Ui
Semi-annual targets are established in SCAP/STARS. Accomplishments are pulled from CERCLIS on a quarterly basis.
Internal measures are planned and reported semi-annually.
-------
OJ
T3
EXHIBIT B-24 (continued)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
RA Contract
Award
ACT-4
Percent of Sites
With Early
Actions
RD
Completions
Planning Requirements
Internal Management?
Reporting
Reporting
Planned Site
Specifically?
Plann
eported on
Operable Unit or Whole
Site Basis?
Operable
Unit
Operable
Unit
Operable
Unit
Operable
Unit
Whole Site
Site
Specific
Site
Specific
Site
Specific
Site
Specific
Site
Specific
Reported Site Specifically or in
Non-Site Portion of WasteLAN?
Remedial
Action
Site
Characterization
AOA Category, if
Fund-Financed?
AOA Category for
Oversight?
Site
Characterization
Site
Characterization
Basis for AOA?
Site Specific
Plans
Site
Specific Plans
Semi-annual targets are established in SCAP/STARS. Accomplishments are pulled from CERCLIS on a quarterly basis.
Internal measures are planned and reported semi-annually.
-------
EXHIBIT B-24 (continued)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
Planning Requirements
ACT-5 Sites
Addressed
Through Early
or Long-Term
Actions
ACT-6 Early
or Long-Term
Action
Completions
Internal Management?
Planned Site
Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Whole
Site
Whole
Site
Whole
Site
Operable
Unit
Site
Specific
Reported Site Specifically or in
Non-Site Portion of WasteLAN?
Site
Specific
Site
Specific
Site
Specific
AOA Category, if
Fund-Financed?
Removal or
Remedial Action
AOA Category for
Oversight?
Enforcement or Site
Characterization
Basis for AOA?
Site or Non-site
Specific Plans
ACT-7 NPL Site
Construction
Completions
Through Early or
Long-Term Actions
ACT-8 Non-NPL and
NPL Caliber Site
Construction
Completions
Through Early or
Long-Term Actions
OJ
Semi-annual targets are established in SCAP/STARS. Accomplishments are pulled from CERCLIS on a quarterly basis.
Internal measures are planned and reported semi-annually.
f
1
-------
w
00
EXHIBIT B-24 (continued)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
Operational
and Functional
(O&F)
Long-Term
Response Action
(LIRA)
NPL and
Non-NPL Site
Completions
Ground
Water
Monitoring
Planning Requirements
Internal Management?
Reporting
Planned Site
Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Operable
Unit
Operable
Unit
Operable
Unit
Whole
Site
Site
Specific
Reported Site Specifically or in
Non-Site Portion of WasteLAN?
Site
Specific
Site
Specific
Site
Specific
Site
Characterization
AOA Category, if
Fund-Financed?
Remedial
Action
Site
Characterization
AOA Category for
Oversight?
Site
Characterization
Basis for AOA?
Site Specific
Plans
Site Specific
Plans
I
Semi-annual targets are established in SCAP/STARS. Accomplishments are pulled from CERCLIS on a quarterly basis.
Internal measures are planned and reported semi-annually.
-------
cd
o
VD
VO
OJ
EXHIBIT B-24 (continued)
EARLY AND LONG-TERM ACTION PLANNING REQUIREMENTS
ACT-9
Five-Year
Reviews
Started
EI-1 Progress
Through
Environmenal
Indicators
Operation
and
Maintenance
(O&M)
Five-Year
Review
Completion
NPL Deletion
Initiation
Planning Requirements
Internal Management?
Planned Site
Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Whole
Site
Operable
Unit
Whole
Site
Whole
Site
Reported Site Specifically or in
Non-Site Portion of WasteLAN?
Site
Specific
bite
Specific
Site
Specific
Site
Specific
Site
Specific
Remedial
Action
AOA Category, if
Fund-Financed?
AOA Category for
Oversight?
Site
Characterization
Site
Characterization
Basis for AOA?
Site Specific
Plans
Site Specific
Plans
Semi-annual targets are established in SCAP/STARS. Accomplishments are pulled from CERCLIS on a quarterly basis.
Internal measures are planned and reported semi-annually.
NJ
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OSWER Directive 9200.3-14-1
APPENDIX C
ENFORCEMENT
October 1993
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OSWER Directive 9200.3-14-1
APPENDIX C
ENFORCEMENT
TABLE OF CONTENTS
ENFORCEMENT PRIORITIES C-l
OVERVIEW C-l
ENFORCEMENT INITIATIVES C-2
PROGRAM MANAGEMENT INITIATIVES C-6
OWPE REORGANIZATION C-7
ENFORCEMENT
PLANNING AND REPORTING REQUIREMENTS C-9
ENFORCEMENT PLANNING AND REPORTING
REQUIREMENTS C-9
Ecological Risk Assessments C-9
Mixed Funding Settlements and Cash Outs C-9
De minimis Settlements C-10
Settlements with Municipalities and Residential Property
Owners C-ll
Administrative Record Status C-12
Planning for Enforcement Mega-Sites/Projects C-13
State Enforcement C-13
SITE SCREENING AND ASSESSMENT ENFORCEMENT
ACTIVITIES C-14
EARLY ACTION ENFORCEMENT ACTIVITIES C-16
PRP Searches C-16
PRP Notification C-17
Negotiations and Settlements C-17
Oversight C-18
LONG-TERM ACTION ENFORCEMENT ACTIVITIES C-18
COST RECOVERY C-21
GENERAL PLANNING AND REPORTING REQUIREMENTS C-23
Event/Activity Lead Codes C-23
Lead Changes C-23
Links C-26
ENFORCEMENT
BUDGET AND FINANCIAL MANAGEMENT C-29
OWPE REGIONAL EXTRAMURAL BUDGET PROCESS C-29
Preliminary Extramural Budget Allocation and Distribution C-29
Litigation Support C-30
Regional Planning Against Preliminary Budget C-30
Final Extramural Budget Distribution C-33
Budget Execution C-34
TES Contract Obligations C-34
Program Management Obligations C-36
Generic Obligations to Cover TES Tasking C-36
Buy-in Obligations C-36
Obligations for Other Financial Vehicles C-36
TES WA Tasking Against Generic Obligations C-37
TES WA Tasking for Buy-Ins C-38
October 1993
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OSWER Directive 9200.3-14-1
AOA Utilization C-38
Budget Utilization C-38
Disbursements C-40
HQ/Regional Adjustment O10
Responsibilities O41
Enforcement Financial Reports C-41
CONTRACT MANAGEMENT C-44
TES Contract Management C-44
Long Term Contracting Strategy (LTCS) C-44
Interagency Agreements C-45
Department of Justice C-45
8(a) Contracts C-46
Management of Cash Chits C-46
REGIONAL ENFORCEMENT EXTRAMURAL BUDGET CODING
AND DATA ENTRY INSTRUCTIONS C-50
Financial Planning Requirements C-50
Obligating Funds to Cover Regional TES 5+ Program
Management Work Assignments C-51
Obligating Funds Genetically to Cover All Site Specific Work
Assignments C-51
Obligating Funds to Cover Contract Buy-In Work
Assignments C-51
Entering TES Work Assignment Amounts (Tasking) C-51
ENFORCEMENT
FY 94 SCAP/STARS TARGETS AND MEASURES C-75
OVERVIEW OF FY 94 ENFORCEMENT TARGETS/MEASURES C-75
TARGETS AND MEASURES C-75
DEVELOPMENT OF FY 94 SCAT/STARS TARGETS AND
MEASURES C-76
SCAP/STARS ICONS C-81
ENFORCEMENT DEFINITIONS C-81
PRP Search Starts C-81
PRP Search Completions C-82
Section 104(e) Letters Issued C-82
Section 104(e) Referrals and Orders Issued C-83
Issuance of General Notice Letters C-83
Issuance of Special Notice Letters C-84
ENF-1 • Duration from Regional Decision or ROD to PRP
Cleanup Negotiation Completion C-84
ESI/RI/FS Negotiation Starts C-86
RD/RA Negotiation Starts C-87
ENF-2* Cleanup Negotiation Completions C-88
State Order for ESI/RI/FS C-90
State Consent Decree for RD/RA C-90
ENF-3* Settlements For Cleanup Actions C-91
ENF-4 • De minimis Settlements and Number of PRPs C-93
ENF-5 • Percentage of PRP Lead Cleanup Actions to all
Cleanup Actions C-94
Section 106, 106/107,107 Case Resolution C-95
October 1993
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OSWER Dkective 9200.3-14-1
Administrative Record Compilation Completion C-96
Issue Demand Letter C-97
Cost Recovery Actions/Decisions Less Than $200,000 C-97
ENF-6 • Past Costs Addressed > $200,000 C-99
October 1993
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OSWER Directive 9200.3-14-1
LIST OF EXHIBITS
C-l Event/Activity Lead Codes in WasteLAN C-25
C-2 Coding of Takeovers C-27
C-3 FY 94 and FY 95 Regional Enforcement
Extramural Budget Funded Activities
Required to Achieve Program Outputs C-32
C-4 Regional Extramural Budget AOA Limits C-35
C-5 Extramural Budget Responsibilities C-42
C-6 Regional/HQ Extramural Budget Responsibilities C-43
C-7 Enforcement Extramural Budget Coding
Reference Guide (Required Data Elements) C-52
C-8 WasteLAN Regional Budget Planning Instructions C-53
C-9 CERCLIS Regional Budget Planning Instructions C-56
C-10 TES CERHELP Coding Instructions C-59
C-ll CERHELP Coding Instructions for Generic Obligations C-61
C-12 WasteLAN Coding Instructions for Contract Buy-Ins C-63
C-13 CERCLIS Coding Instructions for Contract Buy-Ins C-66
C-14 WasteLAN Coding Instructions for TES Tasking C-69
C-15 CERCLIS Coding Instructions for TES Tasking C-72
C-16 Enforcement Activities C-77
C-17 Enforcement Target/Measure Crosswalk C-79
C-18 Enforcement Planning Requirements C-101
October 1993
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OSWER Directive 9200.3-14-1
ENFORCEMENT
PRIORITIES
OVERVIEW
The Environmental Protection Agency's (EPA's) emphasis on "enforcement
first" does not change with the implementation of the Superfund Accelerated
Cleanup Model (SACM). Potentially Responsible Parties (PRPs) are initiating
cleanup work at approximately 70 percent of the National Priorities List (NPL)
sites, and the EPA remains committed to maximizing equitable PRP
involvement and leveraging limited Trust Fund resources. Coordination of site
activities, including decisions and recommendations made by the Region,
should anticipate the activities required for enforcement and ensure that they are
carried out in a timely manner. Major enforcement functions affected by SACM
include:
• The timing and methodology of PRP searches — While significant changes are
not anticipated in PRP search activities under SACM, the integrated site
assessment process may lead to changes with respect to the timing of PRP
searches for Non-Time Critical (NTC) early actions and long-term actions. As
a rule, PRP search activities should be initiated as soon as the Region decides
that a response action is likely to be required at the site. Once Regions have
decided to begin PRP search activities, they are encouraged to adopt a phased
PRP search approach. The search should focus first on establishing liability
for PRPs about whom information is most readily available from site
assessment activities and other sources, and then expanded to address
remaining PRPs. Early notification of PRPs is imperative even if the Fund is
conducting the integrated assessment;
• The timing, duration, and subject matter of negotiations with PRPs — EPA expects
much of the early site assessment activities to be Fund-lead. However, there
are logical points where negotiations with PRPs should be considered. These
include upon completion of specific events during the integrated site
assessment process, before the Feasibility Study (FS), prior to starting an early
action, and prior to initiating the Remedial Design (RD) or Remedial Action
(RA) for a long-term action. When Regions anticipate conducting a
combined Expanded Site Inspection (ESI)/Remedial Investigation /Feasibility
Study (RI/FS), NTC removal or long-term action, Special Notice Letters
(SNLs) should be used to facilitate settlement.
• The availability and adequacy of Administrative Records (ARs) — High quality ARs
are necessary to ensure the defensibility of response decisions and to support
cost recovery efforts. Regions must continue to establish an AR for each
response action in accordance with the Comprehensive Environmental
Response, Compensation, and Liability Act (CERCLA), the National Oil and
Hazardous Substance Pollution Contingency Plan (NCP), and the AR
guidance from the Office of Solid Waste and Emergency Response (OSWER).
Specifically, the AR must be available for public inspection when the
Engineering Evaluation /Cost Analysis (EE/CA) for the early action under
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OSWER Directive 9200.3-14-1
removal authority or the Record of Decision (ROD) for long-term actions or
early actions under remedial authority are released to the public for
comment, as well as when work characteristics of an ESI or RI begins. Since
the integrated site assessment process and an increased use of early actions are
expected to accelerate site work, ARs may need to be opened earlier in the
process.
• Cost recovery and cost documentation — SACM may increase the number of cost
recovery actions subject to the removal Statute of Limitation (SOL) because
more sites may be addressed with NTC removals or early actions under
remedial authority than in the past. Thus, effective and timely cost
documentation will be necessary to ensure SOLs can be met. EPA's past costs
must be sought in all negotiations with PRPs;
• Consistency and speed in enforcement decisions — If an early action presents
particularly difficult issues or may cause controversy with States, PRPs,
communities, or other interested parties, the Regions are strongly encouraged
to consult with the appropriate Regional Coordinator at Headquarters (HQ);
and
• The role of States — State capabilities and authorities differ. Each Region
should work with each of its States to develop a general strategy for
enforcement activities and the manner in which the State will be involved.
Actions under State enforcement-lead must be supported by documents
enforceable under State law and overseen by the States.
The Agency does not anticipate that the principles of SACM will significantly
change EPA's enforcement process.
ENFORCEMENT INITIATIVES
One of Superfund's major program challenges is to maximize PRP
participation as described ir^ the Integrated Priority Setting Matrix (see Volume I,
Chapter I). Responsible parties have been performing an ever increasing
proportion of response actions at Superfund sites. Creative and effective use of
all relevant enforcement tools is essential to completing construction and
accelerating cleanup. In the spirit of the enforcement first initiative, the
following priorities have been identified for Fiscal Year (FY) 94:
• PRP search/compliance enforcement — A high-caliber PRP search is the
foundation of EPA's enforcement process. It must focus on obtaining the
necessary evidence of the liability and financial viability of all PRPs for
Section 106 and 107 litigation. The focus should continue to be on thorough
PRP searches with the assistance of civil investigators. Also, Regions are
encouraged to use administrative subpoena authorities in cases of non-
compliance with information requests issued under Section 104(e) and, if
necessary, use statutory penalty provisions to enforce compliance.
October 1993 C-2
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OSWER Directive 9200.3-14-1
• Aggressively seek settlement for PRP response with more parties — Regions are
encouraged to use Site Management Plans (SMPs) to lay out negotiation
responsibilities among the parties involved and timeframes for deliverables.
Well planned negotiations need to be initiated and completed within the
special notice moratoria or schedules presented in general notice letters
(GNLs).
• Cleanup negotiation process — Regions should manage the cleanup negotiation
process within the timeframes established under Section 122. SNLs should be
issued in a timely manner. Regional Administrator or Assistant
Administrator (AA) extensions should be used only where settlement
appears likely.
• Section 106 settlements — Regions should be prepared to issue a Unilateral
Administrative Order (UAO) promptly after the negotiation moratorium
deadlines, if there are viable PRPs and a settlement has not been reached.
UAOs with delayed effective dates also should be considered to encourage the
successful conclusion of negotiations. If a Fund-financed response is
initiated, all steps should be taken to seek treble damages against recalcitrant
PRPs during cost recovery.
• Early action enforcement — Regions should work to maintain or increase the
percentage of early actions conducted by PRPs, particularly time critical and
NTC removals and early actions under remedial authority. In this effort,
Regions should commence PRP searches early to assess whether there are
viable and liable PRPs. Where this is the case and an Administrative Order
on Consent (AOC) or Consent Decree (CD) cannot be negotiated, Regions
should issue UAOs and, in cases of non-compliance, pursue cost recovery.
Regions are required to support their early action enforcement decisions in
RODs or Action Memoranda. A sound AR will be the Agency's key to
defending itself against Section 106(b) claims from PRPs seeking
reimbursement for their early action costs. As the Superfund program uses
more UAOs to compel response, there are likely to be more claims.
• Compliance monitoring — Once a settlement is reached it is equally important
to effectively monitor PRP compliance with the UAO, AOC, or CD.
Appropriate enforcement actions, including statutory penalties, should be
taken where there is failure or refusal to comply.
Another key area of the Superfund program that has been identified for
administrative improvements is enhanced enforcement fairness and reducing
transition costs. The following goals have been established:
• Greater use of allocation tools;
• Foster more small volume waste contributor settlements;
• Greater fairness for Superfund site owners;
C-3 October 1993
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OSWER Directive 9200.3-14-1
• Evaluate the mixed funding policy; and
• Maximize cost recovery to the Trust Fund.
To reach these goals, the following priorities have been identified for FY 94:
• Greater use of allocation tools — Over the next year, EPA will offer Alternative
Dispute Resolution (ADR) to facilitate PRP allocation deliberations at
approximately 20 sites with upcoming RD/RA negotiations. ADR involves a
neutral third party who can be used to organize parties for negotiations,
facilitate settlement deliberations, and/or provide an opinion to the parties.
The use of ADR may assist in reaching an allocation of responsibility among
the PRPs and save transaction costs. Where possible and appropriate, Regions
should prepare or adopt Non-Binding Allocations of Responsibility (NBARs)
to promote settlement. During FY 94, EPA will be piloting the use of a
binding allocation process. It is important that information on allocation and
liability issues be shared with PRPs early in the Superfund process. Further,
where appropriate, Regions should assist PRPs allocation efforts by
conducting follow-up information gathering activities and sharing the
information with the PRPs. HQ will be evaluating options for allocating
responsibility among PRPs in the absence of volumetric data.
• Foster more small volume waste contributor settlements — The main objectives of
the early de minimis settlement strategy are to reduce PRP transaction costs,
preserve government resources, and settle with eligible de minimis parties
quickly. Regions should use the data derived from waste-in lists, volumetric
ranking, and Section 104(e) information requests to perform an allocation of
responsibility and offer ADR to facilitate PRP allocation deliberations. In
addition, Regions should share information on allocation and liability issues
with identified PRPs early in the Superfund process and offer assistance to de
minimis parties to facilitate the formation of the de minimis group and to
disseminate information. In addition to settling with de minimis parties,
Regions are encouraged to identify sites where parties that have sent
extremely small amounts of waste, referred to as de micromis, are subject to
contribution actions and move to settle with those parties. Regions should
use an AOC for early de minimis and de micromis settlements.
Under EPA policy, the Agency generally will not pursue a generator or
transporter of municipal solid waste without site specific evidence that
hazardous substances were contained in the municipality's contribution of
waste. However, an increasing number of third party suits have been
instituted against municipalities. As a result, HQ is preparing guidelines to be
used by the Regions in reaching settlements with municipalities.
October 1993 CM
-------
OSWER Directive 9200.3-14-1
• Greater fairness for Superfund site owners — Regions should provide site owners
an opportunity to submit information or meet with EPA before the Agency
perfects a lien on their property. During FY 94, HQ will issue supplemental
prospective purchaser guidance and a model agreement.
• Evaluate the mixed funding policy — PRPs have objected to EPA's interpretation
of the mixed funding policy and the documentation required for
preauthorization. During FY 94, the Agency will evaluate the different mixed
funding options, explore alternatives for streamlining the mixed funding
decision making process and the documentation required, and pilot several
mixed funding settlements.
• Cost recovery — Cost recovery actions recover revenues to the Fund. An active
cost recovery program also will encourage voluntary PRP cleanup action by
eliminating incentives for PRPs to allow the government to conduct the
response action. In FY 94, the Agency will be re-examining its cost recovery
strategy. The focus of the cost recovery program will be on selecting and
developing the best cost recovery cases that will maximize recovery of Trust
Fund monies. Ensuring timely completion of cost documentation, issuing
demand letters, and addressing SOL sites are critical to the success of the cost
recovery program. Regions must also pursue viable non-settlors where a
partial settlement was reached. In some cases, Regions may consider deferral
or waiver of past costs against settlors for response work, and pursue non-
settlors for recovery of past costs. Such actions will reinforce the perception
that recalcitrance is costly.
States continue to play an important role in the Superfund enforcement
process. Regions are encouraged to enter into Cooperative Agreements (CAs),
State Memoranda of Agreement (SMOA), or other support agency assistance
agreements when the State expects to play a significant role. State roles in the
cleanup negotiation process should be clearly defined prior to the negotiations.
Use of SMPs will ensure that all parties are aware of their roles, the timeframe
for negotiations, and the strategy that will be employed.
In addition to the authority provided by CERCLA and the Superfund
Amendments and Reauthorization Act (SARA), the Agency may in some
instances use authority provided by other environmental laws. For example,
under the Resource Conservation and Recovery Act (RCRA), the Agency can
order owners and operators of operating and closing hazardous waste facilities to
investigate any potential leaks, and to perform cleanups if necessary. The Toxic
Substances Control Act (TSCA) and its regulations can be used by the Agency to
impose conditions on the handling of particularly hazardous substances, such as
asbestos and polychlorinated biphenyls (PCBs). In addition, in some cases where
releases affect surface waters, the provisions of the Clean Water Act (CWA) can
be used to impose fines and require cleanup. These other statutes also provide
the basis for many of the Applicable or Relevant and Appropriate Requirements
(ARARs) on which cleanup levels are based in RODs.
C-5 October 1993
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OSWER Directive 9200.3-14-1
PROGRAM MANAGEMENT INITIATIVES
In addition to the specific enforcement program priorities discussed above,
the following initiatives have been implemented in recent years to ensure the
overall effectiveness of the Superfund program:
• Mega-site management strategy —A strategy that ensures cost-effective
environmental management of these significant sites. An enforcement
mega-site has projects that require more than $200,000 per year for
enforcement actions or over $500,000 per year for ESI/RI/FS oversight. Mega-
sites are extremely large in spacial content or they have an unusually large
number of PRPs. Regions are required to develop and submit annual
enforcement mega-site plans to HQ. Enforcement mega-site requests will be
fully funded wherever possible.
• Contract management — During FY 94, program emphasis should be placed on
ensuring effective contract management. Full implementation of the
Alternative Remedial Contract Strategy (ARCS) and Contract Laboratory
Program (CLP) task force recommendations remains a high priority. Also,
HQ and Regions must continue to focus on the management and control of
the current ARCS program management costs to achieve Congressionally
mandated goals. Implementation of the Long Term Contracting Strategy
(LTCS) will focus on the phase-in of the Regional Enforcement Support
Services (ESS) contracts most of which are delegated to the Regions for
management, and are designed to provide specialized services.
• Make effective use of other agency expertise — It is important that EPA make full
use of construction management expertise available from the United States
Army Corps of Engineers (USACE) and the Bureau of Reclamation (BUREC),
and that EPA staff avoid duplicative oversight of projects assigned to these
agencies. The USACE has a mission assignment from EPA to provide
technical assistance, review ESI/RI and FS projects, oversee PRP RDs and
RAs, and conduct RDs and RAs depending on their estimated cost. Pursuant
to OSWER Directive 9242.3-08, RD assignments can be made to the ARCS (or
Response Action Contractors (RAQ) contractors or the USACE/BUREC at the
Region's discretion.
• Information management — Continue the efforts toward making the
Comprehensive Environmental Response, Compensation, and Liability
Information System (CERCLIS)/WasteLAN more of a management tool for
the Regions. This includes integrating the information needs external to
OSWER (e.g., Office of Regional Counsel (ORC), Office of Enforcement (OE)
and Department of Justice (DOJ)) into the CERCLIS information management
environment, implementing and integrating project and program
management tools (e.g., the Superfund Management and Reporting
Technology (SMARTech), the Remedial Pipeline Project Management
(RP2M) System, and the Superfund Comprehensive Accomplishments Plan
(SCAP) Management Reporting System (SMRS)), and reporting technical data
using WasteLAN (e.g., Environmental Indicators (El) and RA information).
October 1993 C-6
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OSWER Directive 9200.3-14-1
HQ will continue to work with the Regions to expand the use of
CERCLIS/WasteLAN for these and other management initiatives.
• Building public confidence — In past years, the Agency has taken major steps in
improving the communication of the ongoing efforts of the Superfund
program and the progress being made in site cleanup. These efforts started in
FY 90 with the implementation of the El program and the publishing of the
NPL Books. In FY 92, the Office of Waste Program Enforcement (OWPE)
initiated a communication and outreach effort. Working closely with the
Office of Emergency and Remedial Response (OERR), OWPE developed a
format for telling site specific stories of Superfund at Work. The Superfund at
Work success stories, which will continue to be prepared in FY 94,
demonstrate both the effort and results of the program to key external
audiences. In FY 94 and beyond, the Agency will look towards SACM as a
means for communicating the successes in risk reduction.
Better communication of this type of information to Congress and the public
will help build confidence in the Agency and the Superfund program.
OWPE REORGANIZATION
During the development of this Manual the Administrator was evaluating
options for the integration and reorganization of OWPE and OE. At the time of
printing, a decision has been made to form the Office of Enforcement and
Compliance Assurance (OECA). Though the Superfund enforcement goals and
priorities and general policies and procedures are not expected to be affected by
the reorganization, the HQ contacts and the specific requirements for transferring
information and documents from the Regions to HQ will probably be revised. In
this manual, OECA is used as the Regional contact point for all Superfund
enforcement issues. When the roles and responsibilities have been defined and
new procedures developed, an addendum to the Manual may be issued.
C-7 October 1993
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OSWER Directive 9200.3-14-1
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Left Blank
October 1993 C-8
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OSWER Directive 9200.3-14-1
ENFORCEMENT
PLANNING AND REPORTING REQUIREMENTS
ENFORCEMENT PLANNING AND REPORTING REQUIREMENTS
Ecological Risk Assessments
Agency policy requires a human health risk assessment and an ecological risk
assessment be conducted at every NPL site. An ecological risk assessment
evaluates the harm to the environment posed by hazardous substances at a site.
The results of the ecological risk assessment are used by the Natural Resource
Trustee(s) to decide whether or not to grant a covenant not to sue for natural
resource damages pursuant to CERCLA Section 122(j). If there are natural
resource damages or if natural resources are at risk, but these damages or risks
are not documented, the Trustees will not grant a covenant. It is EPA's
responsibility to conduct the ecological risk assessment and determine the
appropriate response actions to address those risks. Depending on the site, an
ecological risk assessment can be conducted for the entire site or on an OU basis.
The ecological risk assessment should be completed prior to ROD signature.
At sites where EPA is negotiating with the PRPs for early or long-term actions
and an ecological risk assessment has not been done, but where there will be a
subsequent ROD for an additional OU, delays can be avoided by preparing the CD
with a "reservation of rights" provision. This reserves the opportunity for the
Trustees to bring a claim for natural resource damages at a later time. When
negotiating at a site with only one ROD, or if it is the final OU for a site, the CD
for that OU must contain either a covenant not to sue, or a reservation of rights.
PRPs are beginning to refuse to sign a CD that does not contain a covenant not to
sue. The result is no settlement until an ecological risk assessment is completed.
Mixed Funding Settlements and Cash Outs
The term "mixed funding" is used generically to refer to three types of
settlements:
• Preauthorization (MR-lead);
• Mixed work (two or more OUs or phases, RP and F or S-lead); and
• Cash outs (F, S, MR, or RP-lead).
Preauthorization occurs where PRPs reach a settlement with EPA whereby they
agree to perform a share of the response actions, and the Agency agrees to
reimburse some part of their expenses. These are coded in WasteLAN (C2117) as
'MR' lead events.
Mixed work occurs where PRPs and EPA agree to jointly work on a project or
where work may be divided between the parties. No reimbursement to the PRPs
occurs. Mixed work should be shown as separate OUs or phases in WasteLAN.
C-9 October 1993
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OSWER Directive 9200.3-14-1
OUs or phases where the PRPs are performing the work should have 'RP' lead
(C2117) events. A settlement with a mixed work remedy qualifier must be coded
and linked to these events The lead for events at the OUs or phases where Fund-
financed activities are being performed should be 'F' (Federal) or 'S' (State).
Funds for preauthorization settlements and the Fund portion of mixed work
settlements must be planned and are part of the Region's response budget.
A cash out is money received by EPA, a State, or another PRP under the terms
of a settlement agreement that is intended to pay, in whole or in part, the future
costs of a response action that is to be implemented at a specific Superfund site as
well as past costs at the site. EPA strongly prefers that PRPs agree to perform the
response action. The two primary circumstances when cash outs may be
acceptable are de minimi's settlements and settlements with PRPs (i.e.,
owners/operators) that lack resources to perform the entire response. In other
very limited circumstances, cash outs with major parties may be acceptable. (See
Interim Cash Out Settlements Procedures, January 7, 1992.)
The terms and conditions of the cash out settlement should be documented
in an AO or CD. The AO or CD must address the disposition of the monies. The
two major considerations are 1) whether all of the funds are for future expenses
or part of the funds are to go toward past costs, and 2) whether it is expected that
other PRPs or EPA will perform the work. It may also include future cost
provisions for any portion of the expected remediation efforts at the site and
premium payments. The amount applied to future work where the Fund will
conduct the response action will affect the State cost share.
The response work at these sites may be performed by EPA, the State, or other
PRPs using cash out funds. In situations where EPA or the State will be
performing the work, the lead for response events in WasteLAN (C2117) should
be coded 'F' or 'S'. In a preauthorization (mixed funding) situation, where the
Fund and PRPs contribute to the cleanup but the PRPs conduct the work, a 'MR'
lead (C2117) should be assigned. If the PRPs, both de minimis and non-de minimis,
assume funding and lead responsibility for the site, response events should have
a lead (C2117) of 'RP'. Information on the financial aspects of a cash out
settlement can be found later in this Appendix, under Budget and Financial
Management.
De minimis Settlements
A primary concern of the Superfund enforcement program is to allocate
response costs in an equitable manner among the PRPs at a site. CERCLA
Section 122 (g) authorizes de minimis settlements, which may be used to reach
early agreement with minor contributors of waste. These actions would "cash
out" the small contributors early (prior to first remedy selection) and release
them from liability, thus saving considerable transaction costs.
The strategy for identifying early de minimis candidate sites requires the
Regions to obtain both PRP waste contributor information and potential
response action cost data. Even when a site is a candidate for an early de minimis
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OSWER Directive 9200.3-14-1
settlement, the PRPs must qualify for de_ minimis status and the liability and
viability of the PRPs must be known.
The PRP waste contributor information can be obtained after completion of a
waste-in list and volumetric ranking. Guidance on preparing waste-in lists and
volumetric ranking can be found in OSWER Directive 985.16, Guidance on
Preparing and Releasing Waste-In Lists and Volumetric Rankings to PRPs Under
CERCLA, February 22, 1991. The data derived from the waste-in list, volumetric
ranking, and Section 104(e) letters can then be used to perform an allocation of
responsibility to determine the de minimis status of PRPs. If it would assist in
settlement, the Region may consider preparation of a NEAR. (See OSWER
Directive 9839.1, Interim Guidelines for Preparing Non-binding Preliminary Allocations
of Responsibility, May 29,1987.) Regions also should consider establishing a de
minimis settlement cut-off to address only the smallest waste contributors (e.g.
those who contributed a small percentage of hazardous substances to the site).
The response action data that must be obtained include the major
contaminants, the media contaminated, and the quantifiable volume of
contamination at the site. Using this information, the Regions can use ROD data
from similar sites to determine a possible range of costs. Other site specific
factors that would be applied to establish the cost estimate include geology,
hydrology, known human exposure risks, and sensitive environments.
Once the Region establishes the eligibility of the site and the PRPs for the de
minimis settlement, a Region should undertake appropriate means to hasten
settlement. An AOC is commonly used for early de minimis settlements. A CD
should be considered for global settlements, involving all (both de minimis and
non-de minimis} PRPs at the site.
Settlements with Municipalities and Residential Property Owners
EPA is developing guidance to address issues pertaining to municipalities
involved at and residential land owners located on Superfund sites.
An increasing number of third-party suits have been instituted against
municipalities solely for their generation or transportation of municipal solid
waste. The term municipal solid waste refers to solid waste generated primarily
by households, but may also include the contribution of solid waste from
commercial, institutional, or industrial sources. Under EPA policy, the Agency
generally will not pursue a generator or transporter of municipal solid waste,
absent site-specific evidence that hazardous substances were contained in the
municipality's contribution of waste. This policy does not, however, provide any
protection for those parties who, although not named by EPA as PRPs, are
brought into the Superfund process by means of third-party actions. The third-
parties in these cases generally assert that municipalities should contribute
cleanup costs based on the volume of the wastes rather than the toxicity of the
wastes. EPA believes the complexity and gravity of the issues surrounding cost
allocation in this situation warrant EPA involvement. As a result, HQ will be
preparing guidelines detailing cost allocation which would be used by the
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OSWER Directive 9200.3-14-1
Regions in reaching settlements with municipalities. Also under development
is a model settlement document, which will make it easier for municipalities to
resolve their potential liability and to obtain statutory contribution protection.
Several sites that are the subject of a Superfund response action include
properties that are used exclusively as single family residences. Some owners of
residential property located on a Superfund site are concerned about potential
liability for performance of a response action or payment of cleanup costs because
they may come within the definition of "owner" under CERCLA.
Under EPA policy, the Agency, in exercising its enforcement discretion, will
not take enforcement actions against an owner of residential property to require
such owner to undertake response actions or pay response costs, unless the
residential homeowner's activities led to a release or threat of release of
hazardous substances resulting in the taking of a response action at the site. The
policy does not apply when an owner of residential property fails to cooperate
with the Agency's response actions or with a State that is taking a response action
under a CA with EPA. The policy also does not apply where the owner of
residential property fails to meet other CERCLA obligations, or uses the
residential property in any manner inconsistent with residential use. For further
information on this issue, see OSWER Directive 9834.6, Policy Toward Owners of
Residential Property at Superfund Sites, July 3,1991.
Administrative Record Status
The AR serves as the basis for the Agency's response selection and acts as a
vehicle for public participation. The Agency's AR guidance establishes
procedures and timelines for compiling, updating, closing, and locating the AR
at or near the site. To facilitate management, and in order to centralize and
standardize data quality and data entry, these data are now tracked in CERCLIS
and WasteLAN. The following definitions apply.
• Actual Start Date: Date the AR is received at the site repository. The date is in
month/day/year (MM/DD/YY) format; and
• Actual Completion Date: Date compilation of the AR is verified by the program
office. The date is in MM/DD/YY format.
For early actions, the decision documents (i.e., Action Memorandum or ROD)
are critical components of the AR file. If the action taken was an early action
under remedial authority, the Focused Feasibility Study (FFS) is also included in
the AR. If the action taken is a NTC removal, then the EE/CA approval
memorandum, EE/CA, and Action Memorandum would be included in the AR.
Following is a description of the required AR activities for early actions under
remedial authority and NTC removals:
• Establish the AR file no later than when the EE/CA approval memo is signed
or funds are obligated for the FFS. The AR must be made available for public
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inspection when the EE/CA or FFS proposed plan is available for public
comment;
• Publish notice of availability of the AR file when the EE/CA or proposed plan
is placed in the file; and
• Add to the AR file after selecting the response if necessary.
For more information refer to OSWER Directive #9833.3A-l, Final Guidance on
Administrative Records for Selecting CERCLA Response Actions, December 1990.
Planning for Enforcement Mega-Sites/Projects
An enforcement mega-site is a Superfund site that contains unusual
characteristics that separate it from a typical site or project. These sites have
projects that require more than $200,000 per year for enforcement actions (i.e.,
removal oversight, litigation support, PRP search, negotiation support) or over
$500,000 per year for oversight of the ESI/RI/FS. Usually, the sites are
characterized by:
• Large geographic area defining a site (e.g., Clark Fork);
• Area wide problem (e.g., San Gabriel);
• Unusual levels of community involvement requiring an above average level
of attention (e.g., Love Canal);
• A large number of PRPs that refuse to form a coalition, thereby making the
negotiation and settlement process difficult (e.g., Maxey Flats);
• Sites receiving national attention (e.g., Times Beach/Ellisville); and
• Complex litigation issues (e.g., Hardage).
Regions are reminded that the response definition for mega-sites is sites
where the total ESI/RI and FS costs exceed or are expected to exceed $3 million.
Instructions for planning response mega-sites are found in Appendix A.
The FY 94 enforcement mega-sites needs will be fully funded wherever
possible. Mega-site funding will be allocated on an annual basis. A priority list
of non-funded mega-site needs will be developed and submitted as a
supplemental funding request. Regions are required to submit enforcement
mega-site management plans for FY 95 funds to HQ by June 29,1994.
State Enforcement
Regions are required to report progress on State Enforcement lead sites as they
would any other site. This universe includes work financed by the PRP under a
State order or other comparable State enforcement document with PRP oversight
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paid for or conducted by EPA (PS-lead), and work financed by the PRP under a
State order or other comparable State enforcement document and no EPA
oversight support or money is provided (SR). While this information is
sometimes difficult to obtain, Regions should make reasonable efforts to get and
report these data in WasteLAN.
By definition, SR-lead activities/events should have no planned obligations.
Funds for State oversight are awarded through CAs. Funds for oversight of PS-
lead ESI/RI and time critical removal projects are provided by the enforcement
extramural budget. Funds for oversight of NTC removals, early actions under
remedial authority, and long-term actions are provided by the response budget.
SITE SCREENING AND ASSESSMENT ENFORCEMENT ACTIVITIES
PRP searches should start as soon as it appears response action will be
required. The PRP search should be managed — including follow up, civil
investigator assistance, and ORC review — to ensure that: (1) PRPs, particularly
generators, are identified early, (2) GNLs are issued well before SNLs to enable
PRPs to organize, (3) information related to PRPs is obtained months before the
special notice, and (4) special notice is issued at least 120 days before the planned
ESI/RI or FS obligation dates. Information requests should be followed up to
assure they are as comprehensive as possible. If there is non-compliance with
the information request, Regions should issue a Section 104(e) referral to compel
response. To the extent available, information required for special notice should
be presented to PRPs before the actual special notice is issued. Regions are
required to record dates associated with general notices, SNLs, and information
request letters in WasteLAN. If Regions are not entering notice letter data into
the Superfund Enforcement Tracking System (SETS) directly or providing an
automated upload of data to SETS, copies of notice letters should be sent to
OWPE.
PRP searches should be completed prior to negotiations when possible and
should be planned in advance to avoid delaying a scheduled ESI/RI or FS start
date. Upon completion of the first phase of the PRP search, Regions are required
to record the outcome in WasteLAN. A decision on the outcome should be
made based on existing information and the Region's best judgment. This
outcome code should be updated as better information becomes available. Valid
outcome codes (C1719) are:
• NP - No PRPs identified;
• NV - Search complete, no viable PRPs, orphan site;
• QE - Questionable evidence;
• QL - Questionable legal case;
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• VC - Viable PRPs cannot do the work; and
• VP - Search complete, viable PRPs.
Regions should be prepared to move quickly through the negotiation process.
This can be accomplished through:
• Developing a SMP and negotiation strategy in conjunction with the State and
ORC;
• Using a model order;
• Scoping the ESI/RI or FS;
• Providing a draft of the model order and Statement of Work (SOW) for the
ESI/RI/FS with the special notice; and
• Establishing interim milestones to judge whether real progress is being made.
Milestones should be shared with the negotiating parties.
The Regions have the option of starting discussions with PRPs before, as well
as during the initial 60-day moratorium period. In addition, costs for ongoing or
completed response actions, such as time critical early actions or emergency
removals should be documented in advance and an attempt should be made to
recover these costs during negotiations.
The PRPs who receive special notice have 60 days to submit a proposal to
undertake or finance the ESI/RI or FS. During this 60 day period, EPA may not
initiate the action. Additional studies or investigations authorized under
Section 104 may be initiated and nothing precludes EPA's authority to undertake
response or enforcement activities regarding a significant threat to public health
or the environment. The Regions may initiate a scope of work, workplan, or a
negotiations support document, which should be funded by their enforcement
extramural budget. These activities are to be funded under ESI/RI or FS
negotiations. The SOW or negotiations support document should be provided
to the PRPs when notice is given so they can prepare an adequate proposal.
Settlements with PRPs for ESI/RI or FS are typically accomplished through an
AOC or, in rare circumstances, by a CD or UAO. AOCs are strongly preferred. In
any case, the settlement document should include either a workplan prepared by
EPA using the Regional enforcement extramural budget funds, or a detailed
SOW with a workplan to be developed according to EPA guidance manuals. A
well-defined schedule that lists deliverables and milestones should also be
included. If a Region settles through a CD, a copy of the CD should be sent to
OWPE.
EPA is required to use third party assistance in oversight of RP-lead site
assessment actions through ARCS (or RACs), other Federal agencies (e.g.,
USAGE) or States. Oversight resources are obtained through the Regional
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OSWER Directive 9200.3-14-1
enforcement extramural budget. At the time of settlement, a detailed oversight
plan should be developed identifying intramural and extramural resource needs.
Oversight should include active field oversight as well as desktop review of
engineering reports and other deliverables. Oversight by EPA must be tracked
and billed to PRPs. Collection of oversight funds should be tracked. In
addition, Regions must ensure compliance with the cleanup standards in Section
121. Regional Remedial Project Managers (RPMs) must keep up with the
progress of a RP-lead ESI/RI/FS as if it were an EPA contractor performing the
work. Where delays or inadequacies are noted, prompt action, including
assessment of penalties, should be taken. Regions must maintain the PRP
compliance status code (C1725) in WasteLAN.
EARLY ACTION ENFORCEMENT ACTIVITIES
PRP Searches
Though most early site assessment activities are expected to be Fund-lead,
changes to RP-lead can occur prior to the EE/CA or FS and prior to initiation of a
removal action or an early action under remedial authority.
The PRP search should begin as soon as possible after the Region decides a
response action is likely to be required. A phased PRP search that focuses on
establishing liability for PRPs about whom information is most readily available
is recommended.
PRP searches should be initiated as soon as an early action candidate has been
identified. Before most time critical and NTC removals or early actions under
remedial authority are initiated, the baseline phase of the search should be
completed and the follow-up phase started. This allows for timely negotiations
for AOs (unilateral or on consent) to begin before the start of the early action.
PRP searches also support possible cost recovery actions. Regions are required to
report:
• PRP search start (C1716) and completion (C1717) dates, number of PRP
identified (C1720) and outcome (C1719);
• AO completion date (C1717), compliance status (C1726), early action remedy
(C2741), value of early action (C2903);
• Early action (C2101=RV or C2101=RA and C2118=EA) start (C2140) and
completion (C2141) dates, and lead (C2117); and
• Other technical data required. See Appendix B for the early action technical
data requirements.
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OSWER Directive 9200.3-14-1
PRP Notification
Notice letters to owners, operators, and other identified PRPs should be sent
and negotiations conducted before the early action is initiated, time permitting.
Oral notice, followed by written notice, should be given in emergency situations.
The notification process for early actions involves issuing one notice letter
that may or may not include CERCLA Section 122(e) special notice procedures.
Regions should use SNL for NTC removals and early actions under remedial
authority when such letters will facilitate settlement. Where special notice is not
employed, written notice under Section 122(a) must be given. Issuance of a SNL
triggers a 60 to 120 day moratorium. If the PRPs provide a Good Faith Offer
(GFO) within 60 days, the EPA cannot take any action for 60 days. If a significant
threat to public health and the environment arises during the moratorium,
however, EPA may take an emergency or time critical early action to address the
problems.
Negotiations and Settlements
Regions should issue AOs (unilateral or on consent) or negotiate CDs at every
early action where viable PRPs have been identified. Early removal action
settlements should generally be in the form of an AOC. Early action under
remedial authority settlements should be in the form of a CD. A provision
should be included in the CD allowing the PRP to begin the early action under
remedial authority prior to lodging or entry. If the PRP does not respond to the
notice letter or settlement cannot be reached through negotiations, the Region
should consider issuing an UAO. Model orders and CDs for early actions have
been developed. Unless time is a factor, an AOC is sent to the PRPs before a UAO
is issued. Factors that may justify Fund financing without an order include
technical difficulty in defining the steps to be taken; unique technical complexity;
inappropriateness of allowing a particular PRP to do the work; and insofar as
resources are constrained, very low cost of remedy. In some cases, a UAO can be
converted to an AOC, but this should be done without delaying PRP response.
Oversight costs should be taken into account in negotiations, particularly for
large early actions.
The ORC should consult with the DOJ before issuing a SNL for removal
actions where settlement will be by a CD. States should be notified before
negotiating an AOC or CD, or issuing a UAO. Regions may negotiate an order
with the PRPs for the EE/CA or FFS and include the early action in the order.
On-Scene Coordinators (OSCs)/RPMs may also secure post-early action site
controls from a PRP using an AOC or UAO.
An action Memorandum or a ROD should be signed at all sites prior to
initiation of the early action regardless of who is performing the response. It is
particularly critical where PRPs are performing early actions to provide for
sufficient documentation, and to guard against subsequent 106(b) petitions for
reimbursement, especially if a UAO is issued.
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OSWER Directive 9200.3-14-1
Oversight
Once RP-lead early actions have begun, EPA will have an active oversight
role, including an on-scene presence. Contractors may assist in overseeing field
activities and reviewing workplans, data, and reports. In addition, OSCs/RPMs
monitor and determine compliance with the AOC, UAO or CD. If the early
action is not conducted appropriately or in a timely manner or PRPs are not
complying with the order or CD, the Region should notify the PRPs in writing
what tiie deficiencies are and when they occurred. Regions should be prepared to
enforce the terms of the order or CD. The Region may seek penalties or impose
other sanctions when the PRPs have violated some terms of the order or CD but
are in compliance with other terms, initiate a CERCLA Section 106 judicial
action, or take over the early action if the PRPs are not in compliance.
When UAOs are issued and the PRPs are out of compliance and not
performing the response action, treble damages should be sought during cost
recovery, where possible. Due to the time-critical nature of the removal
program, Regions should be prepared to quickly move forward with a Fund-
financed removal response if the PRPs do not comply with the order.
Regions should use judicial action to enforce a UAO for an emergency or
time critical removal only in exceptional circumstances. Regions should track
the PRP's compliance status in WasteLAN (C1726). Regions must also develop
ARs for early actions. The date the AR is compiled and available at the local
repository must be recorded in WasteLAN. A 'V or 'R', respectively, must be
recorded in the Event Qualifier field (C2103) to indicate whether the AR is for an
early action under removal authority or an early action under remedial
authority. (See the Administrative Record section earlier in this Appendix for
additional information.)
Upon completion of an early action, a site meeting should be conducted to
verify that all work was performed. The completion of an early removal action
must be documented in a Pollution Report (POLREP). If the removal cleans up a
NPL site, a Site Close-Out Report or ROD that documents that all remediation is
complete must also be prepared. Completion of an early action under remedial
authority must be documented in a Site Close-Out Report.
LONG-TERM ACTION ENFORCEMENT ACTIVITIES
Prior to completion of the draft FS, Regions should undertake considerable
planning, including: (1) developing an enforcement strategy that includes
activities, responsibilities, and dates; (2) reviewing PRP search information for
completeness; (3) considering settlement options, including mixed funding and
de minimis, and discussions with PRPs before the special notice; (4) documenting
past costs (e.g., ESI/RI, early actions) to include in response negotiations; and (5)
preparing the SNL and accompanying draft CD. To assist the Regions, a model
CD was developed and should be used as needed.
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OSWER Directive 9200.3-14-1
SNLs should be planned and issued about the time of ROD signature. PRPs
have 60 days in which to submit a GFO after receiving notices. If a GFO is
submitted in that timeframe, another 60-day period follows for negotiations. If a
GFO is not submitted, negotiations should be terminated. Ideally, cleanup
negotiations should not last longer than two quarters past the ROD signature.
The moratoriums established in the SNL should be honored. Negotiations
should be completed and settlement reached within the timeframes, or a UAO
should be issued to viable and liable PRPs. PRPs have 30 days to provide written
notice of intent to comply. Negotiations are completed when the CD or referral
without settlement is sent to HQ or DOJ, a UAO is issued to initiate site work, a
trial is started, an AOC for RD only is signed or an AOC for ESI/RI/FS is
amended to include the RD, or the long-term action is funded. During the
moratorium, EPA may not initiate a RA. However, additional studies
authorized under Sections 104 and 122 may be initiated during the negotiation
period. Initiation of a RD during the moratorium period will only occur in
exceptional circumstances and must have advance concurrence from HQ.
In order to proceed through negotiations expeditiously, a coordinated team
effort involving the program office, ORC, DOJ, the State, and HQ is required.
This begins with the drafting of a SMP and development of a negotiation strategy
and pre-referral package. The negotiation team should identify potential
settlement issues up-front and be prepared to address them. Every attempt
should be made to complete negotiations within 120 days. However, in
accordance with the streamlined settlement guidance, Regional Administrators
may extend the negotiation period for up to 30 days. Further extensions require
the approval of the Assistant Administrator for the Office of Enforcement (AA
OE).
If it appears negotiations will be extending beyond the 120 day negotiation
moratorium, RPMs should notify and coordinate with the OWPE Regional
Coordinators. At least one week prior to the end of the Regional Administrator's
extension, the Region should send their additional 30 day negotiation extension
request to the AA OE. A copy of this request should also be faxed or mailed
directly to the Region's enforcement Regional Coordinator. The extension
request should contain the following:
• Brief background summary;
• Status of negotiations;
• Likelihood of settlement;
• Information on whether the Region has begun drafting a UAO;
• A specific date when the UAO will be issued; and
• An indication of the extent to which both ORC and DOJ concur in the
proposed approach to resolving negotiations.
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OSWER Directive 9200.3-14-1
Regions are urged to use UAOs when negotiations are protracted and PRPs
are liable and viable, and the Agency determines it is in the public interest to
compel the PRPs to respond. In addition, where the negotiations do not produce
agreement and there are viable and clearly liable PRPs, UAOs should be
considered to obtain treble damages or as a step prior to referral. Regions are
required to consult with OWPE prior to making a decision not to issue a UAO to
liable and viable PRPs and fund the RD.
When negotiating settlements for cleanup, Regions should use the model CD
and include a provision in the CD allowing PRPs to begin the RD prior to
lodging or entry. AOCs for RAs are not permitted under SARA. Regions should
follow established procedures for requesting language deviations from nationally
significant provisions of the model CD. Regions should send a copy of the CD
and the 10 point referral document to OWPE.
EPA is required to use third party assistance in oversight of RP-lead long-term
actions. Oversight is performed primarily through ARCS and the US ACE.
Regions should seek payment of oversight costs in all settlements, as well as
past costs of site assessment and other response actions. Where a partial
settlement occurs, Regions should aggressively pursue non-settlors. This may
include the use of Section 104(e) information request enforcement, as well as
Section 106 and Section 107 cost recovery litigation. The status of the PRP's
compliance with the UAO or CD must be updated monthly in WasteLAN
(C1726). RPMs are required to track the compliance status of major PRP
deliverables and the collection of oversight funds.
At the end of negotiations, if the decision is made to proceed with a Fund-
financed long-term action, money will be available. However, Regions should
reconsider issuing a UAO and pursuing Section 106 litigation to enforce the UAO
if there are viable PRPs at the site. In most cases, Regions should plan that RP-
lead site assessment projects without settlement and without compliance with a
UAO for remedial response actions will be candidates for referral as Section
106/107 judicial actions.
The administrative authority under Section 106 should be used at all sites
that meet the criteria outlined in OWPE guidance (March 7, 1990 OSWER
Directive 9833.0-l(a), Guidance on CERCLA 106(a) UAOs for Remedial Design and
Remedial Actions), to bring PRP negotiations to a close or compel PRP response at
the site. A UAO should be issued if a GFO is not submitted within the
negotiation timeframes identified, or a settlement is not reached at the end of the
moratorium and the PRPs are liable and viable.
WasteLAN should be updated monthly with actual dates of referrals and/or
orders issued (C1717), response remedy sought/obtained (C2731), compliance
status (C1726), milestones (C2801), dollars sought (in case of a Section 106/107
referral), value of RP work to be performed (C2903=R), and dollars recovered
(C2903=F).
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OSWER Directive 9200.3-14-1
COST RECOVERY
Cost recovery actions are one of the enforcement priorities in FY 94, including
Section 107 SOL referrals, actions against non-settlors/non-compliers, and other
non-SOL referrals. Sites ripe for cost recovery include sites with a completed
early action, RI/FS or RD, or sites with long-term actions where on-site
construction has started. Regions should have a completed PRP search and
information about the liability and viability of the PRPs; totals for funds
obligated/expended (including indirect costs); early action, ESI/RI, FS, and RD
completion dates; early action under remedial authority or RA start dates; and
SOL dates. The following is a list of cost recovery programmatic strategies:
• Where there appear to be viable PRPs, costs should be documented and a demand
letter sent prior to or concurrent with cost recovery actions. The date the
demand letter is issued should be recorded in WasteLAN (C2807);
• Where there is a partial settlement, an action against viable non-settlors should
be pursued promptly (before the response begins). Non-settlor and non-
complier enforcement action on the part of the government can create a
powerful deterrent to non-cooperation by other PRPs in future cases. They
also enhance the equitable position of the Agency in various sorts of
enforcement litigation, and help fulfill the assurance provided to Congress
concerning the implementation of CERCLA;
• Where a UAO was violated resulting in EPA incurring work performance or
enforcement costs, treble damages should be sought in the referral against the
non-compliers;
• For response activities that cost less than $200,000, each Region should issue
demand letters and pursue administrative settlement if resources are
available. The use of ADR is encouraged. EPA will refer some cases where
the PRPs did not respond to the demand letter; and
• When a decision not to pursue some or all costs has been made, the decision must be
documented in the 10-point analysis or a cost recovery decision document.
Prior to making this decision, particularly for large early or long-term actions,
the PRP search is to be reviewed by a civil investigator and supplemented as
necessary (PRP search follow-up phase). As soon as a preliminary decision is
reached, the planned date of the cost recovery decision document (C2801=DD)
and the funds that will not be recovered (C2903=A and C2907=amount)
should be entered into WasteLAN. When the decision is finalized, the actual
date (C2807) and amount (C2907) must be entered into WasteLAN for the
final decision document. When the decision is reached in conjunction with a
settlement, the date of the decision will correspond to the settlement date.
The decision date (C1717) and the amount (C2907) must be entered into
WasteLAN.
As the OSC/RPM documents Fund-financed response activities, they should
send demand letters to the PRPs requesting payment of all past response costs.
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OSWER Directive 9200.3-14-1
Once a demand letter is issued, the PRPs are given a period of time to negotiate.
If the PRPs do not settle, the Region must decide whether or not to pursue cost
recovery.
The SOL for early actions is three years from the completion of the action. A
consistency exemption may be sought for early actions, if the continued response
action is appropriate and consistent with an early action under remedial
authority or long-term action to be taken. A decision not to pursue cost recovery
must be documented in a Removal Action Cost Recovery Close-Out
Memorandum or a cost recovery decision document.
The following is a list of possible SOL issues and methods for recording data
in WasteLAN:
• Referrals for all early actions greater than $200,000 must be planned in order
to be filed in court within one year of completion of the early action, if
resources are available. In no event should the referral be later than three
years from the date of completion of the early action, unless there was a
Section 104(c)(l)(C) waiver or there clearly will be physical initiation of a long-
term action RA within three years. It generally takes three to six months
from referral to filing, but may take longer for complex sites;
• Referrals for ESI/RI, FS, and RD should be planned to be filed within two
years from completion of the last event unless there is planned on-site
construction (early action under remedial authority or RA) within three
years;
• If RA on-site construction is started within 3 years of an early action
completion, ESI/RI or FS completion, or RD completion, the SOL date for that
component is 6 years from the on-site construction start date;
• Cost recovery referrals should coincide with early action under remedial
authority or RA start, if resources are available. Referrals should occur no
later then one year after the early action under remedial authority or RA start.
If an ESI/RI or FS referral was conducted separately or there are no
unreimbursed past costs, a referral should be initiated when early action
under remedial authority or RA funds have been expended, unless special
circumstances exist (i.e., non-settlors); and
• For cost recovery referrals and administrative settlements, WasteLAN data
requirements are as follows:
- Plan/actual start (C1716) and completion (C1717) dates;
- Amount sought in the referral (C2907);
- Amount achieved in the settlement (C2907);
October 1993 C-22
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OSWER Directive 9200.3-14-1
- Remedy (C2731); and
- Activity level indicator flag for settlement (C1721).
Negotiation of Interagency Agreements (lAGs) or other Federal agency
compliance agreements at multi-party sites should include a provision for
recovery of past Fund expenditures, including EPA oversight costs.
As part of cost recovery management and preparation for civil referrals,
Regions should plan supplementing PRP searches, assembly of ARs, cost
documentation, work performed documentation, and demand letters. In
addition, planning for ESI/RI, FS, and cleanup negotiations should include
documentation of past early action and ESI/RI or FS activities. Finally,
oversight, cost recovery, and accounts receivable must be managed.
GENERAL PLANNING AND REPORTING REQUIREMENTS
Event/Activity Lead Codes
Event/activity lead codes identify the entity performing the work at the site.
Exhibit C-l shows the valid project/event lead codes in C1707 and C2117.
A lead code must be placed in WasteLAN for all response events (C2117) and
enforcement activities (C1707). Regions have the ability to code the lead for
project support activities (i.e., community relations, support agency assistance,
etc.) based on Regional preference. The national rule for coding project support
leads was eliminated in FY 92. All enforcement actions (i.e., orders, decrees, PRP
searches, etc.) performed by EPA and all RODs resulting from RP and PS-lead RI
and FS projects should have a lead of "FE" (Federal Enforcement). All
enforcement actions conducted by the State and all RODs resulting from SR-lead
RI/FS projects should have a lead of "SE" (State Enforcement).
The Agency acknowledges that States can and have assumed the lead role in
reaching an agreement with the PRPs for response activities at NPL sites without
negotiating a Cooperative Agreement (CA) or other formal agreement with EPA
(SR lead). However, the NCP has determined that in the absence of a formal
agreement the State will not be officially recognized as the "lead agency" for the
project and EPA will not concur on the remedy selected.
Lead Changes
A takeover or lead change occurs when the entity performing an event
changes after the event has started and credit has been given. Typically, this
occurs when a settlement with the PRP had been reached after the event started.
It may also occur when the Fund assumes a RP-lead project because of non-
compliance with an Administrative Order (AO) or CD.
In order to avoid delays resulting from PRPs assuming the lead during a
discrete phase of the project (a takeover), a policy has been established that limits
C-23 October 1993
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OSWER Directive 9200.3-14-1
lead changes from EPA to PRPs in the middle of a phase of the Superfund
process, except in situations where the change will not cause undue delays
(OSWER Directive 9800.1-01, Limiting Lead Transfers to Private Parties During Discrete
Phases of the Remedial Process, November 14, 1991). The policy applies to lead
changes from EPA to PRPs only; not EPA takeovers of PRP work or lead changes
involving States.
It is expected that much of the early site assessment activities will be Fund-
lead. However, response lead changes (i.e., changeover) can occur at any of the
following points in the process:
• After the Preliminary Assessment (PA), Site Investigation (SI), or expanded
removal assessment;
• Prior to the development of an EE/CA for a NTC removal;
• Prior to the ESI/RI;
• Prior to the FS;
• Prior to conducting an early action (removal or early action under remedial
authority);
• After the ROD is signed and prior to initiating the RD/RA or early action
under remedial authority; and
• Prior to RA contract solicitation, when funding the RA would have
significant implications for the Fund and when no significant delays will
occur.
When circumstances warrant passing the lead to PRPs during a phase of
cleanup, steps should be taken to minimize potential causes of delay. For
example, if PRPs assume the lead during the ESI/RI, they should be given a limit
of 60 days to enter into an AOC for performing the work.
If a PRP is allowed to take over a time critical removal, ESI/RI or FS after
dollars have been obligated, the Region should retain the funds needed for PRP
oversight for the remainder of the FY and deobligate the rest. Additional funds
for oversight in future years should be obtained from the Regional enforcement
extramural budget. If the PRPs are allowed to take over the RD/RA, early action
under remedial authority, or NTC removal after funds have been obligated, the
Region can retain the funds needed to provide oversight of the entire PRP
response activity. The remainder should be deobligated. RD and removal funds
that are deobligated may be replaced in the Region's Advice of Allowance (AOA)
and used in accordance with the flexible funding priorities outlined in Volume I,
Chapter EQ. Deobligated early action under remedial authority or RA funds must
be returned to HQ for funding of other priority early action under remedial
authority or RA projects.
October 1993 C-24
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OSWER Directive 9200 3-14-1
EXHIBIT C-l
EVENT/ACTIVITY LEAD CODES IN WASTELAN
Lead
F
RP
S
PS
SN
SR
CG
MR
SE
FE
EP
FF
TR
Definition
Fund financed response actions performed by EPA (applies to response
events)
PRP financed response actions performed by the PRP under a Federal
order/CD (applies to response events)
Fund financed response actions performed by a State - Money provided
through a CA (applies to response events)
PRP financed response actions performed by PRP under a State
order/CD with PRP oversight paid for or conducted by EPA through an
EPA CA with the State or, if oversight is not funded by EPA, a SMOA
or other formal document between EPA and the State exists which
allows EPA review of PRP deliverables (applies to response events)
State financed (no Fund dollars) response actions performed by the
State (applies to response events)
PRP response under a State order/CD and no EPA oversight support or
money provided through a CA and no other formal agreement exists
between EPA and the State (applies to response events)
Work performed by the Coast Guard - Limited to removals (applies to
response events)
Preauthorization mixed funding work performed by PRP under a
Federal CD with an agreement that the Fund will provide some
reimbursement to the PRP (applies to response events)
Enforcement activities performed by a State - Money provided through
a CA or if not funded by EPA, a comparable enforcement document
exists (also applies to ROD events at SR-lead response events).
Enforcement activities performed by EPA or work done by enforcement
program at private or Federal Facility sites (also applies to ROD events
at RP and PS-lead response events).
Response activities performed by EPA using in-house resources
Response activities performed by the Federal Facility with oversight
provided by EPA and/or the State at sites designated as Federal
Facilities on the NPL; also applies to RODs at Federal Facilities
Indian Tribal Governments
C-25 October 1993
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OSWER Directive 9200.3-14-1
When the Fund originally obligated dollars for response activities and a
takeover occurs, Regions will have to request a change in Account Number (AN)
through their Regional Financial Management Office (FMO). The activity code
within the AN changes if the Agency is acting in an oversight role as opposed to
performing the response action.
RP-lead projects that are deficient or where the PRPs are recalcitrant may be
addressed by the response program. If the project requires substantial Fund
involvement to correct, it should be coded as a Fund takeover in WasteLAN.
If a takeover of an early or long-term action event does occur, a new
WasteLAN record must be created and the First and Subsequent Start (FSS) and
First and Subsequent Completion (FSC) codes (C2115 and C2116) revised. A
takeover does not create a new Operable Unit (OU). The original WasteLAN
event must be updated to show the completion date as the date of the takeover.
The start date for the new WasteLAN event is also the date of the takeover.
The WasteLAN Event Takeover Flag (C2114) is manually maintained. A "T"
is used in this field to flag the original event which has the change in lead. The
new event has the event code and sequence number of the original event that
was taken over in the Event Takeover Flag field (C2114).
The placement of the FSS and FSC codes in the event of a takeover is
important. When the takeover of a remedial event has occurred and work has
not proceeded past the workplan stage, the FSS and FSC codes should be placed
with the event which was taken over. (See Exhibit C-2 for an example of the
takeover coding.) However, if the takeover occurs after the workplan stage or a
time critical removal action is taken over, the FSS code is placed with the
original event and the FSC code is placed with the new event. Exhibit C-2 also
shows the proper placement of the FSS/FSC codes under these circumstances.
Lead changes between discrete phases of the Superfund process are preferable
to takeovers. However, EPA may take back the response lead from a PRP when
the Agency deems a lead change would be appropriate to maintain response
integrity or to protect human health and the environment.
Links
The Links Module enables the integration of site assessment, response, and
enforcement data for a specific site in WasteLAN and CERCLIS. Links
graphically connects enforcement activities to enforcement activities,
enforcement activities to response events, and response events to response
events.
A graphic representation of the flow of events and activities at a site, called a
site map, can be generated using Links. The site map shows the relationship of
events and activities at the site and indicates whether the event/activity is
October 1993 C-26
-------
OSWER Directive 9200.3-14-1
completed, planned or ongoing. Once the sequence and relationship of events
and activities has been determined, they are linked using the Links rules.
EXHIBIT C-2
CODING OF TAKEOVERS
Event Takeover At Workplan Stage
Actual
Comp. FSS FSC Comments
Takeover
Flag
7/29/88 11/30/88 11/30/88 E
11/30/88 12/15/90 A
E SITE WIDE
A SITE WIDE
Event Takeover After Workplan Stage or Removal Takeover
Actual
Comp.
Takeover
Flag
FSC Comments
SITE WIDE
SITE WIDE
4/30/90
2/20/90
7/31/93
8/31/93
11/15/87
4/30/89
9/10/92
12/5/92
Events and activities and the appropriate links are entered as the site is
planned. If an activity or event does not occur as planned, then those
activities/events must be modified and the related link record deleted and
updated as appropriate. It is especially important that the Links records be up-to-
date and accurate as they are used when calculating SCAP/Strategic Targeted
Activities for Results System (STARS) duration measures. For additional
information on the Links module and OUs, please refer to the Links Coding
Guidance, May 1992.
C-27
October 1993
-------
OSWER Dkective 9200.3-14-1
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Intentionally Blank
October 1993 C-28
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OSWER Directive 9200.3-14-1
ENFORCEMENT
BUDGET AND FINANCIAL MANAGEMENT
OWPE REGIONAL EXTRAMURAL BUDGET PROCESS
Below is an overview of the enforcement extramural budget process,
including a discussion of SCAP targeted and non-targeted activities needing
extramural funding; financial planning and tracking requirements and
responsibilities; budget allocation and AOA distribution; contract mechanisms,
activities and their pricing factors; and CERCLIS/WasteLAN extramural budget
reports. In addition, a brief summary of Regional/HQ responsibilities during the
extramural budget process is included.
There are five basic components to the extramural budget process. These are
1) preliminary budget allocation and distribution; 2) Regional planning against
the preliminary budget; 3) HQ/Regional negotiations; 4) final budget
distribution; and 5) budget execution. Each of these five steps is fully detailed in
the following sections.
Preliminary Extramural Budget Allocation and Distribution
A Region's budget allocation contains the Region's share of available
extramural resources used to support enforcement activities. This includes the
following:
• Oversight of PRP emergency and time critical early removal actions;
• PRP searches and negotiations;
• PRP ESI/RI and FS oversight;
• Litigation support;
• State enforcement; and
• Program implementation.
To allow Regions to make one request for litigation, the three budget
categories of cleanup referral and negotiations, cost recovery, and ongoing
litigation support have been collapsed into the general category of litigation
support. One request, therefore, may be made for both the quarter in which the
litigation is referred and for the subsequent ongoing quarters.
The extramural budget is formulated as follows:
• Enforcement mega-site funding requests are submitted to OWPE by
June 30. Mega-site funding requests will be fully funded wherever possible.
A priority list of mega-sites that were not funded will be developed and
submitted for supplemental funding;
C-29 October 1993
-------
OSWER Directive 9200.3-14-1
• Initial allocation of the budget by HQ is based on the past three years of
Regional obligation/tasking averages and unliquidated balances in relation to
current invoicing rates;
• Preliminary budgets are sent to the Regions in early May. Regions plan their
obligations for the upcoming FY against this budget. Prior to August SCAP
negotiations, the Regional plans are pulled from CERCLIS. During
negotiations, each Region's plan is generally reviewed to determine if the
Region can utilize its budget or needs additional funding;
• Each Region's request is reviewed and a final budget/AOA for the Region is
developed in early September. For example, if a Region receives a
preliminary budget of $10 million in May and their site and non-site specific
planned obligations in August total $8 million, $2 million will be reallocated
to Regions with demonstrated need above their preliminary budget; and
• Enforcement extramural budget carryover amounts are calculated in
November. Regional allocations may be adjusted base on each Region's
carryover.
Litigation Support
To request litigation support contingency funding, the Region should send a
letter to OWPE addressing the following points:
• What the litigation support funds will be used for;
• Why the litigation support cannot be funded out of the current budget;
• If it is a NEAR or de minimis settlement;
• Any extraordinary circumstances surrounding the case;
• Viability of PRPs;
• Type of settlement; and
• National precedence issues.
Regional Planning Against Preliminary Budget
The goal of the Regional extramural enforcement budget process is to increase
effectiveness, allow greater flexibility, and provide financial accountability
through WasteLAN. Regions should plan their budget site specifically or use a
combination of site specific and non-site specific planning where actual sites are
undetermined prior to the start of the fiscal quarter. Non-site specific plans
should be replaced with site-specific plans when sites are identified.
October 1993 C-30
-------
OSWER Directive 9200.3-14-1
The Region's extramural budget plans must be reflected in CERCLIS by the
August 1993 (FY 94 budget) or August 1994 (FY 95 budget) pull date, respectively.
(Details on how to code extramural budget plans in WasteLAN are presented
later in this Appendix.) It is important that Regions plan their extramural budget
needs and requests against specific sites and projects where possible. This will
enable both the Regions and HQ to identify Regional priorities and budget needs
that exceed the proposed allocation. Such detail is critical to any attempt by HQ
to seek supplemental funding. Without site or project specific justification, HQ
will not consider requests in excess of the proposed allocation. In addition,
throughout the FY, Regions should ensure that WasteLAN plans are updated to
accurately reflect funding requirements against the available budget.
Because the Regional extramural budget is FY specific, all funding requests
should be limited to only the amount needed during FY 94 (if planning for FY
94) or FY 95 (if planning for FY 95) except in rare circumstances, which should be
discussed with HQ, or when requesting funds for ESI/RI or FS oversight. In the
case of annually priced activities, it is expected that the funding provided in one
FY will support the activity through completion and that additional funds will
not be requested in subsequent FYs.
Exhibit C-3 displays all the activities and events eligible for funding in FY 94
and FY 95 within specific budget categories. Extramural budget dollars planned
against other activities will not be accommodated. It is important to note that
any activity or event not listed in Exhibit C-3 will not be included on the
standard financial reports (SCAP-4E and SCAP-21E). The extramural budget no
longer pays for many supporting activities (e.g., Operation and Maintenance
(O&M), design assistance, geophysical support, etc.). These activities are funded
through the response budget. (See Appendix A or B).
Since the extramural budget is to be managed at the overall or bottom line
level, Regions must consider both their actual allocation and funding priorities
when planning their budgets. In addition, average pricing factors and budget
categories should be considered when determining site and Regional funding
requirements. For example, if a Region's total request is within the allocated
budget, requests for PRP ESI/RI or FS oversight do not have to match the
proposed allocation for the PRP ESI/RI or FS oversight budget category.
Therefore, Regions are not required to request dollars within budget category
pricing.
It is recognized that Regions may have to shift funds among budget categories
in order to fund priority activities or events. The Priority Funding Status field
(C2625 and C3225) should be used to indicate both requests within and above
Regional allocations. This status should be reviewed and monitored on a
regular basis to ensure the availability of funds and identification of
supplemental needs.
C-31 October 1993
-------
EXHIBIT C-3
FY 94 and FY 95 REGIONAL ENFORCEMENT EXTRAMURAL BUDGET FUNDED
ACTIVITIES REQUIRED TO ACHIEVE PROGRAM OUTPUTS
OWPE Distribution
Model Categories
Early
Actions
PRP Searches and
Negotiations
PRP ESI/RI/FS
Oversight
Litigation
Support
State Enforcement
Program
Implementation
Associated Regional Enf . Ext.
Budget Funded Activities
-PRP Search
-Removal Negotiations Starts
-RP Oversight (PRP time
critical removals starts)
-PRP Search (Phase I)
-PRP Search (Phase II)
-Cleanup Negotiation Starts
-PRP ESI/RI/FS Oversight
-Treatability Study Oversight
- Endaneerment Assessment Oversight
- Cost Recovery^ Negotiation
- Prepare Cost Documentation Pkg.
- Administrative Cost Recovery
-NBAR
- IAG Negotiations (formerly
owned Federal Facilities)
- Referral Development
Section 106, 106/107
Section 107
Section 104 (e)
- Claims in Bankruptcy
- Ongoing Support
Section 106, 106/107
Section 107
-PS ESI/RI/FS Oversight
-TES Program Management
-Contract Program Management
-Administrative Record
- Records Management
- Community Relations
-State Enforcement Management
Assistance
- Information Management
- Support Agency Assistance
- Preliminary Natural Resources Survey
-Technical Assistance
- Multi-site CA
- Training
-Other
-Senior Environmental Employee
Program
WasteLAN
Codes
RP
RN
RV
NS
NS
vJG, AN, FN
SS,RI,FS,CO
TS
ED
NE
PC
AV
NB
IN
SX,CL
SV
SF
CB
SX,CL
SV
SS,RI,FS,CO
AR
CR,RC
MA
TA
OH
SffiSRBX&SSSSS&S&E
Wimmmsm
CERHELP
Codes
RP
RN
RC,NA,NP
PS
PS
NG,AN, FN
RI
AN
SX,CL
SV
SX,CL
SV
RI
TM
PM
AR
RM
CR
EM
IM
MA
PN
TA
MS
TR
OH
SE
g^s^es&S&sSs&SSS;
w&ssp8&&[88es£&qK
Valid Leads for
Site-Specific
Plans
FE
FE
RP
FE
FE
FE,SE
RP.MR
RP,MR
RP.MR
FE
FE
FE
FE, SE
FE
FE
FE
FE
FE
FE
FE
FE
PS
iiJiiiilJtei^ ••<
$K Avg.
Pricing Factor
Annual
15.0
50.0
25.0
50.0
250.0
20.0
20.0
7.0
24.0
15.0
21.0
10.0
10.0
150.0
Quarterly
6.0
20.0
10.0
Avg.
Duration
In
Quarters
1
1
4
12
10
2
2
1
3
3
3
1
10
Total I
Avg. Cost •
15.0 1
I
50.0 •
I
25.0 •
72.0 •
50.0 I
250.0 i
20.0 1
20.0 I
7.0 1
24.0 •
I
1
I
15.0 i
21.0 I
10.0 i
1
I
i
1
150.0 g
•
1
1
1
I
i
1
1
1
§H
I
1
1
^S^M'ri^-S^S^.^sl^,:.; .•><--: , :.!.]
-------
OSWER Directive 9200.3-14-1
To determine the proper funding status code (C2625 and C3225), the
activity/event must be identified as a primary or alternate target/project
(Activity/Event Planning Status - C1725 or C2110). If it is an alternate
target/project, the entire funding request should be coded as "ALT" (alternate).
To determine the funding status for primary targets/projects, the total of all the
requests must be considered. If the total request does not exceed the available
budget the funding status codes may be "APR" (approved). If, however, the
budget is exceeded, the planned obligation should be coded as "ALT". The
approved plans must not exceed Regional allocations. AOAs will not be
distributed to Regions with approved planned dollars totaling more than the
available budget.
Potential funding requirements, such as potential PRP takeovers, should be
coded with "CON"(contingency) as the funding status (C2625 and C3225).
Final Extramural Budget Distribution
Approximately fifteen days prior to the beginning of the quarter, HQ will
indicate the approved quarterly budget levels in CERHELP. AOAs will be
displayed as approved amounts by quarter. HQ will not send out a
memorandum containing the approved amounts. A Region's "APR" planned
obligations must not exceed their approved budget for the upcoming quarter. In
order to receive its allowance, a Region must have updated quarterly planned
obligations for those amounts in CERCLIS by the specified pull date.
CERHELP lists the AOA by quarter and also according to the categories in
Exhibit C-3. Prior year Technical Enforcement Support (TES) obligated and
untasked funds (i.e., carryover funds) are also shown. These amounts appear on
the SCAP-4E and SCAP-21E reports.
Quarterly AOAs will be issued based on Regional quarterly plans reflected in
CERCLIS and identified on the SCAP-4E report. The dates for pulling data for
generation of the AOA can be found in the Manager's Schedule located at the
beginning of Volume I of this Manual. Regions should plan on obligating
approximately 40 percent of their extramural budget in the first quarter, 18
percent in the second, and 21 percent in the third and fourth quarters. This
distribution is based on historical budget utilization. Regions may receive a
higher percentage of funds in a quarter only after discussions with HQ.
It is also recognized that Regions will have TES obligated untasked funds
(carryover) from one FY to the next. This amount will be determined and agreed
upon with the Regions by November 1. These amounts will be placed in
CERHELP by contract vehicle in early November. They will be displayed on the
SCAP-4E report under the Contract Use and Regional Allowance sections. To
ensure that the budget is balanced and that AOA funds requested do not exceed
quarterly allocation percentages, Regions should adhere to the limits displayed in
Exhibit C-4. The Regional extramural budget allocation will be recalculated in
November based on carryover amounts.
C-33 October 1993
-------
OSWER Directive 9200.3-14-1
The purpose of the allocation strategy is to allow more accurate planning of
resources and ensure the availability of resources when they are needed. As
budget utilization (TES tasking and non-TES commitments and obligations) will
be measured against quarterly plans, Regions should request extramural budget
funds the quarter in which they will be utilized.
Budget Execution
Ensuring the availability of funds when they are needed is crucial. While it is
understood that the volatility of the program may inhibit the planning process,
Regions should do their best to use extramural budget funds in the quarters in
which they are planned.
To offer a credible argument for supplemental funds, it is imperative that the
Regions show adequate utilization of available resources. Close monitoring and
management of the Regional extramural budget is, therefore, essential. Outlined
below are the major steps of the budget execution processes that must be
followed to manage extramural budget resources.
TES Contract Obligations
Once quarterly AOAs are received by the Region at the beginning of the fiscal
quarter, the contract obligations may be initiated. Obligations are made to
contracts when the Contracting Officer (CO) signs the contract or modification of
the contract to include the new funds. Regional Project Officers (RPOs) make
sure that the Procurement Requests (PRs) are committed by their FMOs in the
Automated Data Control Register (ADCR) before sending them to the CO.
RPOs will submit three types of obligations for the TES 5+ and the new
Regional ESS contracts:
• Program management obligations;
• Generic obligations to cover TES tasking; and
* Buy-in obligations.
Detailed instructions for coding all types of obligations are included later in
this Appendix.
October 1993 C-34
-------
n
s>
EXHIBIT C-4
REGIONAL EXTRAMURAL BUDGET AOA LIMITS
Fiscal Quarter
1st Quarter
2nd Quarter
3rd Quarter
4th Quarter
Limits
Total approved planned obligations must equal negotiated budget.
First quarter planned obligations must not exceed 40% of annual budget.
Total used funds and approved planned obligations must equal the final
negotiated budget based on November carryover calculations.
Sum quarter 1 used and quarter 2 planned obligations must not exceed 58% of
annual budget.
Total used funds and approved planned obligations must equal the final
negotiated budget based on November carryover calculations.
Sum quarter 1 and 2 used and quarter 3 planned obligations must not exceed
79% of annual budget.
Total used funds and approved planned obligations must equal the final
negotiated budget based on November carryover calculations.
Sum quarter 1, 2, and 3 used and quarter 4 planned obligations must not exceed
100% of annual budget.
m
N>
O
O
OJ
-------
OSWER Directive 9200.3-14-1
Program Management Obligations
A program management obligation is the estimated amount of the Regional
program management Work Assignment (WA). RPOs will send PRs to the
COs to obligate funds to cover the Regional management WAs. The
Information Management Coordinators (IMCs), or their designees, will enter
the PR commitment amounts in WasteLAN as "Contract Program
Management" using the coding reference guide and data entry instructions
included later in this Appendix. If required by Regional procedures, the RPOs
will provide copies of the PRs and WasteLAN coding forms to the IMCs.
Generic Obligations to Cover TES Tasking
The generic PR or obligation provides funds to the contract to cover the value
of enforcement WAs. This type of obligation, however, is not activity or site
specific. The obligated dollars are used to fund anticipated WAs not initiated
or approved under previous obligations. Obligations must precede approved
WAs before any work can begin in the Region. These PRs create non-site
specific obligations that will be charged to the site specific WAs when the
contractors' invoices are processed by EPA. RPOs must ensure that
enough money is obligated to cover the total value of the WAs outstanding
at any given time in each FY. Again, if Regional procedures require, RPOs
should provide copies of PRs with coding forms to the IMCs for the
commitments/obligations to be recorded in WasteLAN as 'OH' for other.
Buy-in Obligations
The third type of obligation is for TES WAs that are submitted with their own
funding PRs. These WAs are generally referred to as buy-ins. The most
common form of a buy-in is when "TFA" (response funds) or "TYP" (Federal
Facility funds) are used to support the TES contractor's performance of non-
enforcement work at the site. To properly account for these funds RPOs must
record the AN on the PR in the Technical Enforcement Support Work
Assignment Tracking System (TESWATS) in the "funding account" field.
Additionally, Superfund site specific buy-ins will have to be properly coded in
WasteLAN using the EPA Identification Number (EPA ID), OU number,
event or enforcement activity type, funding AN and Document Control
Number (DCN). RPOs should provide copies of PRs, properly coded WA
forms, or WasteLAN coding forms to the IMCs for the information to be
entered in the appropriate site records.
Obligations for Other Financial Vehicles
Regions may utilize other financial vehicles (ARCS, lAGs or CAs) to perform
enforcement related work. To access the ARCS contracts, the Region must
submit a PR committing funds to the contract. The commitment initiates the
process of obligating funds. The PR is written for a specific activity or event to be
performed at the site and upon approval by the CO, the contractor may begin the
proposed work. Regional enforcement extramural budget funds ("TGB")
October 1993 C-36
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OSWER Directive 9200.3-14-1
obligated to one of the non-TES contracts represents an enforcement buy-in to a
non-TES contract vehicle.
If the State or another Federal agency will be performing the work, a CA or
IAG, respectively, is required. Like the PR, the LAG or CA is written for a specific
activity or event to be performed at the site. A CA requires the preparation of a
Commitment Notice (CN) and the CA funding document. Funds are obligated
and available for use by the State when the CA is signed by the Regional
Administrator or his/her designee. An IAG requires the preparation of a CN
and the IAG funding document which is signed by the decision official (Regional
Administrator or his/her designee) in the Regional office. The funds are
committed when the IAG is signed by the Regional decision official and recorded
as an obligation when signed by the other agency.
TES WA Tasking Against Generic Obligations
Once the TES generic commitment/obligation is initiated, the process of
approving WAs, also referred to as tasking, may begin. WAs are initiated in the
Region by a Work Assignment Manager (WAM) and sent to the CO in HQ.
When the CO approves and signs the WA, the value of the assignment
represents the amount tasked against the generic obligation. Tasking amounts
are not obligations but they do show how the AOA is going to be utilized to
support site activities or events.
TES WA amounts need to be reflected in WasteLAN to show the actual
dollars tasked and when planned activities have started. RPOs need to make
sure that every TES 5+ or ESS WA and amendment has an accurate WasteLAN
event and/or enforcement activity code. The event or activity codes will relate
to the appropriate site targets being supported, including the relevant sequence
numbers. If a TES WA is for multiple events, activities, or OUs, the funding
split must be shown in the comment field.
It is critical that RPOs enter accurate codes for EPA ID number (C101), OU
number (CHOI), either Enforcement Activity Type (C1701), Event Type (C2101),
or Non-Site Incident (P402), and AN (C2642, C3204 or P1405) in TESWATS. RPOs
can obtain this WasteLAN information from the RPMs, Enforcement Program
Managers, or IMCs since they routinely use it to prepare site specific plans. IMCs
should provide RPOs with CERCLIS reports showing planned funding, by site,
for the current year (SCAP-4E or SCAP-21E, for example) so that RPOs will know
what WAs have an approved funding plan when RPMs request contract work.
CERCLIS planning reports also show the data that RPOs need to enter into
TESWATS. The TESWATS transaction report will be available for RPOs to use
to review tasking data prior to entry into WasteLAN.
IMCs should ensure that data from TES WAs are entered correctly into
WasteLAN. A "Q" financial type (amount requested) may be entered into
WasteLAN for TES WAs that have been signed by the RPO and are awaiting
signature by the CO. "Q" financial records should only be entered for positive
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OSWER Directive 9200.3-14-1
WA amounts. There is no financial type for negative WAs awaiting CO
signature.
Once the COs approve a WA or an amendment to an existing WA, the
amount can be entered with the financial type (C2602 or C3202) of "H," (TES WA
Amount (tasking)). The "H" financial record must match the "Q" record with
the same contract vehicle, WA number, and amendment number. This will
allow only the "H" record to appear on SCAP-4E once the CO has signed the WA.
Reductions in WA amounts (detasking) can be entered with the code "W." RPOs
should provide copies of properly coded WA forms or Site Information Forms
(SIFs) to the IMCs for the amounts to be recorded in the appropriate site records.
TES WA Tasking for Buy-Ins
TES buy-ins (generally using "TFA" or "TYP" funds) require a separate
commitment/obligation as well as a completed WA. Two financial records
must, therefore, be created in WasteLAN. The first financial record indicates the
commitment/obligation of funds into the contract. Instructions for entering this
record are listed above. The second type of financial record that is required is the
tasked amount. The procedures for entering these data are identical to other
tasking data with the exception that the budget source code (C2629, C3229 or
PI 416) should indicate "R" for Remedial, "V" for Removal, or "L" for Federal
Facilities.
AOA Utilization
The initial measure of AOA utilization is the commitment/obligation of
funds into the TES and non-TES financial vehicles. The total of the TES and
non-TES commitments/obligations represents the amount of the AOA which
has been put into the financial vehicles to fund work to be performed at the site.
The total of commitments and obligations, therefore, should not exceed the AOA
issued to date. Regions should review planned contract usage and apportion
funds to the contracts accordingly.
Budget Utilization
To examine overall budget utilization a more detailed analysis of TES
contract usage is required. The value of WAs approved by the CO further
indicates TES contract usage. It is important, therefore, that once
commitments/obligations are made to the TES 5+ or ESS contracts, that WA
tasking occurs as planned. For the non-TES financial vehicles,
commitments/obligations will be used as the measure of utilization as no
corresponding tasking exists for these vehicles. The sum total of tasked amounts
in the TES contracts and commitments/obligations in the non-TES financial
vehicles indicates the level of budget utilization.
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OSWER Directive 9200.3-14-1
CERCLIS is used to track and measure AOA and budget utilization through
the SCAP-4E and SCAP-21E reports. Regions are responsible, therefore, for
entering the following data into WasteLAN:
• "APR," "ALT," and "CON" plans (C2625 and C3225);
• Non-TES ("TGB") commitments/decommitments and
obligations / deobligations;
• TES generic obligations/deobligations;
• Program management commitments/decommitments and
obligations/deobligations; and
• TES tasked and de-tasked amounts.
See Exhibits C-10 - C-15 later in this Appendix for the specific coding instructions.
Distinct codes exist for obligations and WA amounts to separately portray
progress made on obligating funds and WA tasking to the TES 5+ or ESS
contracts. The separation of obligations and tasking amounts accurately reflect
budget and AOA utilization and prevent double counting WA amounts as
obligations. The SCAP-4E and SCAP-21E reports indicate TES contract generic
obligations, TES tasked amounts, non-TES commitments/obligations, and
"APR" planned amounts. Actual TES WA tasking amounts (rather than
commitments and obligations) will be compared to TES planned amounts to
show the balance of funds available for remaining TES plans. Regional
extramural budget management through WasteLAN and CERCLIS enables both
the Regions and HQ to readily determine the status of the following:
• Total level of AOA and budget utilization;
• Contract obligations;
• TES tasked amounts against generic obligations;
• Plans vs. tasked amounts; and
• Carryover funds from previous fiscal quarters (obligated, untasked TES 5+
funds).
Regions, as the allowance holders, are responsible for fully managing
extramural budget data in WasteLAN. The strategy to accomplish this requires
close monitoring of planning, obligation, and tasking data. "Approved" (APR)
planned obligations in present or future quarters will indicate requests not yet
used (tasked in TES or committed/obligated in non-TES). For past quarters, only
TES tasking or non-TES commitments/obligations will be shown on SCAP-4E
and SCAP-21E. Regions, therefore, must closely monitor planning data and
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OSWER Directive 9200.3-14-1
actual usage. If planned obligations are not "used" by the end of the quarter,
they should be moved to a subsequent quarter for the same or different site. If
funds are "used," the planning record or the "APR" flag (C2625, C3225 or
P1419) must be deleted. Either of these options will prevent current quarter
tasked or committed funds from showing on standard reports. Regions should,
however, be consistent in either deleting the planned record or the "APR" flag.
Disbursements
Although TES tasked amounts and non-TES commitments/obligations will
be used to measure budget utilization, disbursements will also be reviewed. It is
important that contractor invoices are received and processed in a timely
manner. The current disbursement tracking procedures for the TES and non-
TES financial vehicles are different in the Integrated Financial Management
System (IFMS). Non-TES disbursements are directly linked to the site and work
being performed and may be compared with the planned amounts or requests.
TES disbursements are linked to the conn-act but are not directly linked to the
specific WA for which the contractor is being paid. When a TES disbursement is
made, the generic contract obligation is reduced and a site specific obligation (not
WA specific) and outlay occurs.
HQ/Regional Adjustment
Throughout the FY, Regions must show adequate utilization of their
extramural budget. Prior to requesting additional funds, Regions should ask the
following questions:
• Have all the funds from the generic WA been tasked?
• Have all the funds in the current AOA been obligated?
• Can funds be deobligated and recertified to the Region's AOA? Can funds be
detasked and retasked from one WA to another?
• Will all funds planned for obligation in future quarters be used as originally
planned? If not can they be moved to current quarters?
• Can activities be incrementally funded?
HQ must know that the Region is fully using its AOA before it can entertain
additional extramural budget requests. Consequently, it is imperative that
CERCLIS consistently reflect obligations and WA tasked amounts. Additional
requests for HQ held contingency funding will be reviewed on the basis of need,
other Regions' needs, and the amount of dollars available.
The Regional extramural budget will be reviewed at mid-year. There will
also be a round of negotiations in June for the fourth quarter AOA. A Region
may carry unused funds in its AOA to subsequent quarters; however, Regions
that have not been using their current year AOA risk the loss of their entire third
October 1993 C-40
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OSWER Directive 9200.3-14-1
and fourth quarter AOA. Regions must obligate and task 60-65 percent of their
current year AOA received in the first and second quarter in order to receive
their third quarter AOA. If a Region does not receive its third quarter AOA, it
is required to produce a site specific spending plan in WasteLAN for both the
third and fourth quarters by mid-May. The Region's annual budget will be
reduced by the third quarter amount if 60-65 percent of the first and second
quarter AOAs have not been obligated and tasked by the start of the fourth
quarter.
Responsibilities
To manage the extramural budget it is essential that Regional IMCs and
TES RPOs responsibilities are well coordinated and that all transactions are
recorded in CERCLIS/WasteLAN promptly. RPOs must incorporate
WasteLAN information in TESWATS and report enforcement obligations and
work assignments to the IMCs. IMCs, in turn, must provide extramural budget
planning reports to RPOs and ensure accurate data entry into WasteLAN.
WasteLAN and CERCLIS are the only place where AOA funding, obligations,
and WA tasking amounts will be shown together. Exhibit C-5 summarizes RPO
and IMC responsibilities, while Exhibit C-6 describes general Regional and HQ
responsibilities.
Enforcement Financial Reports
Enforcement activities requiring Regional extramural budget funds must be
coded accurately. To enhance financial planning data quality, several
Enforcement financial reports have been developed for both Regional and HQ
use. On the main CERCLIS menu, under "SCAP" for the Enforcement menu,
are two Enforcement financial planning and management reports. The user is
prompted for a Region, sort criteria, and FY when selecting one of these reports.
Following is a description of these reports:
• SCAP-4E indicates all current or future plans, TES commitments/ obligations,
TES tasking, and non-TES commitments/ obligations. This report is the
standard report to be used in balancing the enforcement budget.
• SCAP-21E shows budget utilization and remaining planned obligations vs.
the Regions' annual budget. This report supplements the SCAP-4E.
A comprehensive Enforcement financial audit report, AUDIT 40, is also
available on the CERCLIS menu. This report lists those records with data quality
problems and identifies the specific error. AUDIT 40 should be used in
conjunction with SCAP-4E and SCAP-21E reports to ensure accurate budget
balancing.
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OSWER Directive 9200.3-14-1
EXHIBIT C-5
EXTRAMURAL BUDGET RESPONSIBILITIES
T
h—April/
I May
— May/
June
-July
'August
—September
>• "November
Regional
Responsibilities
I
HQ
Responsibilities
Plan SCAP Activities,
Indicate Enforcement
Extramural Budget Needs
within Allocation (APR)
and Above Allocation
(ALT)
W'C
Regional/HQ Conference Call
August SCAP Negotiations
Revise Requests in
Accordance with SCAP
Negotiations
Direct entry of Non-TES
Obligations (CAs, IAGs, PRs)
Direct entry of TES Obligations
Direct Entry of TES Tasking
Adjustment of Enforcement
Extramural Budget Plans Based
on Budget Execution
(at least quarterly)
Reports
S,R
T C
E'L
L'l
AiS
N
Calculate Preliminary
Allocations;
Possible Adjustments to
Dollars and/or Contract
Mechanism;
Notification to Regions of
Preliminary Enforcement
Extramural Budget
Allocation
Generate Region's
Proposed Workload and
Budget; Review Past
Regional
Accomplishments;
Determination on
Supplemental Request
HQ/Regional Conference Call
August SCAP Negotiations
Notification to Regions of
Enforcement Extramural
Budget Allocation
Review Regional
Obligations, Tasking, and;
Revised Plans in
Accordance with
Guidance and Changing
Program Priorities.
Notify Regions of TES Carryover
Recalculate Final Enforcement
Extramural Budget Allocation
Reports
October 1993
C-42
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OSWER Directive 9200.3-14-1
EXHIBIT C-6
REGIONAL/HQ EXTRAMURAL BUDGET RESPONSIBILITIES
Regional Responsibilities
HQ Responsibilities
Submit extramural budget requests
(through CERCLIS) in response to
Regional allocations calculated by
HQ. Identify approved, alternate,
and mega-site funding needs.
Negotiate target activities and
extramural budget dollars, and
mega-site funding at August SCAP
negotiations.
Calculate Regional allocations based
on past three years
obligating/tasking average.
Review Regional extramural budget
requests submitted through
CERCLIS in response to allocations
(July). Assess mega-site issues and
initial need for supplemental
funding request. Confer with
Region as necessary. Proceed, if
necessary, with supplemental
funding request.
Determine final allocations at
August SCAP negotiations.
Receive extramural budget AOA.
Manage extramural budget within
the approved bottom-line allocation.
Enter contract obligations into
WasteLAN as they occur.
Negotiate mid-year adjustments.
Distribute AOA to the Regions.
Calculate extramural budget
carryover amounts and re-calculate
Regional extramural budget
allocation.
Negotiate mid-year adjustments.
Review Regional budget execution
against allocations. Generate
CERCLIS reports in response to
extramural budget management
needs.
C-43
October 1993
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OSWER Directive 9200.3-14-1
CONTRACT MANAGEMENT
TES Contract Management
TES contracts are available for Regions to support their Enforcement
programs. These contracts are referred to collectively as TES 5+. Both the
Regions and HQ have management responsibilities for these contracts. RPOs
provide programmatic oversight and technical direction for contractor
performance from a Regional perspective. HQ Zone Project Officers (ZPOs)
provide guidance and technical assistance to the RPO for contract management.
PRP ESI/RI/FS oversight support, historically provided under TES 5-*-, should
have been shifted to the ARCS contract early in FY 93. Regions should have
transferred assignments or given new work to the ARCS contracts, especially
those assignments that will exceed the TES 5+ period of performance.
HQ periodically conducts TES contract management reviews in the Regions.
Prior to the review being held, copies of questionnaires to be used for
interviewing TES RPOs and the WAMs, as well as a copy of the checklist to be
used for reviewing the TES Regional rules is forwarded to the RPO by HQ.
Long Term Contracting Strategy (LTCS)
The LTCS creates small, regionally-based contracts designed to provide
specialized services such as PRP searches and litigation and negotiation support.
Under the LTCS, these contracts are known as ESS contracts.
The timing for the award of the new Regional ESS contracts is on schedule,
with an expected award date of December 1, 1993. A National "Boiler Plate"
contract was adopted in order to promote national consistency across the
Regions. This will allow uniform contractor support for the national CERCLA
enforcement program. The SOW, therefore, incorporates the following five basic
areas:
• PRP search;
• Negotiation support;
• Expert/Litigation support;
• Cost recovery support; and
• Management support.
Unlike the TES 5+ contracts, the ESS SOW is for CERCLA enforcement work
only and does not allow for RCRA, Federal Facilities, or RI/FS oversight
activities.
October 1993
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OSWER Directive 9200.3-14-1
OWPE has prepared a National Implementation Plan for phasing in these
ESS contracts and for monitoring their award and administration. A joint HQ
and Regional Quality Action Team (QAT) was established to ensure an orderly
transition from the current TES 5+ contracts to the ESS contracts. The QAT is
responsible for reviewing the Implementation Plan, providing input during the
development of the final detailed plan, and monitoring progress in plan
implementation. OWPE's role will be to coordinate a number of related
implementation activities such as guidance development, sponsoring national
meetings, training, and refinement of management information systems.
Interagency Agreements
Regions have responsibility for developing Regional lAGs in FY 94 with the
following agencies: Department of the Interior (DOI), National Oceanic and
Atmospheric Administration (NOAA), USAGE, U.S. Geological Survey (USGS)
and U.S. Fish and Wildlife Service (USFWS). HQ will maintain the national
IAG with the DOJ in FY 94. OSWER Directive 9295.0-01, Regional Interagency
Agreements Handbook provides detailed procedures for initiating and obtaining
the assistance needed from these Federal agencies. Technical assistance from
another Federal agency must be planned site specifically in WasteLAN. The
contract vehicle (C2608/C3239) must be coded "IAG."
Department of Justice
EPA HQ maintains the national IAG with the DOJ/Environment and Natural
Resources Division (ENRD) to provide legal representation and associated
support services on behalf of EPA for all matters arising from or related to
CERCLA and SARA. Support services are defined as expert witness and
automated litigation support. DOJ/ENRD maintains a base level budget for
legal representation services. The DOJ IAG allows the Regions and DOJ to
establish a case strategy/management plan. This management plan
encourages forward planning between the DOJ attorney, ORC, and a Regional
program person. Case management plans will be prepared by DOJ/ENRD for
each case by the date of filing of the complaint and updated quarterly. This
forward planning process allows DOJ and the Regions to efficiently utilize the
IAG resources and to accommodate case needs or unforeseen changing
priorities that may arise.
DOJ will provide expert witness support for referred cases. The Regions may
also obtain expert witnesses through the TES 5+ or ESS contracts. The
Regions will coordinate the planning for expert witnesses with the ORC and
DOJ/ENRD. The Region should plan for the experts under the appropriate
enforcement activity (i.e., Section 106, Section 107). The funding vehicle
would be IAG, "EW" (expert witness) must be posted in the financial notes
field.
OE and DOJ are negotiating a five year Memorandum of Understanding
(MOU) which is an addendum to the current 1977 MOU. The MOU will
address the unique aspects of the Superfund enforcement program, and draw
October 1993
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OSWER Directive 9200.3-14-1
on the interagency experiences gained since the inception of Superfund. The
MOU will address the conduct of CERCLA litigation, litigation priorities,
SCAP/STARS commitments, pre-referral negotiation procedures, deadlines
for filing and content of CERCLA referrals, case management plans, and
docket reviews. The addendum to the 1977 MOU should be finalized in late
FY93.
8(a) Contracts
Regions are encouraged to use 8(a) minority contractors whenever
alternatives to TES or non-TES financial support is needed. Under the TES 5+
contracts each prime contractor submitted plans for utilizing 8(a) minority
contractors for a certain percentage of the TES 5+ work. Historically, 8(a)
contractors have been used primarily for PRP searches. They can, however, be
used for oversight support, records management, sampling, and other activities
and can be procured through the existing TES 5+. Use of 8(a) contractors is not
limited to any particular type of activity.
Funding for 8(a) requests will be included in the Regional AOA. Requests for
8(a) contract dollars should be made through the usual SCAP process; i.e., they
should be entered into WasteLAN site specifically using 8(a) contract spending,
though requests should fall within the appropriate activity pricing factors.
Management of Cash Outs
A cash out is money received by EPA, a State or another PRP from PRPs
under the terms of a settlement agreement that is intended to pay, in whole or in
part, for the future costs of a response action to be implemented at a specific
Superfund site. A cash out may also include PRP funds in payment of past costs.
Interim Cash Out Settlement Procedures were issued on January 7, 1992. This
section contains the cash out funding management policies and procedures that
were outlined in that document.
When settlement funds are received by the Superfund, and either the future
cost component of a cash out settlement is a significant fraction of the estimated
response costs, or short-term accessibility is important, those funds can be
deposited in a "special account," established for the site. It is critical that the case
management team carefully evaluate the circumstances at the site before
deciding that a "special account" is the best management procedure for handling
a cash out. Other management procedures include:
• When short term fund accessibility is not necessary, the dollars should be
deposited for credit to the Trust Fund for later appropriation to the Agency.
These funds are interest bearing. However, neither the principal or the
interest is available for site work without a Congressional appropriation.
• At State-lead sites, the dollars can be deposited to a State managed escrow
account or trust fund, where safeguards exist that ensure that the money will
be used for the specific site response.
October 1993 C-46
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OSWER Directive 9200.3-14-1
• When a global settlement is expected, the dollars may be temporarily
deposited to a court managed escrow account for future distribution to major
settlers. Court managed accounts should not be utilized for long term funds
management.
• When global settlements are reached and non-de_ minimis parties receive cash
out dollars directly from de_ minimis parties, the dollars can be deposited to a
PRP established and managed trust fund or escrow account that is approved
by EPA.
When EPA will be responsible for implementing the response action or will
be transferring funds to other settlors and short term fund accessibility is
essential, the dollars should be deposited in the Treasury for credit to the
Superfund program's appropriation and be managed as a "special account"
established under a dedicated program element. These funds do not accrue
interest but are available to the Agency without Congressional appropriation.
Office of Management and Budget (OMB) apportionment is required. The Office
of the Comptroller (OC) will issue an AOA to the Region for the use of the funds.
Cash out deposits to the Treasury will be credited to the Superfund program
and line item managed by the OC as site specific "special accounts" in program
element RUBY9H. These accounts provide EPA with immediate access to
monies received from cash outs and serve to assure the settlor(s) that the funds
will be used for the purposes established in the settlement document. Once a
reimbursable allowance is issued for these funds, the allowance holder may use
the funds for site response in accordance with the terms of the agreement.
During each budget submission, EPA will request an appropriation
equivalent to the interest that would have accrued had the unexpended funds
been invested in the Trust Fund. Appropriated interest will be allocated to the
"special account" to be used to implement the response action. In addition,
OSWER will request reimbursable Full Time Equivalent (FTE) to manage the
implementation of the response action being funded by the "special account" for
the site. When entering into settlement agreements that include cash outs, it is
important to take into consideration the fact that Congress may choose not to
appropriate the interest.
As long as the terms of the cash out settlement are adhered to, cash out
monies can be used according to any implementation plan EPA may have for the
site. These funds can be used to support EPA's intramural and extramural costs
associated with the site. Unless otherwise specified in the settlement document,
any funds (including premium payments) remaining after completion of the
response actions required by the settlement will be transferred from the "special
account" to the Trust Fund and treated as cost recovery. Once these funds have
been deposited to the general Trust Fund they are subject to all of the controls
and limitations of other Trust Fund monies.
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OSVVER Directive 9200.3-14-1
Following are the procedures the program and resources management staff
must follow in processing cash out monies:
• The settlement agreement must contain directions to the PRP on the
remittance of funds to EPA. It also must be made clear to the PRPs that the
EPA will seek to enforce the settlement if the funds are not received in
accordance with the settlement terms. The Agency is not required to seek
remittance by issuing a demand (invoice) for payment. The agreement must
instruct the PRP to send the funds to the appropriate "lockbox" bank for the
Regional office. The PRP must make the check or an Electronic Funds
Transfer (EFT) payable to the "EPA Hazardous Substance Superfund." The
PRP must also transmit a letter or other document along with the check that
clearly identifies the site to which the funds apply.
• A copy of the settlement agreement must be sent to the Region's Servicing
Finance Office (SFO) with a memorandum to the FMO that clearly
summarizes the terms and conditions of the settlement. The memorandum
must be forwarded to the finance office within 10 working days of the date of
the settlement. Mandatory information to be included in the transmittal
memo are:
- Names and addresses of settling PRPs;
- Site name;
- Site/Spill Identification (S/S ID) and DOJ case number, as appropriate;
- The exact amount of the past cost component, if applicable, including
interest;
- Amount being deposited to the "special account" for future activity;
- Amount of "special account" deposit intended for O&M;
- Amount of any premium payment;
- Information concerning the OU and/or response activities covered by the
settlement;
- If the settlement is d& minimis and whether payment to major settlors is
anticipated;
- Whether or not a Superfund State Contract (SSC) or CA is signed or
anticipated with the State; and
- The RPM and attorney assigned to the site, including telephone numbers
and addresses.
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OSWER Directive 9200.3-14-1
The FMO will establish a suspense file on the cash out. When the payment is
received, the finance staff will match the payment with the agreement and
promptly notify the program staff or attorneys that payment has been
received.
Upon receipt of the PRP's payment, the FMO will record the funds in IFMS.
Any portion intended to reimburse the Agency for past costs (cost recovery)
will be deposited to the Trust Fund account 20X8145.4. The balance will be
credited to a Regional suspense account to be transferred promptly by an
Interoffice Transfer Voucher (IOTV) to the EPA Financial Management
Center-Cincinnati (FMC-Ci). The FMO will also send FMC-Ci a copy of the
CD. FMC-Ci is EPA's SFO for "reimbursable" accounts, of which cash outs are
one type. FMC-Ci will account for the cash out portion of the funds as an
"advance" to the Agency's Superfund appropriation and will manage the
funds on a site specific basis. These funds cannot be used for work at the
site until an AOA for use of the funds is issued.
The FMO is responsible for sending a copy of the settlement agreement,
deposit ticket, and payment to the HQ OC Budget Division. If any part of the
funds will be used during the current year, the transmittal should include a
request for a "reimbursable allowance." The remainder of the funds would
remain controlled in IFMS in a site specific advance account for later work at
the site. FMC-Ci has primary responsibility to account for these funds within
IFMS, including liquidation of the funds as they are used.
The Regional OC is responsible for notifying the Regional program office that
the AOA has been issued for use at the site. The FMO will request the FMC-
Ci set up a site specific reimbursable account in IFMS against which the
program can charge contractual services, salaries or whatever other costs are
appropriate under the settlement agreement.
If work at the site is being supplemented with Fund monies, the Regional
program office will be responsible for determining the funding source(s) for
any particular segment of the work. The Regional program office must also
be sure that invoices or other payment documents clearly indicate what
account is to be charged. The financial activity codes for response work being
charged to "special accounts" are the same as those used by all Superfund
programs. As EPA makes payments against the cash out balances, the IFMS
reimbursable accounts will be reduced accordingly.
C-A9 October 1993
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OSWER Directive 9200.3-14-i
• The OC and OSWER Resource Management staff will monitor the "special
account" balances. The items that will be monitored include:
- Amount of initial deposit;
- Principal balance;
- Interest deposited to the account based on amounts appropriated by
Congress; and
- Amount disbursed.
• After notification from the program office that a project has been closed out,
and after all payments have been made, the FMC-Ci office will credit any
remaining cash out balances to the Trust Fund as a cost recovery.
REGIONAL ENFORCEMENT EXTRAMURAL BUDGET CODING AND DATA
ENTRY INSTRUCTIONS
Below is an outline of the required data for Regional enforcement extramural
budget financial records in addition to detailed data entry instructions. Exhibit
C-7 should be referenced to determine the financial data requirements for each
type of financial record being entered. For example, if a planned obligation is
being entered, only those financial data elements with a check mark apply to
planned obligation. Failure to enter a valid code for the data element will result
in an error appearing on the Enforcement Financial Audit Report (Audit-40).
Financial Planning Requirements
This section reviews CERCLIS/WasteLAN data entry instructions for planned
obligations (requests). Activity-specific financial planning is required to clearly
identify extramural Regional enforcement funding requirements. This guidance
is provided to assist the Regions in carrying out the Regional enforcement
extramural budget strategy and accurately entering financial plans.
The list of enforcement activities and events with their corresponding codes,
that are funded by the Regional enforcement extramural budget appears earlier
in this Appendix, Exhibit C-3. It is important to note that additional coding
requirements exist in order for any of these planned activities to be considered as
a Regional request.
Exhibit C-8 provides the WasteLAN coding instructions for remedial events,
enforcement activities, and non-site specific incidents; Exhibit C-9 provides these
coding instructions for mainframe CERCLIS.
October 1993 C-50
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OSWER Directive 9200.3-14-1
Obligating Funds to Cover Regional TES 5+ Program Management Work
Assignments
At the beginning of each FY, RPOs will write WAs to provide contract
management and administrative support for the contractors' Regional offices.
Funds for these management WAs should be obligated independently of generic
funds that cover site specific WAs. Exhibit C-10 provides TES coding instructions
for WasteLAN and CERCLIS.
Obligating Funds Genetically to Cover All Site Specific Work Assignments
RPOs will obligate funds to a non-site specific account (also referred to as
generic account) to cover the value of their site specific WAs (including award
fees) each FY. The contractors will be paid by WA from the generic PRs by
identifying the PR DCN and site specific AN to be charged on their invoices. The
generic PRs will be entered much the same as contract program management
PRs. CERHELP coding instructions for generic obligations are outlined :r Exhib':
C-ll.
Obligating Funds to Cover Contract Buy-In Work Assignments
Buy-in commitments/obligations are of two types: 1) enforcement funds used
to buy into one of the non-TES contracts, and 2) remedial, removal, or Federal
Facility funds used to buy into one of the TES contracts. Both types of buy-ins
must be entered into the data base. The budget source code should be used to
indicate the source of funds. Exhibit C-12 outlines WasteLAN coding
instructions for contract buy-ins (remedial, enforcement, and non-site specific).
Exhibit C-13 provides these coding instructions for CERCLIS.
Entering TES Work Assignment Amounts (Tasking)
Each TES work assignment (both buy-ins and non buy-ins) will be entered
into CERCLIS/WasteLAN using the codes for TES Work Assignment Amount,
'H', and detasking, 'W'. Once the CO has approved a WA, the Region should
enter the WA into CERCLIS. RPOs and IMCs should work together to make sure
that all TES financial data are entered promptly. Exhibit C-14 outlines the
WasteLAN coding instructions for TES tasking (remedial, enforcement, and
non-site specific), and Exhibit C-15 outlines these coding instructions for
CERCLIS.
C-51 October 1993
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EXHIBIT C-7
ENFORCEMENT EXTRAMURAL BUDGET CODING REFERENCE GUIDE (REQUIRED DATA ELEMENTS)
Site Specific (CERCLISAVasteLAN)
Financial
Action
Financial Type
(Code)
Planned Obligations
(Requests)
Planned Obligations (P)
Tasked amounts
(Approved W.A.s)
TES W.A. Amount (H)
Detasking (W)
Commitment (C)
Decommitment (M)
Actual Obligation (A)
Deobligation (D)
Non-Site Specific (CERHELP/WasteLAN)
Financial
Action
Financial Type
(Code)
Actual
Fin. Date
Ob/
Subob
Planned Obligations
(Requests)
Planned Obligations (P)
Tasked amounts
(Approved W.A.s)
TES W.A. Amount (H)
Detasking (W)
Commitment (C)
Decommitment (M)
Actual Obligation (A)
Deobligation (D)
Generic TES
Commitments/
Obligations
Commitment (C)
Decommitment (M)
Actual Obligation (A)
Deobligation (D)
Program
Management
Commitments/
Oblieations
Commitment (C)
Decommitment (M)
Actual Obligation (A)
Deobligation (D)
LEGEND
Bgt Src = Budget Source DCN
Fund Stat = Funding Status W.A.#
Cnt Vhcl = Contract Vehicle Ob/Subob
ACN = Account Number
= Document Control Number
= Work Assignment Number
= Object/Subobject Class
= Required Field
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EXHIBIT C-8
WASTELAN REGIONAL BUDGET PLANNING INSTRUCTIONS
Remedial Events
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Al. Select Remedial from the Main Menu.
A2. Choose the event type (SS, RI, FS, RD, RA, etc.) from
the remedial menu.
A3. Specify the site by entering the WasteLAN reference
number and verify that the information is correct.
A4. Choose the correct OU by selecting the
next/previous OU until the screen information
matches the desired OU. Select 'View/Edit Events'.
If the event is not found, select 'Add' to add a new
event.
A5. Choose the correct event by viewing the
next/previous events until the information matches
the desired event.
A6. Choose 'Edit Event'.
A7. Enter a lead of 'MR', RP' or 'PS' (C2117).
A8. Enter the current planned start date (C2130).
A9. Enter the current planned completion date (C2131).
A10. Update/Add the record and then choose
'Financial System'.
All. Choose the financial type for planned obligation
(C3202=P).
A12. Choose 'A' to add a new financial record.
A13. Enter the planned obligation date (C3218).
A14. Enter the planned amount (C3230).
A15. Enter an '£' for the Enforcement budget source
(C3229).
A16. Enter 'APR', 'ALT', or 'CON' for the funding
priority status (C3225).
A17. Enter the contract vehicle (e.g., TES##, IAG##,
MSC##, ARC##) (C3239).
A18. Enter contractor name (optional) (C3241).
A19. Enter financial comments if necessary (C3242),
A20. Choose 'A' to add record.
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EXHIBIT C-8 (continued)
WASTELAN REGIONAL BUDGET PLANNING INSTRUCTIONS
Enforcement Activities
Bl. Select Enforcement from the Main Menu.
B2. Choose the activity group (RP Search,
Negotiations, Litigation, etc.) from the Enforcement
menu.
B3. Choose the activity type (C1701).
B4. Specify the site by entering the WasteLAN
reference number and verify that the information is
correct.
B5. Choose 'Add1 to add an activity if it does not
already exist.
B6. Choose the correct activity by viewing the
next/previous activities until the information
matches the desired activity.
B7. Choose 'Edit' activity.
B8. Enter a lead of 'FE' or 'SE' (C1707).
B9. Enter the current planned start date (C1712).
BIO. Enter the current planned completion date (C1714)|
Bll Update/Add the record and then choose 'Budget
Financial'.
B12. Choose financial type for planned obligation
(C2602=P).
B13. Choose 'A' to add a new financial record.
B14. Enter the planned amount (C2630).
B15. Enter the planned obligation FY/Q (C2618).
B16. Enter an '£' for the Enforcement budget source
(C2629).
B17. Enter 'APR', 'ALT', or 'CON' for the budget status
(C2625).
B18. Enter the contract vehicle (e.g., TES##, IAG##,
MSC##, ARC##) (C2639).
B19. Enter financial comments in the 'Note' area if
necessary (C2642).
B20. Choose 'A' to add record.
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EXHIBIT C-8 (continued)
WASTELAN REGIONAL BUDGET PLANNING INSTRUCTIONS
Non-Site Specific Incidents
:i. From Main Menu, select CERHELP System.
:2. Select Non-Site/Incident from CERHELP Program
screen.
C3. Select Modify/View Activities from the
non-site/incident menu.
C4. Enter the activity in the Non-Site/Incident Activity
Code field.
C5. WasteLAN system generates the current FY, but
the user can overwrite the data in this field if
desired. If the correct activity already exists in
WasteLAN, proceed with step C6, otherwise do
steps C5a-C5d.
5a. Select Add New Activity.
5b. Enter 'FE', 'SE1, 'MR1, 'RP', or 'PS' as the Lead
(P404).
5c. Enter any activity comment desired.
5d. Select A' to add the record.
C6. Select the specific activity record needed, e.g.,
OH01.
C7. Select Financial System.
C8. Choose financial type for planned obligation
(P1404=P).
C9. Select Add New Record.
CIO. Enter the planned obligation FY/Q (P1415).
Cll. Enter financial comments if necessary (P1421).
C12. Enter the planned amount (P1420).
C13. Enter the contract vehicle (e.g., TES##, IAG##,
MSC##, ARC##) (P1408).
C14. Enter contractor name (optional) (P1410).
CIS. Enter an 'E' for the Enforcement budget source
(PI 416).
C16. Enter APR', ALT', or CON' for the budget status
(P1419).
C17. Enter the number of sites expected to have the TES |
WAs during the FY(P1417).
C18. Choose A' to add record.
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EXHIBIT C-9
CERCLIS REGIONAL BUDGET PLANNING INSTRUCTIONS
Remedial Events
Al. Access Main Menu for data entry and choose
Remedial/Removal.
A2. Choose the event information screen.
A3. Select 'A' to add an event or 'C to update an event.
A4. Enter the EPA ID, OU, and event code (C101,
CHOI, and C2101).
A5. Enter a lead of 'MR', 'RP' or 'PS' (C2117).
A6. Enter the current planned start date (C2130).
A7. Enter the current planned completion date (C2131).
A8. Update/Add the record.
A9. Select Event Financial Information Screen to add or
update an event financial record.
A10. Select 'A' to add a new event financial record.
All. Enter the EPA ID Number (Cl 01).
A12. Enter the OU number (CHOI).
A13. Enter the event type and sequence number and
press enter (C2101).
A14. Enter 'P' for a planned obligation (C3202).
A15. Enter 'APR', 'ALT', or 'CON' for the budget status
(C3225).
A16. Enter the planned obligation FY/Q (C3218).
A17. Enter an '£' for the Enforcement budget source
(C3229).
A18. Enter the planned obligation amount (C3230).
A19. Enter the contract vehicle (e.g. TES##, IAG##,
MSC##, ARC##) (C3239).
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EXHIBIT C-9 (continued)
CERCLIS REGIONAL BUDGET PLANNING INSTRUCTIONS
Enforcement Activities
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Bl. Access Main Menu for data entry and choose
Enforcement.
B2. Choose the activity screen.
B3. Select 'A' to add or 'C to update an activity.
B4. Enter the EPA ID and the activity code (C101 and
C1701).
B5. Enter a lead of 'FE', or 'SE' (C1707).
B6. Enter the current planned start date (C1712).
B7. Enter the current planned completion date (C1714).
B8. Update/Add the record.
B9. Select the Enforcement IFMS Financial Information
Screen.
BIO. Select 'A' to add a new financial record and enter
the EPA ID, and the Activity Type with the
sequence number (C101 and C1701).
Bll. Enter T' for a planned obligation (C2602).
B12. Enter 'E' for the Enforcement budget source
(C2629).
B13. Enter the planned obligation amount (C2630).
B14. Enter the planned obligation FYQ (C2618).
B15. Enter the contract vehicle (e.g., TES##, IAG##,
MSC##, ARC##) (C2639).
B16. Enter 'APR', 'ALT', or 'CON' for the budget status
(C2625).
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EXHIBIT C-9 (continued)
CERCLIS REGIONAL BUDGET PLANNING INSTRUCTIONS
50
Non-Site Specific Incidents
n
Cl. Access Main Menu for data entry and
choose non-site/incident.
C2. Select Non-Site/Incident Screen from
the non-site menu.
C3. Enter 'A1 to add a new record.
C4. Enter Region number (P401).
C5. Enter activity type and press enter
(P402).
C6. Enter lead as 'FE', 'SE', 'MR1, RP, or 'PS'
(P404).
C7. Enter current FY (P406).
C8. Enter any activity comment (e.g., Funds
to cover all TES work assignments)
(P408).
C9. Confirm the activity.
CIO. Enter 'A' to add financial information and
enter Region, activity type including the
sequence number and press enter (P401 and
P402).
Cll. Enter financial type 'P1 for a planned obligation
(P1404).
C12. Enter the contract vehicle (e.g., TES##, IAG##,
MSC##, ARC##) (P1408).
C13. Enter '£' for the budget source (P1416).
C14. Enter the estimated number of sites expected
to be funded from the non-site specific plan
(P1417).
CIS. Enter 'APR1, 'ALT', or 'CON1 for the
funding priority status (P1419).
C16. Enter the planned obligation FYQ (P1415).
C17. Enter the planned obligation amount (P1420).
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EXHIBIT C-10
TES CERHELP CODING INSTRUCTIONS
WasteLAN
Al. From Main Menu select CERHELP System.
A2. Select Non-Site/Incident from CERHELP
Program screen.
A3. Select Modify/View Activities from the
non-site/incident menu.
A4. Enter TM' in the Non-Site/Incident Activity Code
field, for TES 5+ Program Management (P402).
A5. WasteLAN system generates the current FY, but
the user can overwrite the data in this field if
desired. If the correct PM activity already exists
in WasteLAN, then proceed with step A6,
otherwise do steps A5a - A5d.
5a. Select Add New Activity.
5b. Enter 'FE1 as the Lead (P404).
5c. Enter any activity comment desired
(P408).
5d. Select 'A' to add the record.
A6. Select the specific activity record needed (e.g.,
TM01).
A7. Select Financial System.
A8. Choose financial type, i.e., Option 4 is
commitment or Option 5 is decommitment
(P1404).
A9. Select Add New Record.
A10. Do not enter data into the date or amount fields,
unless you have the correct IFMS amount and
commitment date.
All. Enter any activity comments (e.g., 'work
assignment amount' or 'approved work plan
amount').
A12. Enter the DCN from the PR (P1406).
A13. Enter the AN from the PR (P1405).
A14. Enter TES05', TES06', etc., for the TES contract
number into the Vehicle field (P1408).
A15. Enter the contractor's name in the Contractor field
(optional) (P1410).
A16. Enter '2535' in the Object Class field (P1413).
A17. Enter 'E' for the Enforcement Funding Source
(P1416).
A18. Enter the estimated number of sites expected to
have TES WAs during the FY (P1417).
Al 9. Enter 'A' (default) in order to add this financial
record to the database.
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EXHIBIT C-10 (continued)
TES CERHELP CODING INSTRUCTIONS
Mainframe
Bl. Access Main Menu for data entry and select
non-site/incident
B2. Select Non-Site/Incident Screen from the non-site
menu.
B3. Enter 'A' to add a new record.
B4. Enter Region number (P401).
55 Enter activity type (P402) as 'TM' (TES 5+ Program
Management) and press enter.
B6. Enter activity lead as 'FE1 (P404).
37 Enter current FY (P406).
jjg Enter any activity comment (e.g., WA amount or
approved work plan amount) (P408).
B9. Press Enter and confirm the activity.
BIO. Enter 'A' to add financial information and then
proceed to enter Region (P401), activity type
(P402) with the sequence number and press enter.
Bl 1. Enter financial type 'C for a commitment (positive
amount), or 'M' for a decommitment (negative
amount) (P1404).
B12. Enter the IFMS AN from the PR (P1405).
B13. Enter the IFMS document control number DCN
fromthePR(P1406).
B14. Enter TES051, TES06', etc., identifying the specific
TES contract (P1408).
B15. Enter '2535' for the Object Class (P1413).
B16. Enter 'E" for Enforcement Funding Source (P1416).
B17. Enter the estimated number of sites expected to
have TES work assignments for the FY in the 'NBR
SITES' field (P1417).
B18. Enter the date the Funds Certifying Officer (FCO)
signed the PR in the actual financial date field
(P1418).
B19. Enter the amount from the PR (PUZO).
B20. Confirm the record.
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EXHIBIT C-ll
CERHELP CODING INSTRUCTIONS FOR GENERIC OBLIGATIONS
WasteLAN
Al.
A2.
A3.
A4.
A5.
A6.
A7.
From Main Menu select CERHELP System.
Select Non-Site/Incident from CERHELP
Program screen.
Select Modify/View Activities from the
non-site/incident menu.
Enter TG' in the Non-Site/Incident Activity Code
field (TES Generic Obligation) (P402).
WasteLAN system generates the current FY, but
the user can overwrite the data in this field if
desired. If the correct TG activity already exists in
WasteLAN, then proceed with step A6, otherwise
do steps A5a - A5d.
5a. Select Add New Activity.
5b. Enter TE' as the Lead (P404).
5c. Enter any activity comment desired
(P408).
5d. Select 'A1 to add the record.
Select the specific activity record needed (e.g.,
TG01).
Select Financial System.
A8. Choose financial type (i.e., Option 4 is commitment or
Option 5 is decommitment) (P1404).
A9. Select Add New Record.
A10. Do not enter data into the date or amount fields, unless
you have the correct IFMS amount and commitment date.
All. Enter any activity comments (P408).
A12. Enter the DCN from the PR (P1406).
A13. Enter the AN from the PR (P1405).
A14. Enter TES05', TES061, etc., into the Vehicle field for the
TES contract number (P1408).
A15. Enter the contractor's name in the Contractor field
(optional) (P1410).
A16. Enter '2535' in the Object Class field (P1413).
A17. Enter 'E1 for the Enforcement Budget Source (P1416).
A18. Enter the number of expected work assignments against
the generic obligation (P1417).
A19. Enter 'A' (default) in order to add this financial record to
the database.
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EXHIBIT C-ll (continued)
CERHELP CODING INSTRUCTIONS FOR GENERIC OBLIGATIONS (CONT.)
Mainframe
B2.
Access Main Menu for data entry and select
non-site /incident.
Select Non-Site/Incident Screen from the non-site
menu.
B3. Enter 'A' to add a new record.
B4. Enter Region number (P401).
B5. Enter activity type (P402) as TG1 for TES generic
obligation and press enter.
B6. Enter activity lead as 'FE' (P404).
B7. Enter current FY (P406).
B8. Enter any activity comment (e.g., Funds to cover
all TES work assignments) (P408).
B9. Press enter and confirm the activity.
BIO. Enter 'A' to add financial information and then
proceed to enter Region (P401), activity type
(P402) including the sequence number and press
enter.
Bll. Enter financial type 'C for a commitment (positive
amount), or 'M' for a decommitment (negative
amount) (P1404).
B12. Enter the IFMS AN from the PR (P1405).
B13. Enter the IFMS DCN from the PR (P1406).
B14. Enter TES05', TES06', etc., identifying the specific
TES contract (P1408).
B15. Enter '2535' for the Object Class (P1413).
B16. Enter "E" for Enforcement Funding Source (P1416).
B17. Enter the estimated number of sites expected to
have TES work assignments against the generic
obligation in the NBR SITES field (P1417).
B18. Enter the date the FCO signed the PR in the
ACTUAL FIN. DATE field (P1418).
B19. Enter the amount from the PR (P1420).
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EXHIBIT C-12
WASTELAN CODING INSTRUCTIONS FOR CONTRACT BUY-INS
Remedial Events
Al. Select Remedial from the Main Menu.
A2. Choose the event type (SS, RI, FS, RD, RA, etc.)
from the remedial menu (C2101).
A3. Specify the site by entering the WasteLAN
reference number and verify that the information
is correct.
A4. Choose the correct OU by selecting
next/previous OU until the screen information
matches the TES WA form. Then choose
'View/Edit Events'. If there is no event then
choose 'Add' to add a new event.
A5. Choose the correct event by viewing the
next/previous events until the information
matches the TES WA form. Then choose
'Financial System.'
A6. Choose financial type of commitment or
decommitment (C3202).
A7. Choose 'A' to add a new financial record.
A8. Enter date the FCO signed the PR (C3220).
A9. Enter the amount from the PR (C3230).
A10. Enter an 'E', 'R', 'V, or 'L' based on Budget
Source (C3229).
All. Enter the AN from the PR (C3204).
A12. Enter the DCN from the PR (C3203).
A13. Enter the contract vehicle number (e.g., TES12)
(C3239).
A14. Enter contractor name (optional) (C3241).
A15. Enter '2535' for the Object class (C3208).
A16. Enter financial comments if necessary (C3242).
A17. Choose A' to add record.
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EXHIBIT C-12 (continued)
WASTELAN CODING INSTRUCTIONS FOR CONTRACT BUY-INS (CONT.)
Enforcement Activities
B5.
Select Enforcement from the Main Menu.
Choose the activity group (RP Search,
Negotiations, Litigation, etc.) from the
Enforcement menu.
Choose the activity type (C1701).
Choose 'Add' to add an activity if one does not
already exist.
Specify the site by entering the WasteLAN
reference number and verify that the information
is correct.
Choose 'Budget Financial' from the activity menu.
Choose financial type for commitment or
decommitment (C2602).
B8. Choose 'Add' to add a new financial record.
B9. Enter the amount from the PR (C2630).
BIO. Enter date the FCO signed the PR (C2620).
Bl 1 Enter an '£', 'R1, 'V, or 'L' based on Budget
Source (C2629).
B12. Enter the contract vehicle number (e.g., TES12)
(C2639).
B13. In the financial note field, enter AN in the first
•10 characters. Then enter a single space and
enter the DCN (C2642).
B14. Choose 'A' to add record.
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EXHIBIT C-12 (continued)
WASTELAN CODING INSTRUCTIONS FOR CONTRACT BUY-INS
Non-Site Specific Incidents
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From Main Menu select CERHELP System.
Select Non-Site/Incident from CERHELP
Program screen.
Select Modify/View Activities from the
non-site/incident menu.
Enter TG1 in the Non-Site/Incident Activity Code
field (P402).
WasteLAN system generates the current FY, but
the user can overwrite the data in this field if
desired. If the correct TG activity already exists in
WasteLAN, then proceed with step C6, otherwise
do steps C5a - C5d.
5a. Select Add New Activity.
5b. Enter TE' as the Lead (P404).
5c. Enter any activity comment desired
(P408).
5d. Select A to add the record.
Select the specific activity record needed (e.g.,
TG01).
Select Financial System.
C8. Choose financial type (i.e., Option 4 is
commitment or Option 5 is decommitment)
(P1404).
C9. Select Add New Record.
CIO. Do not enter data into the date or amount fields,
unless you have the correct IFMS amount and
commitment date.
Cll. Enter any activity comments.
Cl 2. Enter the DCN from the PR (P1406).
C13. Enter the ACN from the PR (P1405).
C14. Enter contract vehicle and number into the
Vehicle field (P1408).
CIS. Enter the contractor's name in the Contractor field
(optional) (P1410).
C16. Enter '2535' in the Object Class field (P1413).
C17. Enter 'E', 'R', V, or 'L1 based on Funding Source
(P1416).
C18. Enter 'A' (default) in order to add this financial
record to the database.
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EXHIBIT C-13
CERCLIS CODING INSTRUCTIONS FOR CONTRACT BUY-INS
I. Determine whether the assignment is for a remedial event, enforcement activity, or non-site
specific function. The event or activity type will be coded on the TESWATS form in: Item
10A, 10B, or IOC, respectively.
II. Access the appropriate side of the data base, remedial site information, enforcement site
information, or non-site specific information.
III. At this point, instructions vary between remedial events, enforcement activities, and
non-site specific assignments. Use part A for remedial event coding; part B for enforcement
activities; and part C for non-site/incident coding.
Remedial Events
Al. Access Main Menu for data entry and choose
Remedial / Removal.
A2. Select Financial Information screen to add or
update an event financial record.
A3. Select 'A' to add a new event financial record.
A4. From the WA form, Item 7, enter the EPA ID
Number (C101). (The RPO may verify Site Name
and Number with a CERCLIS Site Alias Location
Listing, report L.4).
A5. From the WA form, Item 9, enter the OU number
(CHOI).
A6. From the WA form, Item 10A, enter the event type
and sequence number (C2101) and press enter.
A7. The PR amount will be positive or negative. For a
positive number, enter 'C for commitment; for a
negative number, enter 'M1 for decommitment as
the Financial Type (C3202).
A8. Enter 'E1, 'R', 'V, or 'L' based on Budget Source
(C3229).
A9.
From the PR, or WA form, Item 11, enter the
financial amount (C3230).
AID.
From the PR, enter the date the FCO signed the
PR to make the IFMS commitment in the FIN
DATE field (C3220).
From the WA form, Item 1, enter the TES contract
number as the Financial Vehicle (C3239).
From the WA form, Item 5, enter the contractor's
name(C3241).
From the PR, or WA form, Item 4, enter the IFMS
AN in the ACCOUNT field (C3204).
From the PR, enter the IFMS DCN in the DCN
field (C3203).
I
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EXHIBIT C-13 (continued)
CERCLIS CODING INSTRUCTIONS FOR CONTRACT BUY-INS
Enforcement Activities
Bl. Access Main Menu for data entry and choose
Enforcement.
B2. Select Enforcement IFMS Financial Information
Screen.
B3. Select 'A' to add a new financial record and enter
the EPA ID (C101), and the Activity Type (C1701)
with the sequence number.
B4. The PR amount will be positive or negative. For a
positive number, enter 'A' for obligation; for a
negative number, enter 'D' for deobligation as the
Financial Type (C2602).
B5. From the PR, or WA form, Item 11, enter the
financial amount (C2630).
B6. From the PR, enter the date the FCO signed the PR
to make the IFMS obligation (C2620).
B7. From the WA form, Item 1, enter the TES contract
number as the Financial Vehicle (C2639).
B8. Enter 'E', 'R', 'V, or 'L1 based on Budget Source
(C2629).
B9. From the PR or WA form, Item 4, enter the IFMS
AN in the Enforcement Financial Note field
(C2604).
BIO. From the PR, enter the IFMS DCN in the
Enforcement Financial Note field (C2603).
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EXHIBIT C-13 (continued)
CERCLIS CODING INSTRUCTIONS FOR CONTRACT BUY-INS
Non-Site Specific Incidents
Cl Access Main Menu for data entry and choose
non-site/incident.
C2. Select non-site/incident from the non-site menu.
C3. Enter 'A' to add a new record.
C4. Enter Region number (P401).
C5. Enter activity type (P402) as 'OH1 and press enter.
C6. Enter activity lead as 'FE1 (P404).
C7. Enter current FY(P406).
C8. Enter any activity comment (e.g., Funds to cover
all TES work assignments) (P408).
C9. Confirm the activity.
CIO. Enter 'A1 to add financial information and enter
Region (P401), activity type (P402) including the
sequence number and press enter.
Cll. Enter financial type 'C for a positive commitment,
or 'M' for a decommitment (negative amount on
PR) (P1404).
C12. Enter the IFMS AN from the PR (P1405).
C13. Enter the IFMS DCN from the PR (P1406).
C14. Enter TES05', TES06', etc., for the TES contract
number, Contract Vehicle (P1408).
CIS. Enter '2535' for the Object Class (P1413).
C16. Enter an 'E', 'R1, 'V, or 'U based on Funding
Source (P1416).
C17. Enter the estimated number of sites expected to
have TES work assignments against the generic
obligation in the NBR SITES field (P1417).
CIS. Enter the date the FCO signed the PR in the FIN
DATE field (P1418).
C19. Enter the amount from the PR (P1420).
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EXHIBIT C-14
WASTELAN CODING INSTRUCTIONS FOR TES TASKING
Remedial Events
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Al. Select Remedial from the Main Menu.
A2. Choose the event type (C2101) (SS, RI, FS, RD, RA,
etc.) from the remedial menu.
A3. Specify the site by entering the WasteLAN
reference number and verify that the information
is correct.
A4. Choose the correct OU by selecting next/previous
OU until the screen information matches the TES
WAform. Then choose'View/Edit Events'. If
there is no event then choose 'Add' to add a new
event.
A5. Choose the correct event by viewing the
next/previous events until the information
matches the TES WA form. Then choose
'Financial System.'
A6. Choose financial type (C3202) of TES work
assignment amount (tasking) or detasking.
A7. Choose 'A' to add a new financial record.
A8. Enter date the CO signed the WA (C3220).
A9. Enter the amount from the WA (C3230).
A10. Enter an 'E', 'R', 'V, or 'L' based on Budget
Source (C3229).
All. Enter the last two digits of the WA
amendment number (C3234).
A12. Enter the six digit WA number (C3228).
A13. Enter the contract vehicle number
(e.g., TES 12) (C3239).
A14. Enter the contractor name (optional) (C3241).
A15. Enter financial comments if necessary (C3242).
A16. Choose 'A' to add record.
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EXHIBIT C-14 (continued)
WASTELAN CODING INSTRUCTIONS FOR TES TASKING
Enforcement Activities
VO
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Bl. Select Enforcement from the Main Menu.
B2. Choose the activity group (RP Search,
Negotiations, Litigation, etc.) from the
Enforcement menu.
B3. Choose the activity type (C1701).
B4. Choose 'Add1 to add an activity if one does not
already exist.
B5. Specify the site by entering the WasteLAN
reference number and verify that the information
is correct.
B6. Choose 'Budget Financial' from the activity menu.
B7. Choose financial type for TES WA amount
(tasking) or detasking (C2602).
B8. Choose 'Add' to add a new financial record.
B9. Enter the amount from the WA (C2630).
BIO. Enter date the CO signed the WA (C2620).
Bll. Enter an 'E', 'R1, 'V, or 'L' based on Budget
Source (C2629).
B12. Enter the six digit WA number (C2628).
B13. Enter the last two digits of the WA
amendment number (C2634).
B14. Enter the contract vehicle number
(e.g.,TES12)(C2639).
B15. Choose 'A1 to add record.
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EXHIBIT C-14 (continued)
WASTELAN CODING INSTRUCTIONS FOR TES TASKING
Non-Site Specific Incidents
Cl.
C2.
C3.
C4.
C5.
a
C6.
C7.
From Main Menu select CERHELP System.
Select Non-Site/Incident from CERHELP
Program screen.
Select Modify/View Activities from the
non-site/incident menu.
Enter the Non-Site/Incident Activity Code (P402).
WasteLAN system generates the current FY, but
the user can overwrite the data in this field if
desired. If the correct activity already exists in
WasteLAN, then proceed with step C6, otherwise
do steps C5a - C5d.
5a. Select Add New Activity.
5b. Enter the Lead (P404).
5c. Enter any activity comment desired
(P408).
5d. Select A to add the record.
Select the specific activity record needed.
Select Financial System.
C8. Choose financial type for TES work assignment
(tasking) or detasking (P1404).
C9. Select Add New Record.
CIO. Enter the date the CO signed the WA (P1418).
Cll. Enter any activity comments (P1421).
C12. Enter contract vehicle and number into the
Vehicle field (P1408).
CIS. Enter the six digit WA number in the Work
Assignment field (P1411).
C14. Enter the last two digits from the WA amendment
number into the Amendment Number field
(P1425).
C15. Enter the contractor's name in the Contractor field
(optional) (P1410).
C16. Enter 'E', 'R1, 'V, or 'L' based on Funding Source
(P1416).
C17. Enter 'A' (default) in order to add this financial
record to the database.
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I
EXHIBIT C-15
CERCLIS CODING INSTRUCTIONS FOR TES TASKING
I. Determine whether the assignment is for a remedial event, enforcement activity, or non-site
specific function. The event or activity type will be coded on the TESWATS form in Item
IDA, 10B, or IOC, respectively.
II. Access the appropriate side of the database, remedial site information, enforcement site
information, or non-site specific information.
III. At this point, instructions vary between remedial events, enforcement activities, and
non-site specific assignments. Use part A for remedial events, part B for enforcement
activities, and part C for non-site/incident coding.
Remedial Events
Al. Access Main Menu for data entry and choose
Remedial/Removal.
A2. Select Financial Information Screen to add or
update an event financial record.
A3. Select 'A' to add a new event financial record.
A4. From the WA form, Item 7, enter the EPA ID
Number (C101). (The RPO may verify Site Name
and Number with a CERCLIS Site Alias Location
Listing, report L.4).
A5 From the WA form, Item 9, enter the OU number
(CHOI).
A6. From the WA form, Item 10A, enter the event type
and sequence number (C2101) and press enter.
A7. The WA amount will be positive or negative. For
a positive number, enter 'H' for WA amount; for a
negative number, enter 'W' to decrease the WA
amount (C3202).
A8. Enter 'E', 'R', 'V, or 'L' based on Budget Source
(C3229).
A9. From the WA form, Item 11, enter the financial
amount (C3230).
AID. From the WA form, Item 14, enter the CO
signature date in the FIN DATE field (C3220).
All. From the WA form, Item 1, enter the TES contract |
number as the Financial Vehicle (C3239).
A12. From the WA form, Item 5, enter the contractor's
name (C3241).
A13. From the WA form, Item 2, enter the WA number |
in the WK ASGN field (C3228).
A14. From the WA form, Item 3, enter the last two
digits of the amendment number in the AMEND
# field (C3234).
8
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EXHIBIT C-15 (continued)
CERCLIS CODING INSTRUCTIONS FORTES TASKING
Enforcement Activities
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Bl. Access Main Menu for data entry and choose
Enforcement.
B2. Select the Enforcement IFMS Financial
Information Screen.
B3. Select 'A' to add a new financial record and enter
the EPA ID (C101), and the Activity Type (C1701)
with the sequence number.
B4. The WA amount will be positive or negative. For
a positive number, enter 'H' for WA amount; for a
negative number, enter 'W to decrease the WA
amount (C2602).
B5. From the WA form, Item 11, enter the financial
amount (C2630).
B6. From the WA form, Item 14, enter the CO
signature date in the FIN DATE field (C2620).
B7. From the WA form, Item 1, enter the TES contract
number as the Financial Vehicle (C2639).
B8. Enter 'E1, 'R', 'V, or 'L' based on Budget Source
(C2629).
B9. From the WA form, Item 2, enter the WA number
in the WA NUMBER field (C2628).
BIO. From the WA form, Item 3, enter the last two
digits of the amendment number in the W/A
AMEND NBR field (C2634).
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EXHIBIT C-15 (continued)
CERCLIS CODING INSTRUCTIONS FOR TES TASKING
W
Non-Site Specific Incidents
n
•o
ro
Cl. Access Main Menu for data entry and choose
non-site/incident.
C2. Select Non-Site/Incident from the non-site menu.
C3. Enter 'A' to add a new record.
C4. Enter Region number (P401).
C5. Enter activity type (P402) press enter.
C6. Enter activity lead (P404).
C7. Enter current FY (P406).
C8. Enter any activity comment (P408).
C9. Confirm the activity.
CIO. Enter 'A' to add financial information and enter
Region (P401), activity type (P402) including the
sequence number and press enter.
Cll. Enter financial type 'H1 for a positive WA amount,
or 'W for a decrease (negative WA amount)
(P1404).
C12. Enter TES05', TES061, etc., for the TES contract
number in Contract Vehicle field (P1408).
CIS. Enter an 'E', 'R', 'V, or 'L1 based on Funding
Source (P1416).
C14. Enter the estimated number of sites expected to
have TES WAs against the generic obligation in
the NBR SITES field (P1417).
CIS. From the WA form, Item 14, enter the CO
signature date in the FIN DATE field (P1418).
C16. From the WA form, Item 11, enter the financial
amount (P1420),
C17. Enter the six digit WA number from the TES WA
form in the IAG/WK ASGN field (P1411).
C18. Enter the last two digits of the amendment
number from the TES WA form in the IAG/WK
ASGN AMEND field (P1425).
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OSWER Directive 9200.3-14-1
ENFORCEMENT
FY 94 SCAP/STARS TARGETS AND MEASURES
OVERVIEW OF FY 94 ENFORCEMENT TARGETS I MEASURES
Superfund enforcement results are measured through targets and measures that
track progress on three distinct levels: STARS, SCAP, and internal.
SCAP and STARS targets are the tools by which program goals are translated
into quantifiable program achievements. Regions shoul-i concentrate their resources
on achieving targets negotiated and set by HQ and the Regions.
STARS is used by the Administrator to set and monitor the progress each
program is making toward meeting its environmental goals. SCAP is used by the
AA SWER, OE, the Office of Federal Facilities Enforcement (OFFE), and senior
Superfund managers to monitor the progress each Region is making toward
achieving its Superfund goals. National and Regional STARS goals are established
and tracked through SCAP. STARS targets are a subset of those contained in SCAP.
Those Superfund activities not tracked at the STARS or SCAP level are
monitored by HQ for internal management purposes.
TARGETS AND MEASURES
A SCAP or STARS target (either semi-annual or annual) is a pre-determined
numerical goal that is negotiated by HQ and the Regions prior to the FY to ensure
that designated activities will take place. All STARS targets are SCAP targets.
A STARS and/or SCAP measure is used to track an activity that is important in
monitoring overall program progress. The two types of measures are STARS
reporting and SCAP planning/reporting measures. Planning estimates result in
numerical goals established prior to the FY that are used in setting annual budgets.
Regions report progress against the planning estimates. STARS/SCAP reporting
measures have no associated quantitative goals; only actual accomplishments are
tracked.
HQ has developed internal management planning and reporting measures to
monitor activities not currently tracked at the STARS/SCAP level. These measures
are used by HQ for trend analyses, and to evaluate progress through the cleanup
pipeline.
STARS/SCAP and internal reporting accomplishments will be pulled from
CERCLIS on a quarterly basis. Regions are evaluated semi-annually according to
their completion of activities within established target areas.
C-75 October 1993
-------
.-SWER Directive 9200.3-14-1
DEVELOPMENT OF FY 94 SCAP/STARS TARGETS AND MEASURES
Enforcement SCAP/STARS targets and measures for FY 94 are broader in scope
than in FY 93. A concerted effort was made to combine targets and measures that in
the past were tracked separately to provide maximum flexibility to the Regions in
program implementation and provide incentives for conducting actions at NPL
caliber sites prior to NPL proposal. By incorporating and tracking enforcement
actions and negotiations on a broader level, the FY 94 enforcement targets and
measures provide more program-wide measures of progress. In addition, the trend
established a few years ago not to develop lead-specific or event-specific targets and
measures has been maintained. However, these subgroups will continue to be
tracked for internal management purposes and in order to assess the level of PRP
participation.
Every attempt has been made to equate SACM activities and definitions to pre-
SACM activities and definitions. Many of the FY 94 targets/measures and
definitions embody the FY 93 targets/measures. For example, the FY 93 Duration
from ROD to RD/RA negotiation completion is characterized in FY 94 as ENF-1
Duration from Regional Decision or ROD to PRP Cleanup Negotiation Completion.
The following pages contain, in pipeline order, the definitions of the FY 94
Enforcement SCAP/STARS targets and measures (with the prefix ENF and
identifying icon), internal management planning and reporting measures, and
enforcement project support activities. Exhibit C-16, displays the full list of
enforcement activities that are defined in the remainder of this Appendix, and
identifies the FY 94 SCAP/STARS targets and measures. Exhibit C- 17 provides a
crosswalk of the FY 94 Enforcement targets and measures to the FY 93 activities and
definitions, organized in pipeline order. FY 94 targets and measures that are similar
to those in FY 93 are identified. Exhibit C-18, at the end of this Appendix, describes
the planning requirements for all enforcement activities.
October 1993 C-76
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OSWER Directive 9200.3-14-1
EXHIBIT C-16
ENFORCEMENT ACTIVITIES
PRP Search Starts
PRP Search
Completions
Section 104(e) Letters
Issued
Section 104(e) Referrals
and Orders Issued
Issuance of General
Notice Letter
Issuance of Special Notice
Letter
ENF-1 Duration from
Regional Decision or ROD to
FRF Cleanup Negotiation
Completion
ESI/RI/FS Negotiation
Starts
RD/RA Negotiation Starts
ENF-2 Cleanup Negotiation
Completions
State Orders for ESI/RI/FS
STARS
-
-
-
-
-
-
-
-
-
Target
^^^••••••^^••••M
SCAP
-
-
-
-
-
-
Measure
-
-
Target
^^^^•^^^^•••••i
Internal
Reporting
Reporting
Reporting
Reporting
Reporting
"Reporting
-
Reporting
Planning
-
Reporting
•^•^^^^^•••••^H
Semi-annual targets are established in SCAP/STARS. Accomplishments
are pulled from CERCLIS on a quarterly basis. Internal measures are
planned and reported quarterly.
C-77
October 1993
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OSWER Directive 9200.3-14-1
EXHIBIT C-16 (continued)
ENFORCEMENT ACTIVITIES
State Consent Decree tor
RD/RA
Reporting
ENF-3 Settlements for
Cleanup Actions
(including dollar value)
ENF-4 De minimis
Settlements and Number
of Parties
ENF-5 Percentage of PRP
Lead Cleanup Actions to
All Cleanup Actions
Section 106,106/107,
107 Case Resolution
Reporting
Administrative Record
Compilation Completion
Reporting
Reporting
Issue Demand Letter
Cost Recovery
Actions/Decisions <$200K
Reporting
ENF-6 Past Costs
Addressed >$200,000
Semi-annual targets are established in SCAP/STARS. Accomplishments are
pulled from CERCLJS on a quarterly basis. Internal measures are planned
and reported quarterly.
October 1993
C-78
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OSWER Directive 9200.3-14-1
EXHIBIT C-17
ENFORCEMENT TARGET/MEASURE CROSSWALK
FY 94 Target/Measure
Equivalent FY 93
Target/Measure
Comments
ENF-1 • Duration from
Regional Decision or
ROD to PRP Cleanup
Negotiation Completion
(SCAP measure)
Duration from ROD to
RD/RA Negotiation
Completion (SCAP
measure)
This measure will include
NPL and NPL caliber sites
and will report both early
and long-term actions.
TK'.s measure will use the
Regional decision as the
starting point for calculating!
durations for early actions
rather than the Action
Memo or ROD.
ENF-2 • Cleanup
Negotiation Completions
(SCAP/STARS target)
RD/RA Negotiation
Completions (SCAP
target)
This measure will report
negotiation completions for
NPL and NPL caliber sites.
Includes negotiations for
both early and long-term
actions.
ENF-3 • Settlements
for Cleanup Actions
(including dollar value)
(SCAP/STARS
measure)
• UAOs for RD/RA (SCAP
measure)
• RD/RA Settlements and
Injunctive Referrals
(SCAP/STARS target)
• Mixed Funding
Settlements (SCAP
measure)
• AO Issued for Removal
and RI/FS (SCAP
measure)
Reports all settlements for
response actions (including
ESI/RI/FS) separately by
NPL, NPL caliber, and
non-NPL sites.
ENF-4 • De minimis
Settlements and
Number of PRPs
(SCAP/STARS target)
De minimis Settlements
prior to ROD and
Number of PRPs
(SCAP/STARS
measure)
De minimis Settlements
and Number of PRPs
(SCAP/STARS
measure)
This measure will report
both the total number of de.
minimis and de micromis
settlements.
This is a SCAP/STARS
target instead of a
SCAP/STARS measure.
ENF-5 • Percentage of
PRP Lead Cleanup
Actions to All Cleanup
Actions (SCAP/STARS
measure)
None
New measure.
Reported separately for
NPL, NPL caliber, and
non-NPL sites.
C-79
October 1993
-------
OSWER Directive 9200.3-14-1
EXHIBIT C-17 (continued)
ENFORCEMENT TARGET/MEASURE CROSSWALK
FY 94 Target/Measure
Equivalent FY 93
Target/Measure
Comments
ENF-6 • Past Costs
Addressed >$200/000
(number of actions
and dollar value)
(SCAP/STARS target)
Cost Recovery
Actions/Decisions
>$200K
(SCAP/STARS target)
This measure will report
past costs addressed for
NPL, non-NPL, and NPL
caliber sites.
October 1993
C-80
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OSWER Directive 9200.3-14-1
SCAP/STARS ICONS
For easy identification of STARS/SCAP targets and measures, each
STARS/SCAP activity or duration is identified by an easily recognizable icon. Each
icon identifies an activity or duration as a target or measure, and whether it is
tracked through STARS or SCAP. The icons are as follows:
STARS/SCAP ISSfifeV SCAP Target
Target
STARS/SCAP rirVrVI SCAP Measure
Measure
ENFORCEMENT 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.
PRP Search Starts
Definition:
The purpose of the PRP search is to identify PRPs. At all sites the PRP search
activities should be initiated as soon as possible after the Region decides that a
response 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/FS or early or long-term
action.
Definition of Accomplishment:
If the search is being conducted by a contractor, the actual start date is considered to
be the date the work assignment is procured. If it is conducted by EPA in-house, the
actual start date is the day the EPA staff develops the PRP search plan.
Changes in Definition FY 93 - FY 94:
PRP search starts will not be tracked as a SCAP reporting measure in FY 94;
however, they will continue to be reported for internal management purposes.
Special Planning/Reporting Requirements:
PRP searches are planned and funds requested on a site (C1701=RP (non-NPL PRP
search) or NS (NPL PRP search)) or non-site specific basis. Non-site specific
projections for PRP searches should be placed in CERHELP.
C-81 October 1993
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OSWER Directive 9LOt'3-i4-l
PRP Search Completions
Definition:
A PRP search is the action taken by the Region to identify the responsible parties at a
site.
Definition of Accomplishment:
The PRP search is complete when PRPs at a site have been identified, all applicable
activities described in the Agency's PRP Search Manual have been completed, and
the actual completion date and the outcome of the search has been determined and
entered into WasteLAN (C1719). If no PRPs are found, the actual completion date
and the outcome of the search also are entered into WasteLAN (C1719). This
definition applies to both Phase I (single owner, operator site) and Phase II (multi-
generator site) PRP search accomplishments.
Changes in Definition FY 93 - FY 94:
PRP search completions will not be tracked as a SCAP reporting measure in FY 94;
however, they will continue to be reported for internal management purposes.
Special Planning/Reporting Requirements:
PRP search completions are planned on a site (C1701=RP (non-NPL PRP search) or
NS (NPL PRP search)) or non-site specific basis. The outcome of the search and the
number of PRPs found are to be entered into WasteLAN C1719 (Activity Outcome)
and C1720 (No. RP/Defendants). Non-site specific projections for PRP searches
should be placed in CERHELP.
Section 104(e) Letters Issued
Definition:
This is a letter issued under Section 104(e) of SARA. It requests information from
PRPs on matters such as: the nature and extent of a release or threatened release at a
site; nature and quantity of materials; indemnification; financial ability of PRP to pay
for 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 under an
enforcement activity, with an actual milestone completion date.
Changes in Definition FY 93 - FY 94:
Section 104(e) letters issued will not be tracked as a SCAP reporting measure in FY
94; however, they will continue to be reported for internal management purposes.
Special Planning/Reporting Requirements:
Issuance of 104(e) letters will continue to be recorded at the milestone level
(C1701=RP or NS or other enforcement activities and C2801=IL).
October 1993 C-82
-------
OSWER Directive 9200.3-14-1
Section 104(e) Referrals and Orders Issued
Definition:
Section 104(e) referrals/orders are enforcement actions to compel parties 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 DOJ is recorded in WasteLAN as the actual start date.
The date a Section 104(e) order (generally UAO) is signed by the Regional
Administrator is recorded in WasteLAN as the actual completion date.
Changes in Definition FY 93 - FY 94:
Orders for access were added. Section 104(e) referrals and orders issued will not be
tracked as a SCAP reporting measure in FY 94; however, they will continue to be
reported for internal management purposes.
Special Planning/Reporting Requirements:
This is an internal reporting measure. The actual start date of the referral is entered
into WasteLAN site specifically (C1701=SF). The actual completion date of the order
is entered into WasteLAN site specifically (C1701=UA).
Issuance of General Notice Letters
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 completion date is recorded in WasteLAN at the milestone
level (C1701=RP or NS and C2801=NI).
Changes in Definition FY 93- FY 94:
Issuance of general notice letters will not be tracked as a SCAP measure; however,
they will continue to be reported for internal management purposes.
Special Planning/Reporting Requirements:
General Notice Letters are recorded at the milestone level.
C-83 October 1993
-------
OSWER Pirectr ••* 9200.3-14-1
Issuance of Special Notice Letters
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 site. 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) 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
of the SNL milestone (C2801=SN and C2807=date). Issuance of a SNL officially
starts cleanup negotiations (C1701=FN, AN, NG).
Changes in Definition FY 92 - FY 93:
Issuance of special notice letters will not be tracked as a SCAP measure; however,
they will continue to be reported for internal management purposes.
Special Planning/Reporting Requirements:
Special Notice Letters are recorded at the milestone level.
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 an early
action under removal or remedial authority, or a ROD for a long-term action under
remedial authority (for NPL and NPL caliber sites) to negotiation completion.
Definition of Accomplishment:
Early Action
The duration is measured from the date of the Regional decision recommending
early action under removal or remedial authority to the negotiation completion date.
The decision actual completion date and decision event qualifier must be reported in
WasteLAN (C2101 = DT, C2103=J (early remedial action), R (time critical removal),
or V (NTC removal).
• Negotiations for early actions under removal authority are considered complete when:
An AOC or a UAO is signed by the Regional Administrator/Deputy Regional
Administrator; or
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Funds are obligated for a Fund-financed removal. If funds are not available
and the Region determines a UAO is not appropriate, and HQ concurs in
writing, the negotiation complete date is the date of the HQ memorandum
concurring with the Regional decision.
Note: The remedy type (C2731) for removals is "RV".
• Negotiations for early actions under remedial authority are considered complete
when:
A signed Consent Decree (CD) under Section 106 or Section 106/107 and a 10
point analysis is referred by the Regional Administrator to DOJ or HQ; or
A Section 106 or 106/107 complaint without settlement is referred by the
Regional Administrator to DOJ; or
EPA and the PRPs proceed to trial under an existing case; or
A UAO is issued for an early action under remedial authority; or
Funds are obligated for a Fund-financed early action under remedial authority.
If funds are not available and the Region determines a UAO is not appropriate,
and HQ concurs in writing, the negotiation complete date is the date of the HQ
memorandum concurring with the Regional decision.
Note: The remedy type (C2731) for early actions under remedial authority is "RA"
with an enforcement remedy qualifier (C2741) of "EA".
Long-Term Action
The duration is measured from the date the ROD is signed by the Regional
Administrator/ Deputy Regional Administrator or the AA SWER to the negotiation
completion date.
Negotiations for long-term action are complete when:
• A signed CD under Section 106 or Section 106/107 and a 10 point analysis is
referred by the Regional Administrator to DOJ or HQ; or
• A UAO for RD or RA is issued by the Regional Administrator; or
• A Section 106 or 106/107 referral to compel the PRPs to perform the cleanup (RD,
RA) as specified in a UAO is transmitted by the Regional Administrator to DOJ
or HOj or
• EPA and the PRPs proceed to trial under an existing case; or
• Funds are obligated for a Fund-financed RD or RA. If funds are not available
and the Region determines a UAO is not appropriate, and HQ concurs in writing,
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the negotiation complete date is the date of the HQ memorandum concurring
with the Regional decision.
Durations will be calculated for all PRP cleanup negotiations completed in FY 94.
The durations for NPL and NPL caliber sites will be tracked separately but reported
as a combined total.
Changes in Definition FY93 - FY94:
This measure is similar to the FY 93 SCAT measure ROD to RD/RA Negotiation
Duration definition. It will report both early and long-term actions. The Regional
decision is used as the starting point for early removal actions rather than the
removal decision document. A new event code and event qualifiers were added to
WasteLAN to track Regional cleanup decisions (C2101=DT). A new generic
negotiations code (C1701=NG) also was added to WasteLAN to provide coding
flexibility. Either code (C1701=NG or AG) can be used.
Special Planning/Reporting Requirements:
Data on durations will be developed using CERCLJS. The durations will be
calculated using actual ROD completion (C2101=RO) or actual Regional decision
date (C2101=DT) and actual cleanup negotiation (C1701=NG or AN) completion
dates (C1717). HQ will conduct the analysis. Regions must be sure their Links data
is up-to-date and accurate in order for durations to be calculated. 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 issued, or
• A Section 122 (a) waiver of SNL is issued with the intent to pursue negotiations
without moratorium procedures.
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Changes in Definition FY 93 - FY 94:
Added ESIs to the activities to be negotiated. RI/FS negotiation starts will not be
tracked as a SCAP measure; however, they will continue to be reported for internal
management purposes.
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 actual start date (C1716)
and the enforcement remedy codes (C2731=SS, CO, RI, FS) are to be entered into
WasteLAN.
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 OU.
Definition of Accomplishment:
RD/RA negotiations start when:
• The first SNL is issued, or
• A Section 122(a) waiver of SNL is issued with the intent to pursue negotiations
without moratorium procedures.
Changes in Definition FY 93 - FY 94:
RD/RA negotiation starts will not be planned and reported as a SCAP target in
FY 94; however, they will continue to be planned and reported for internal
management purposes.
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 actual start date (C1716) and the enforcement remedy
codes (C2731=RD or RA) are to be entered into WasteLAN.
ENF-2* Cleanup Negotiation Completions
Definition of Target/Measure:
Total number of cleanup negotiations completed. 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.
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Definition of Accomplishment:
Credit is given at NPL sites when:
• A signed CD under Section 106 or Section 106/107 for RD, RA, early action
under remedial authority (C2101=RA and C2118=EA), or a NTC removal and a
10 point analysis is referred by the Regional Administrator to either DOJ or
HQ. The actual negotiation completion date is the date of the Regional
Administrator's transmittal memo, which is the actual CD start date; or
• A UAO for RD, RA, early action under remedial authority (C2101=RA and
C2118=EA)/ or a NTC removal is signed by the Regional Administrator/
Deputy Regional Administrator. The actual negotiation completion date is the
date the UAO is signed; or
* A Section 106 or Section 106/107 injunctive referral to compel the PRP to
perform the cleanup (RD, RA, early action under remedial authority
(C2101=RA and C2118=EA), or a NTC removal) as specified in a UAO is
referred by the Regional Administrator to DOJ or HQ. The actual negotiation
completion date is the date of the Regional Administrator's transmittal memo;
or
• EPA and PRPs proceed to trial under an existing case. The actual negotiation
completion date is the date the trial begins; or
• An AOC is signed by the Regional Administrator/Deputy Regional
Administrator for a RD only, or an existing AOC for RI/FS is amended for
RD. The Region must notify HQ of its intent to issue a SNL for RA negotiations
within a specified period from the AOC signature date (no credit will be given
for the subsequent RA negotiation starts and completions). The actual
negotiation completion date is the date the AOC (new or amended) is signed by
the Regional Administrator/Deputy Regional Administrator.
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; or
• An AOC for a NTC removal is signed by the Regional Administrator/Deputy
Regional Administrator. The actual negotiation completion date is the date the
AOC is signed by the Regional Administrator/Deputy Regional Administrator;
or
• Funds are obligated for a Fund-financed NTC removal, early action under
remedial authority (C2101=RA and C2118=EA) or long-term action terminating
negotiations. The actual negotiation completion date 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 completion
date is the date of the HQ memorandum concurring with the decision not to
issue the UAO.
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OSWEi- Directive 920(13-14-1
Credit is given at NPL caliber sites when:
• A signed Consent Decree under Section 106 or Section 106/107 for RD, RA,
early action under remedial authority (C2101=RA and C2118=EA), or a NTC
removal and a 10 point analysis is referred by the Regional Administrator to
either DOJ or HQ. The actual completion date is the date on the Regional
Administrator's transmittal memo; or
• A UAO or an AOC to initiate a NTC removal is signed by the Regional
Administrator/Deputy Regional Administrator. The actual negotiation
completion date is the date the order is signed by the Regional
Administrator/Deputy Regional Administrator; or
• Funds are obligated for a Fund-financed NTC removal. The actual negotiation
completion date 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 completion date is the date of the HQ memorandum
concurring with the decision not to issue the UAO.
This measure will track separately NPL and NPL caliber sites but accomplishments
are reported as a combined total.
Changes in Definition FY 93 - FY94:
This target is equivalent to the FY 93 SCAP target RD/RA Negotiation Completions.
It includes negotiations for both early and long-term actions at both NPL and NPL
caliber sites.
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 new generic
negotiation activity code (C1701=NG) or the RD/RA negotiation activity code
(C1701=AN). The enforcement remedy codes (C2731) must also be reported in
WasteLAN.
State Order for ESl/RI/FS
Definition:
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).
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Changes in Definition FY 93 - FY 94:
The ESI activity was added. State orders for RI/FS will not be tracked as a SCAP
reporting measure in FY 94; however, they will continue to be reported for internal
management purposes.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Projections for AOs for ESI/RI/FS are made site
specifically.
State Consent Decree for RD/RA
Definition:
Judicial agreement between the State and the PRPs fully or partially settling a claim
under 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 last State official. 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.
Changes in Definition FY 93 - FY 94:
State consent decree for RD/RA will not be tracked as a SCAP reporting measure in
FY 94; however, it will continue to be reported for internal management purposes.
Special Planning/Reporting Requirements:
See Definition of Accomplishment.
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 value of each of those settlements.
Definition of Accomplishment:
Settlements atNPL sites include:
• A CD under Section 106 or 106/107 for PRPs to conduct or pay for the response
action (ESI/RI, FS, RD, RA, NTC removal or early action under remedial
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authority (C2101=RA and C2118=EA) and a 10 point analysis is transmitted by
the Regional Administrator to either DOJ or HQ. Mixed funding and cash out
settlements for long-term actions (RD, RA) are also included. 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. Credit for the CD referral (C1701=CD) is the date on the Regional
Administrator's or Deputy Regional Administrator's transmittal memo to HQ
or to the DOJ as recorded in WasteLAN as the actual start date (C1716); or
• A UAO is issued by the Regional Administrator/Deputy Regional
Administrator and PRPs provide written notice of intent to comply with the
UAO. Credit for UAOs is given on the date the PRPs first provide notice of
intent to comply with the order. The order actual completion date is the date it
is issued. Credit is given on the date the notice of intent to comply (C2801=NC)
is received by EPA and is reported in WasteLAN as the actual milestone
completion date (C2807). 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 only. The
compliance status code (C1726) for UAO must be changed to "V" (converted to
CD). A financial type (C2903) of "W" (estimated value of work actually
performed) must be added with a financial amount (C2907) to track the
estimated value (or actual, if dollar amount is known) of the work performed
by the PRP under the UAO. (The original financial type of "R" (estimated RP
work to be performed) tracked the total estimated value of the work). The
subsequent CD tracks the value of the additional estimated RP work to be
done. (The total estimated value of the RP work is the sum of the dollars
associated with the UAO (C2903=W) and the dollars associated with the CD
(2903=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 under remedial authority (C2101=RA and
C2118=EA), or NTC removal) 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/Deputy Regional
Administrator signs the transmittal letter as recorded in WasteLAN as the
actual start date. Remedies for the litigation should be the same as those in the
UAO; or
• An AOC is signed by the Regional Administrator/Deputy Regional
Administrator for an ESI/RI, FS, NTC removal or RD, or an existing AOC for
ESI/RI, 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/ Deputy
Regional Administrator signs the 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 reported with the AOC milestone "AA" (activity amended).
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Settlements at non-NPL and NPL caliber sites include:
• A CD under Section 106 or 106/107 for PRPs to conduct or pay for the response
action (ESI/RI, FS, RD, RA, NTC removal or early action under remedial
authority, (C2101=RA and C2118=EA) and a 10 point analysis is transmitted by
the Regional Administrator to either DOJ or HQ. Credit for the CD referral
(C1701=CD) is the date on the Regional Administrator's/ Deputy Regional
Administrator's transmittal memo to HQ or to the DOJ as recorded in
WasteLAN as the actual start date; or
• An AOC under Section 106 for a NTC removal, ESI/RI, or FS is signed by the
Regional Administrator/Deputy Regional Administrator. The date the
Regional Administrator signs the AOC (C1701=AC) is reported in WasteLAN
as the actual completion date; or
• A UAO for a NTC removal, ESI/RI, or FS is issued by the Regional
Administrator/Deputy Regional Administrator and the PRPs have notified the
Agency in writing of their intent to comply with the order. The order actual
completion date is the date it is issued. Credit is given on the date the notice of
intent to comply (C2801=NC) is received by EPA and is reported in WasteLAN
as the actual milestone completion date (C2807). 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 only. The compliance status code (C1726) for UAO must be
changed to "V" (converted to CD). A financial type (C2903) of "W" (estimated
value of work actually performed) must be added with a financial amount
(C2907) to track the estimated value (or actual, if dollar amount is known) of
the work performed by the PRP under the UAO. (The original financial type
of "R" (estimated RP work to be performed) tracked the total estimated value of
the work). The subsequent CD tracks the value of the additional estimated RP
work to be done. (The total estimated value of the RP work is the sum of the
dollars associated with the UAO (C2903=W) and the dollars associated with the
CD (2903=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".
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.
Accomplishments will be reported separately for:
• All settlements for NTC early removal actions at NPL and non-NPL sites; and
• All settlements for response action (early action under remedial authority (C2101=RA
and C2118=EA), RD, RA, ESI/RI, FS) at NPL and NPL caliber sites.
Changes in Definition FY 93 - FY 94:
This measure will replace the FY 93 SCAP measures UAOs for RD/RA, Mixed
Funding Settlements, AO Issued for Removal and RI/FS, and the SCAP/STARS
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target RD/RA Injunctive Referrals. Value of each settlement will also be reported in
WasteLAN.
Special Planning/Reporting Requirements:
For special planning /reporting requirements see Definition of Accomplishments.
The dollar value of each settlement must be reported in WasteLAN (C2907 = amount
and C2903=R or W for converted UAOs), the remedy type (C2731), and remedy OU
(C2733) must be reported in WasteLAN. This is a SCAP/STARS measure.
ENF-4 • De minimis Settlements and Number of PRPs
Definition of Target/Measure:
Total number of administrative or judicial settlements that were reached solely
under Section 122(g) of SARA, with PRPs who qualified as de minimis or de
micromis under Section 122(g). This type of settlement results in PRPs paying a
small 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 issued (signed by the Regional Administrator/ Deputy Regional
Administrator) with DOJ prior written approval. If DO} does not approve or
disapprove the AO within 30 days, the AOC is considered approved and can be
signed by the Regional Administrator/Deputy Regional Administrator. DOJ and
the Regional Administrator can agree to extend this 30-day period if necessary.
This target counts the total number of de minimis settlements and the total number of
de micromis settlements.
Definition of Accomplishment:
Credit is given for a de minimis settlement when an AOC (C1701=AC) is signed by
the Regional Administrator/Deputy Regional Administrator (as reported in
WasteLAN as the actual completion date C1717) or when the Regional
Administrator/ Deputy Regional Administrator signs the memorandum
transmitting the CD to HQ or DOJ (as reported in WasteLAN as the actual start date
(C1716) of the CD C1701=CD).
Credit is given for a de micromis settlement if the Regional Administrator signed an
AOC, or referred a CD to DOJ. Credit is based on the AOC (C1701=AC) signature
date (actual completion date C1717) or CD transmittal memo (actual CD (C1701=
CD) start date (C1716).
The remedy qualifier for de. minimis must be entered into WasteLAN Enforcement
Remedy Qualifier data elements (C2741- C2750 = DL or DG) and statute (C2771)
must be Section 122g.
The number of PRP signatories to each settlement must also be reported (C1720).
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Changes in Definition FY 93 - FY 94:
The de minimis settlement definition has been modified to include de micromis
settlements.
Special Planning/Reporting Requirements:
For special planning/reporting requirements see Definition of Accomplishments.
De. minimis and de micromis settlement will be reported as a combined
SCAP/STARS target for FY 94.
ENF-5 • Percentage of PRP Lead Cleanup Actions to all
Cleanup Actions
Definition of Target/Measure:
This measure is expressed 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 removal action selected by
the Region and reflected in the Action Memorandum (C2101=RV and C3101=AM);
or the early action under remedial authority (C2101=RA and C2118=EA) or long-
term action (C2101=RD or RA) remedy selected in the 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, State
or State contractors, PRP or PRP contractors have mobilized for construction of the
removal actions specified in the Action Memorandum (C2101=RV and C3101=AM),
or the response actions specified in the ROD (C2101=RO) for early actions under
remedial authority (C2101= RA and C2118=EA) or long-term actions (C2101=RD or
RA). Orphan sites where no viable PRPs have been identified (C1719=NV or NP),
would be excluded from the calculation of this percentage.
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 93 - FY 94:
This is a new SCAP/STARS measure for FY 94.
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Special Planning/Reporting Requirements:
For special planning/ reporting requirements, see Definition of Tar get/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".
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 fully addressing the complaint with all parties;
• The case is withdrawn;
• The case is dismissed; or
• A trial concluded and a judgment entered 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 completion and the litigation
completion date;
• Date case is withdrawn (C2801=WD) as the milestone and litigation completion date;
• Date case is dismissed (C2801=DI) as the milestone and litigation completion date; or
• Date judgment is entered (C1701=JG), as the judgment completion and the litigation
completion date.
Changes in Definition FY 93 - FY 94:
Section 106,106/107,107 case resolution will not be tracked as a SCAP reporting
measure in FY 94; however, it will continue to be reported for internal management
purposes.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. The enforcement remedy code (C2731), remedy
OU (C2733), financial type (C2903=F or R), and financial amount (C2907) must be
entered into WasteLAN.
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Administrative Record Compilation Completion
Definition:
An 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.
Definition of Accomplishment:
The AR compilation begins when the AR is received at the site repository and the
actual start date is entered into WasteLAN. The AR compilation is complete when
the compilation is certified by the program office and the actual completion date is
entered into WasteLAN.
Changes in Definition FY 93 - FY 94:
Administrative Record Compilation Completion will not be tracked as a SCAP
reporting measure in FY 94; however, it will continue to be reported for internal
management purposes.
Special Planning/Reporting Requirements:
The 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.
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 the demand letter is signed by the
appropriate EPA official and recorded in WasteLAN as a milestone (C2801=DL)
under negotiations, litigation, Alternative Dispute Resolution (ADR), CD or other
enforcement activities. The actual completion date is reported in C2807.
Changes in Definition FY 93 - FY 94:
Issue Demand Letters will not be tracked as a SCAP reporting measure in FY 94;
however, they will continue to be reported for internal management purposes.
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Special Planning/Reporting Requirements:
Demand letters are recorded at the milestone level (C2801=DL).
Cost Recovery Actions/Decisions Less Than $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, initiation of ADR (mediation, arbitration, mini-trial),
preparation of a decision document not or 10 point settlement analysis document to
pursue cost recovery, settlement for past costs under a CD (with no prior referral),
bankruptcy filing, cash out settlement for cost recovery or initiation of debt
collection procedures.
This category only includes cost recovery actions for reimbursement of Trust Fund
amounts of less than $200,000.
Definition of Accomplishment:
Section 107 or 106/107 referrals - Credit is given on the date of the Regional
Administrator's transmittal letter to HQ or DOJ (C1701=SV, CL or LT) as recorded in
WasteLAN as the actual start date.
Settlement under CD (with no prior referral) - Credit is given on the date of the
Regional Administrator's transmittal letter to HQ or DOJ (C1701=CD) as recorded in
WasteLAN as the actual start date.
Cash out Settlements - Credit is given on the date of the Regional Administrator's
transmittal letter to HQ or DOJ or when the Regional Administrator signs the AOC
for the cash out. This date must be recorded in WasteLAN as the actual CD
(C1701=CD) start date or the actual AOC (C1701=AC) completion date. The remedy
qualifier for a cash-out must also be reported in WasteLAN in the Enforcement
Remedy Qualifier data fields (C2741-C2750=CO).
Decision Documents prepared not to pursue cost recovery claims - Credit is given when
the document (C1701=DD) is issued by the Regional office and recorded in
WasteLAN as the actual completion date. 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.
Administrative Settlements - Credit is given on the date that the Regional office or DO}
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 of
the administrative/voluntary cost recovery (C1701=AV) or the actual completion
date of the AOC (C1701=AC).
C-97 October 1993
-------
OSWER D;/ective 920C 3-14-1
Initiation of ADR - Credit is given on the date that the Region refers the case to OE for
selection of a mediator or arbitrator as reported in WasteLAN as the actual start
date. The activity code (C1701) for ADR is "AD" (Alternative Dispute Resolution).
ADR has the same coding requirements as negotiations or litigation.
Bankruptcy Filing - Credit is given based on the date that the bankruptcy strategy
package is prepared or on the date that the first creditor committee meeting
convenes as reported in WasteLAN as actual milestone completion dates. The
bankruptcy filing milestones are: C2801 = CP (Creditors Committee Meeting) and
BS (Bankruptcy Strategy Package). These milestones are valid for activity C1701=CB
(Claim in Bankruptcy).
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.
Debt collection milestones in WasteLAN are: C2801 = CS (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 93 - FY 94:
Cost recovery actions/decisions less than $200,000 will not be tracked as a
SCAP/STARS reporting measure in FY 94; however, they will continue to be
reported for internal management purposes.
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 and will be based on the quarter of re-referral. The enforcement
financial code (C2903=F) and the amount recovered (C2907) and the appropriate
remedy codes (C2731) must be entered into WasteLAN.
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, initiation of ADR (mediation, arbitration, mini-trial), preparation of a
decision document or 10 point settlement analysis not to pursue cost recovery,
settlement for past costs under CD (with no prior referral), bankruptcy filing, cash
out settlement for cost recovery, or initiation of debt collection procedures.
October 1993 C-98
-------
OSWER Directive 9200.3-14-1
This measure includes cost recovery actions (at NPL, NPL caliber, and non-NPL
sites) for reimbursement of Trust Fund amounts of greater than $200,000. Regions
should give priority to Statute of Limitations (SOL) cases.
Definition of Accomplishment:
Section 107 or 106/107 Referrals - Credit is given on the date of the Regional
Administrator's/Deputy Regional Administrator's transmittal letter to HQ and DO]
as recorded in WasteLAN as the actual start date (C1701=SV, CL or LT). This
includes CD settlements under Section 106/107 with a cost recovery component.
The actual CD (C1701=CD) start date must be reported in WasteLAN.
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 that the Regional Administrator/Deputy Regional
Administrator signs the AOC 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 of the administrative/voluntary cost recovery
(C1701=AV) or the actual completion date of the AOC (C1701=AC). If the settlement
is compromised and total response costs are more than $500,000, the AOC must be
sent to DOJ for concurrence.
Cash out Settlements - Credit is given on the date of the Regional Administrator's/
Deputy Regional Administrator's transmittal letter (i.e. with a CD) to HQ or DOJ or
when the Regional Administrator/Deputy Regional Administrator signs the AOC
for the cash out settlement with a cost recovery component of greater than $200,000
as recorded in WasteLAN. The actual CD (C1701=CD) start date or the actual AOC
(C1701=AC) completion date 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. Credit is given for only those cash out
settlements which include a cost recovery component. Settlement dollars that will
be used for future response work are reported as "R" dollars in C2903. Settlement
dollars for past costs are reported as "F" dollars in C2903.
Decision Documents prepared not to pursue cost recovery claims - Credit is given when
the document (C1701=DD) is issued by the Regional office and recorded in
WasteLAN as the actual completion date. 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.
Initiation of ADR - Credit is given on the date that the Region refers the case to OE
for selection of a mediator or arbitrator as reported in WasteLAN as the actual start
date. The activity code (C1701) for ADR is "AD" (Alternative Dispute Resolution).
ADR has the same coding requirements as negotiations or litigation.
Bankruptcy Filing- Credit is given on the date that the bankruptcy strategy package is
prepared or on the date that the first creditor committee meeting convenes and the
information is reported in WasteLAN as the actual milestone completion dates.
C-99 October 1993
-------
OWSR Directive 9200.3-14-1
Bankruptcy filing milestones in WasteLAN are C2801=CP (Creditors Committee
Meeting) and C2801=BS (Bankruptcy Strategy Package). These milestones are valid
for activity C1701=CB.
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.
Debt collection milestones in WasteLAN are C2801=CS (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 93 - FY 94:
This measure replaces the FY 93 SCAP/STARS target, Cost Recovery
Actions/Decisions >$200,000.
Special Planning/Reporting Requirements:
For special planning/reporting requirements see Definition of Accomplishments.
The financial code (C2903=F) and the financial amount (C2907) also are to be entered
into WasteLAN. This is a SCAP/STARS target. Regions should diligently track SOL
cases.
October 1993 C-100
-------
EXHIBIT C-18
ENFORCEMENT PLANNING REQUIREMENTS
Planning Requirements
STARS?
SCAP?
Internal Management ?
Planned Site-Specifically?
Planned/Reported on Operable
Unit or Whole Site Basis?
Reported Site-Specifically or
in Non-site Portion of
WasteLAN?
AOA Category, if Fund
Financed?
AOA Category for Oversight?
Basis for AOA?
1 •••••••^•••••M
PRP Search
Starts
-
-
Reporting
Yes
Whole Site
Site Specific
Enforcement
N/A
Site Specific
Plans
PRP Search
Completions
-
-
Reporting
Yes
Whole Site
Site Specific
N/A
N/A
N/A
••••••••••
Section
104(e)
Letters
Issued
-
-
Reporting
No
Whole Site
Site Specific
N/A
N/A
N/A
Section 104(e)
Referrals and
Orders Issued
-
-
Reporting
No
Whole Site
Site Specific
Enforcement
N/A
Site Or Non-Site
Specific Plans
Issuance of
General
Notice Letters
Reporting
No
Operable Unit
Site Specific
Enforcement 1
N/A
Site Or Non-Site
Specific Plans 1
i
w
5S
a
Semi-annual targets are established in SCAP/STARS. Accomplishments are pulled from CERCLIS on a
quarterly basis. Internal measures are planned and reported quarterly.
-------
EXHIBIT C-18 (continued)
ENFORCEMENT PLANNING REQUIREMENTS
Planning Requirements
"
STARS?
SCAP?
Internal Management?
Planned Site-Specifically?
Planned/Reported on Operable
Unit or Whole Site Basis?
Reported Site-Specifically or
in Non-site Portion of
WasteLAN?
AOA Category, if Fund
Financed?
AOA Category for Oversight?
Basis for AOA?
Issuance of
Special Notice
Letters
••^^•"••^••^•••••B
-
Reporting
No
Operable Unit
Site Specific
Enforcement
N/A
Site Or Non-Site
Specific Plans
ENF-l Duration from
Regional Decision
or ROD to PRP
Cleanup Negotiation
Completion
Measure
-
No
Operable Unit
Site Specific
N/A
N/A
N/A
ESI/RI/FS
Negotiation
Starts
-
-
Reporting
Yes
Operable Unit
Site Specific
Enforcement
N/A
Site Specific
Plans
RD/RA
Negotiation
Starts
-
Planning
Yes
Operable Unit
Site Specific
Enforcement
N/A
Site Specific
Plans
ENF-2 1
Cleanup
Negotiation
Completions
Target |
Target
1
Yes 1
Operable Unit 1
Site Specific 1
N/A 1
N/A 1
N/A 1
2
n
Semi-annual targets are established in SCAP/STARS. Accomplishments are pulled from CERCLIS on a
quarterly basis. Internal measures are planned and reported quarterly.
-------
EXHIBIT C-18 (continued)
ENFORCEMENT PLANNING REQUIREMENTS
Planning Requirements
STARS?
SCAP?
Internal Management ?
Planned Site-Specifically?
Planned/Reported on Operable
Unit or Whole Site Basis?
Reported Site-Specifically or
in Non-site Portion of
WasteLAN?
AOA Category, if Fund
Financed?
AOA Category for Oversight?
Basis for AOA?
State
Orders
for
ESI/RI/FS
-
-
Reporting
No
Operable
Unit
Site Specific
Enforcement
N/A
Site or Non-Sit(
Specific Plans
State Consent
Decrees for
RD/RA
-
-
Reporting
No
Operable
Unit
Site Specific
Enforcement
N/A
Site Or Non-Site
Specific Plans
ENF-3
Settlements
For Cleanup
Actions
Measure
Measure
-
Yes
Operable
Unit
Site Specific
Enforcement
N/A
Site Specific
Plans
ENF-4D£
Minimis
Settlements
and Number
of PRPs
Target
Target
-
Yes
Whole Site
Site Specific
Enforcement
N/A
Site Specific
Plans
ENF-5 1
Percentage Of 1
PRP Lead I
Cleanup 1
Actions To All 1
Cleanup 1
Actions |
Measure I
Measure I
1
No 1
Operable I
Unit I
I
Site Specific 9
N/A 1
N/A 1
N/A I
o
10
m
g
r>
<°
K)
V
Semi-annual targets are established in SCAP/STARS. Accomplishments are pulled from CERCLIS on a
quarterly basis. Internal measures are planned and reported quarterly.
-------
*
OJ
n
EXHIBIT C-18 (continued)
ENFORCEMENT PLANNING REQUIREMENTS
Planning Requirements
STARS?
SCAP?
Internal Management?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically or
in Non-site Portion of
WasteLAN?
AOA Category, if Fund
Financed?
AOA Category for Oversight?
Basis for AOA?
Section
106,106/107,
107 Case
Resolution
-
-
Reporting
No
Whole Site
Site Specific
N/A
N/A
N/A
Administrative
Record
Compilation
Completion
-
-
Reporting
No
Operable
Unit
Site Specific
Enforcement or
Other Response
N/A
Site Or
Non-Site
Specific Plans
Issue
Demand
Letter
-
-
Reporting
No
Operable
Unit or
Whole Site
Site Specific
Enforcement
N/A
Site Or Non-Site
Specific Plans
Cost
Recovery
Action/
Decisions
<200K
-
-
Reporting
No
Whole Site
Site Specific
Enforcement
N/A
Site Specific
Plans
ENF-6 Past •
Costs I
Addressed •
>200,000 I
Target 1
Target •
1
Yes 1
Whole Site 1
Site Specific •
Enforcement I
N/A I
Site Specific 1
Plans •
Semi-annual targets are established in SCAP/STARS. Accomplishments are pulled from CERCLIS on a
quarterly basis. Internal measures are planned and reported quarterly.
i
n
NJ
-------
OSWER Directive 9200.3-14-1
APPENDIX D
FEDERAL FACILITIES
October 1993
-------
OSWER Directive 9200.3-14-1
APPENDIX D
FEDERAL FACILITIES
TABLE OF CONTENTS
FEDERAL FACILITIES PRIORITIES D_l
OVERVIEW D.a
FEDERAL FACILITY INITIATIVES ZZ.......... D-]
INTEGRATED MANAGEMENT STRATEGY D-4
FEDERAL FACILITIES PLANNING AND REPORTING REQUIREMENTS. D-7
FEDERAL FACILITIES CODING GUIDANCE D-8
Introduction ...D-8
Definitions D-8
Site D-8
Operable Unit D-9
Phases D-10
Coding Issues and Resolutions D-10
Site Assessment D-10
Remedial Coding D-ll
Removal Coding D-ll
Enforcement Coding D-ll
FEDERAL FACILITIES BUDGET AND FINANCIAL MANAGEMENT D-13
FINANCIAL MANAGEMENT RESPONSIBILITIES UNDER A-
106 D-13
OFFE REGIONAL EXTRAMURAL BUDGET PROCESS D-14
Preliminary Extramural Budget Allocation and
Distribution D-14
Regional Planning Against Preliminary Budget D-15
Final Extramural Budget Distribution D-19
Budget Execution D-20
Federal Facility Contractor Resources D-20
Contract Obligations D-21
Obligations for Other Financial Vehicles D-21
AOA Utilization D-21
Budget Utilization D-21
Disbursements D-22
HQ/Regional Adjustment D-25
Responsibilities D-25
Federal Facility Financial Reports D-28
FEDERAL FACILITY RESOURCE DISTRIBUTION D-28
OWPEIOFFE REORGANIZATION D-28
FEDERAL FACILITIES FY 94 SCAP/STARS TARGETS AND MEASURES D-29
OVERVIEW D-29
SCAP/STARS TARGETS AND MEASURES D-29
SUMMARY OF FY 94 FEDERAL FACILITIES
TARGETS/MEASURES D-29
October 1993
-------
OSWER Directive 9200.3-14-1
STARSISCAP ICONS D-33
FEDERAL FACILITIES DEFINITIONS D-33
FF-1 • Base Closure Decision D-33
FF-2 • Federal Facility Agreements/IAG Start D-34
FF-3 • Federal Facility Agreements/IAG Completion D-34
FF-4 • Federal Facility Dispute Resolution D-35
FF-5 • RI/FS Starts — First and Subsequent D-36
FF-6 • Timespan From NPL Listing To RI/FS Start D-37
FF-7 • RI/FS Completions (RODs) - First and Subsequent D-37
FF-8 • RI/FS Duration D-38
FF-9 • RD Starts — First and Subsequent D-39
FF-10 • RD Completions - First and Subsequent D-39
FF-11 • RD Duration D-40
FF-12 • RA Starts — First and Subsequent D-41
FF-13 • Timespan from ROD Signature to RA Start D-41
FF-14 • RA Completions - First and Subsequent D-42
FF-15 • Final RA Completion D-43
FF-16 • RA Duration D-44
FF-17 • Timespan from RI/FS Start to RA Complete D-44
FF-18 • Removal/ERA/RCRA Corrective Actions - Start
and Completion D-45
FF-19 • Federal Facility NPL Deletion D-46
October 1993
-------
OSWER Directive 9200.3-14-1
LIST OF EXHIBITS
D-l Environmental Management Strategic Plan D-2
D-2 Integrated Management Strategy D-5
D-3 WasteLAN Regional Budget Planning
Instructions - Remedial Events D-16
D-4 WasteLAN Coding Instructions - Enforcement
Activities D-l 7
D-5 WasteLAN Coding Instructions Non-
Site/Incident D-18
D-6 WasteLAN Coding Instructions for
Committing/Obligating Funds - Remedial
Events r>23
D-7 WasteLAN Coding Instructions for
Committing/Obligating Funds - Enforcement
Activities D-24
D-8 RPO/IMC Extramural Budget Responsibilities D-26
D-9 Regional/HQ Extramural Budget Responsibilities D-27
D-10 Federal Facilities Activities D-30
I>11 Federal Facility Target/Measure Crosswalk D-31
D-12 Federal Facility Planning Requirements D-48
October 1993
-------
OSWER Directive 9200.3-14-1
FEDERAL FACILITIES PRIORITIES
OVERVIEW
The Office of Federal Facilities Enforcement (OFFE) is a multi-media office
within the Office of Enforcement (OE). It was established to monitor the progress
and compliance of the cleanup of Federally-owned sites, and uses a variety of
tools to ensure that these sites follow the same regulations as non-Federally
owned sites. By ensuring the thorough and effective cleanup of Federal
Facilities, the Agency can bolster public confidence in the program and establish
the Federal government as a leader in hazardous waste cleanup.
FEDERAL FACILITY INITIATIVES
Superfund Federal Facilities enforcement remains a key Agency issue because
of the high visibility and significant threat posed by military and weapons sites;
the impact of military base closings; the significant resources needed to oversee
Department of Defense (DoD)/Department of Energy (DOE) efforts at National
Priorities List (NPL) sites; and heightened State and local public interest. Federal
Facilities program goals for Fiscal Year (FY) 94 are based on a number of related
factors, including overall Superfund program goals, anticipated resource
constraints, Congressional interest, and statutory requirements. In response,
OFFE developed a strategic plan for the Federal government's environmental
management program which will promote assistance to and coordination
among Federal agencies while identifying high priority environmental needs.
This plan consists of traditional and non-traditional strategies for preventing
pollution, achieving and monitoring compliance, and expeditiously cleaning up
Federal hazardous and radioactive waste sites. Exhibit D-l lists the ten points of
the strategic plan.
Program activities and resources should be planned to achieve the following
goals of the OFFE strategic plan:
• Involving citizens in Federal environmental decision making - Bring the
communities into the cleanup process and introduce a policy of the "citizen
overseer/citizen advisor." Site Specific Advisory Boards (SSABs) are to be
established where desired by the community around a facility. The SSAB will
provide a forum for local stakeholders to become involved in the cleanup
decision process and advise the Federal government on issues that are
important to the community. Additionally, OE/OFFE is working with the
Office of Environmental Equity to establish information exchange
mechanisms and create opportunities for joint policy-making with other
Federal agencies.
D-l October 1993
-------
OSWER Directive 9200.3-14-1
Exhibit D-l
ENVIRONMENTAL MANAGEMENT STRATEGIC PLAN
Involving Citizens in Federal Environmental Decision Making
Enforcing the Laws
Preventing Pollution
Accelerating Cleanup and Reuse of Closing Bases
Accelerating Site Cleanup and Restoration
Developing Innovative Technologies at Federal Facilities
Addressing Nuclear Weapons Complexes
Multi-media Enforcement
Conserving Natural Resources on Federal Lands
Building the Federal Fjwironmental Infrastructure
Enforcing the laws - The public needs to know that it will be protected from
environmental hazards through vigorous, forceful enforcement by the
Environmental Protection Agency (EPA) and the States for violations of
environmental laws and situations that put people and natural resources at
risk. OFFE intends to use its Federal Facility enforcement authorities not only
to compel compliance, but also to promote long-term policy objectives such as
greater citizen involvement, pollution prevention, technology development,
and natural resource management.
Preventing pollution - Focus on pollution prevention solutions at the source
instead of "at the end of the pipe." Investing in pollution prevention saves
money, minimizes environmental liability, and provides legitimate relief
from operating under onerous pollution control regulation. Executive Order
12856, signed by President Clinton August 3,1993, requires Federal agencies to
develop comprehensive pollution prevention strategies and seek to reduce by
50% their emissions of toxic chemicals or toxic pollutants by 1999.
Accelerating cleanup and reuse of closing bases - EPA is collaborating with
DoD on developing strategies for expediting cleanup and reuse of closing or
realigning military installations in accordance with applicable laws. EPA and
October 1993
D-2
-------
OSWER Directive 9200.3-14-1
DoD are developing policies governing the transfer by deed of clean and
remediated parcels of land, as well as procedures for leasing properties while
the cleanups are still underway.
Accelerating site clean up and restoration - Accelerate and improve the
identification of Federal sites, characterize the risks, and clean these sites to
standards acceptable to the community and in accordance with applicable
laws. OFFE, in conjunction with DoD and DOE, is establishing a policy on
accelerating cleanup that supports a greater use of Operable Unit (OU) and
interim remedial cleanup actions with a bias for Focused Feasibility Studies
(FFS), as well as support for a greater use of removal actions in collaboration
with the regulators.
Developing innovative technologies at Federal Facilities - OFFE will
implement initiatives to support the research and use of innovative
technologies at Federally-owned sites. It is proposing a partnership with State
regulators, regulated Federal agencies, and the private sector to create a
climate for innovation with the goal being the development of technologies
in site assessment, cleanup, pollution control, and pollution prevention.
Addressing nuclear weapons complexes - Establish accountability for cleanup
and compliance at nuclear facilities by negotiating comprehensive cleanup
agreements and orders governing compliance issues. Ensure a strong role for
the community in all cleanup decisions by establishing SSABs at each
weapons site. Implement the mixed waste requirements found in the Federal
Facility Compliance Act.
Multi-media enforcement - EPA launched a two-year multi-media
enforcement initiative by targeting 40 priority Federal Facilities for
comprehensive compliance inspections in coordination with States. This
program demonstrates EPA's commitment to a vigorous Federal Facility
enforcement program; promotes addressing compliance issues at a facility in a
holistic, risk-based approach; requires the different media programs within
EPA and the States work together; provides the regulated facility with a
comprehensive compliance assessment; and promotes the greater use of
pollution prevention as a compliance tool.
Conserving natural resources on Federal lands - OE/OFFE will work jointly
with agencies with large land holdings and natural resource responsibilities
to fashion a strategy for conservation and natural resource management
across the whole Federal government that complements good environmental
stewardship.
D-3 October 1993
-------
OSWER Directive 9200.3-14-1
• Building the Federal environmental infrastructure - Collaborate with other
Federal agencies in designing quality environmental programs that will
result in long-term success and promote leadership among the Federal
family.
In addition to the initiatives described previously, OFFE is also encouraging
the following site management strategies to accelerate cleanup:
• Tiered oversight of Federal Facility cleanup activities. For example, reducing
oversight at facilities that have demonstrated consistently high performance
in field activities, self auditing, compliance, and response;
• Use State and Resource Conservation and Recovery Act (RCRA) resources to
provide oversight, especially at non-NPL sites;
• Increased use of FFS, interim Records of Decisions (RODs) and presumptive
remedies; and
• Initiating the Remedial Design (RD) before the ROD is signed.
INTEGRATED MANAGEMENT STRATEGY
OE/OFFE is also developing an "Integrated Management Strategy" (IMS)
cleanup plan. The purpose of the IMS is to work with Federal agencies to reach
agreements on key cleanup issues that will result in acceleration at the field and
technical level across all agency programs. The key elements of the IMS are
listed in Exhibit D-2.
October 1993 D-4
-------
OSWER Directive 9200.3-14-1
Exhibit D-2
INTEGRATED MANAGEMENT STRATEGY
• Define the Scope and Cost of the Federal Government Legacy from
Past Practices
• Set National Cleanup Goals Each Year Against Which the Public
and Congress Can Measure Progress
• Develop Presumptive Remedies for Pollution Problems that are
Commonly Found at a Number of Federal Sites
• Re-evaluate the Quality Assurance/Quality Control Requirements
for Sampling and Analysis During Remedial Investigation (RI)
• Improve the Government's Procurement Process, Address
Inter-Agency Conflict of Interest (COI) and Contractor
Indemnification
• Use Federal Facilities as Testing and Demonstration Centers for
Developing Innovative Site Assessment and Cleanup Technologies
• Transfer the Lessons Learned in the Base Closure Program to the
Cleanup Program at Large
• Establish an Annual Planning Process for Federal Facilities that
Focuses on Priority Problems
• Establish an Annual Environmental Liability Reporting
Requirement
D-5 October 1993
-------
OSWER Directive 9200.3-14-1
This Page Intentionally Left Blank
October 1993
-------
OSWER Directive 9200.3-14-1
FEDERAL FACILITIES PLANNING AND REPORTING
REQUIREMENTS
In FY 94, the focus of the Federal Facility program will be to implement
signed Federal Facility Agreements (FFAs)/Interagency Agreements (lAGs) at all
NPL facilities, to establish priorities for quick response actions at facilities posing
the greatest risk to human health and the environment, and to stress efficiency
through streamlining and multi-media enforcement and program integration.
The EPA's policy is to enter into Section 120 lAGs with all Federal Facilities on
the final NPL. The scope of these lAGs includes the Remedial
Investigation/Feasibility Study (RI/FS) and RD/Remedial Action (RA) phases, as
well as any Expedited Response Actions (ERAs).
Where appropriate, and in conjunction with RCRA program offices, these
LAGs may be used to satisfy RCRA corrective action technical requirements. The
concept is to use the Comprehensive Environmental Response, Compensation,
and Liability Act (CERCLA) to satisfy RCRA so that only one set of requirements
is applied to avoid redundant and duplicative efforts. In some cases, however, a
combined RCRA/CERCLA permit/IAG approach may be taken when the
situation warrants such an approach, or when the State or EPA RCRA program
has compelling interests at units on a facility. Regions should compare the
RCRA permit requirements with the provisions of the CERCLA LAG for the site
to determine which approach is appropriate. Pre-planning, coordination among
appropriate offices, and definitive "scoping" of a Federal Facility are necessary
factors for LAG compliance and site remediation.
Regions should follow the Federal Facility negotiation policy for addressing
Federal Facilities. In essence, the policy is as follows:
• Establish 90-day LAG negotiation periods. Schedules for all ongoing or
planned negotiations are to be forwarded to HQ two weeks prior to each
quarter;
• Address the RCRA/CERCLA issues prior to the negotiation period in
conjunction with the State and RCRA program offices;
• Issue a Federal Facility notice letter to the facility establishing the negotiation
time frame;
• Conduct three-party negotiations. The 90-day period may be extended 30 days
if settlement is close; and
• If issues still remain after the 90/120-day period, the LAG is to be elevated to
HQ for dispute resolution. Along with the elevation, the Region should
recommend either a Section 106 Administrative Order (AO) or a two-party
r>7 October 1993
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OSWER Directive 9200.3-14-1
agreement in the event that the HQ resolution fails. If a settlement is not
reached, either the Section 106 AO will be referred to Department of Justice
(DOJ) or the Region will enter into a two-party agreement, depending on
which is appropriate.
In situations where a Federal agency is a Potentially Responsible Party (PRP)
at a private site, the agency is to be treated the same as a private party. Cash outs
with premiums from the Federal agency may expedite cleanup negotiations.
Similarly, at formerly-owned sites with multiple PRPs, the Federal agency is to be
treated the same as a private party. At formerly-owned sites where the Federal
agency is taking sole responsibility for the RI/FS and RD/RA, the Regions may
use a Section 120 LAG approach using the same methods followed at Federal
Facility NPL Sites.
FEDERAL FACILITIES CODING GUIDANCE
Introduction
Federal Facilities may be tracked in WasteLAN as one site/incident or as
multiple sites in the case of complex facilities. In most cases when a Federal
Facility is listed on the NPL, the entire facility is included. Within WasteLAN,
an OU at a Federal Facility will generally address a grouping of waste release
areas that have similar characteristics or that are in close proximity.
The following discussion provides a standard approach for coding Federal
Facilities events and activities in the Comprehensive Environmental Response,
Compensation, and Liability Information System (CERCLIS). Federal Facilities
are to be coded in a manner similar to private sites. However, because of the
unique nature of Federal Facilities, some coding requirements may be different.
How a Federal Facility is coded at the site level may be unique; however, coding
at the OU and the event/activity levels should follow standard WasteLAN
coding guidance. Therefore, this guidance will focus primarily on definitions
and site coding characteristics that are unique to Federal Facilities.
Definitions
Site
A Federal Facility is coded as a single WasteLAN site, referring to all areas of
response activity at the facility. Each facility listed on the NPL should be
tracked as one WasteLAN site. In a small number of historical cases, a single
Federal Facility was listed on the NPL more than once, or a discrete portion of
a facility may have been listed on the NPL. Changes are currently being made
in the WasteLAN data base that would allow those sites to be combined into
one "parent" site.
October 1993 D-8
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OSWER Directive 9200.3-14-1
To indicate that a site(s) has been combined with another "parent" site, the
following information must be entered into CERCLIS with the original or
"child" site:
• C305 = "A" (Aggregate);
• The EPA Identification Number (EPA ID) of the parent site in the C306
data field; and
• An Event Qualifier (C2103) of "A" (Aggregate) with the last response event
conducted at the "child" site.
After a site is collapsed into the parent site, no further work is recorded with
the original site. Any future response work performed at the collapsed site(s)
is recorded as a separate OU at the parent site.
In the future, each Federal Facility will be listed only once and this listing
will, to the extent possible, address the entire facility. A site can only be coded
as a "Federal Facility" site (C135=Y) if it is officially designated as a Federal
Facility on the NPL. Sites where a Federal agency is listed as the principal
PRP, but the site is not designated as a Federal Facility on the NPL, should not
be coded as a Federal Facility site.
Operable Unit
An OU is one of the following:
• A separate geographic area of treatment. For example, a site may have two
OUs with two sets of RI/FS, ROD, RD, and RA events; one addressing the
northern end of the site, and one addressing the southern end, which are
separated by a lake.
• A separate treatment technology in the same geographic area. For
example, at the RI/FS stage at a site, it may be determined that both a
waterline and soil treatment technology are required. That site would
then have two OUs. One OU, the waterline, would have the full RI/FS -
ROD - RD - RA sequence, and the other, the soil treatment, would have
either the RD - RA event sequence or the ROD - RD - RA event sequence.
• Separate types and sources of contamination. For example, a site may
have a fire training area and a landfill. The cleanup alternatives would be
different for these two areas. The site would have two OUs, both would
have the full RI/FS - ROD - RD/RA event sequence.
D-9 October 1993
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OSWER Directive 9200.3-14-1
Phases
According to the Links Coding Guidance, May 1992, at the RD and RA stages,
an OU may be phased or time-sequenced to accelerate the cleanup effort.
Phasing is the division of a project into meaningful work elements that can
progress on different schedules resulting in the acceleration of the RD and
RA. Large, complex projects (or OUs) may be divided into smaller, more
manageable response elements. Elements may be worked in unison, but each
individual element has its own schedule and moves at its own rate through
the remediation process. The availability of sequence numbers allows the
Regions to track this phasing.
Coding Issues and Resolutions
Site Assessment
In general, site assessment events at a Federal Facility are conducted in the
following pattern:
• Discovery Date (C2101=DS);
• Preliminary Assessment (PA), (C2101=PA);
• Site Inspection (SI), (C2101=SI);
• Hazard Ranking System (HRS) Package Development (C2101=HR);
• Proposed to NPL (C2101=NP);
• Removed from proposed NPL (only if public comments warrant removal
from the proposed NPL), (C2101=NR); and
• Final Listing on NPL (C2101=NF).
Sometimes, multiple PAs can occur at a Federal Facility. Only the first PA
event record (C2101=PA) is necessary to meet the statutory requirements. In
processing reports, therefore, CERCUS/WasteLAN reads only the first PA
event record. For this reason, only one PA event is necessary to be coded per
site in WasteLAN. Federal Facility PAs and Sis will be tracked as an internal
reporting measure in FY 94.
October 1993 D-10
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OSWER Directive 9200.3-14-1
Remedial Coding
In general, remedial events at a Federal Facility follow this pattern:
• RI/FS (C2101=CO);
• ROD (C2101=RO);
• RD (C2101=RD);
• RA (C2101=RA);
• Operation and Maintenance (O&M), (C2101=OM);
• Long-Term Response Action (LIRA), (C2101=LT); and
• Deletion from NPL (C2101=ND).
For the first OU, the RI/FS start date is defined as the date of receipt of the
final RI/FS workplan or the IAG signature date, if RI/FS work started prior to
the completion of the IAG and there was limited EPA involvement.
Removal Coding
Since Irrigative or cost recovery activities are rarely pursued at Federal
Facilities, removal event sequences typically consist only of the removal
event itself (C2101=RV). If a removal is not OU specific, it should be coded at
OU "00". If, however, a removal is conducted in support of a remedy
specified in a ROD, it should be coded at the OU of that ROD.
Enforcement Coding
Usually, enforcement activity at a Federal Facility consists of IAG
negotiations, the resulting IAG, and dispute resolution. lAGs that cover
more than one facility or WasteLAN site should be coded at all applicable
sites (C1701=FI). Enforcement activities at Federal Facilities should be coded
with a "FE" lead in WasteLAN (C1707); all events, including RODs, should be
coded as "FF" lead (C2117). If an IAG is elevated to HQ for resolution, the
Region should code this date as the milestone (C2801) "PH", civil litigation
referred to HQ. Dispute resolution is recorded as an activity (C1701=AD).
D-ll October 1993
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OSWER Directive 9200.3-14-1
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October 1993 D-12
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OSWER Directive 9200.3-14-1
FEDERAL FACILITIES BUDGET AND FINANCIAL
MANAGEMENT
This section discusses Federal Facility budget development and financial
management responsibilities, and the assumptions used in distributing
resources.
FINANCIAL MANAGEMENT RESPONSIBILITIES UNDER A-106
The A-106 Pollution Abatement Plan review process provides a mechanism
for EPA to examine other Federal agencies' budget to ensure that they have
sufficient funding to carry out their environmental projects, including
Superfund-related activities. The A-106 process is primarily a system of setting
priorities to ensure environmental control projects are completed as needed to
meet statutory and regulatory requirements, and to elevate the priority of those
facilities that are out of compliance or will go out of compliance if project
funding schedules are not met. EPA's review of the A-106 report considers the
following:
• All Federal Facilities are included;
• All environmental statutory requirements are addressed;
• Compliance status of facilities;
• Compliance dates;
• Specific projects to be conducted;
• Project adequacy;
• Environmental priority assessment; and
• Estimated cost. (Under forthcoming guidance, EPA's review will focus on
projects with a cost greater than $10 million, Superfund OUs, and other high
priority areas defined by EPA senior management).
EPA Regions and OFFE have recently been requested by the Office of
Management and Budget (OMB) to provide input on other agencies' plans;
consequently, careful review of A-106 Plans is required.
EPA evaluates each project and assesses its priority and compliance status.
Project priorities are described as high priorities, projects considered critical;
medium priorities, projects considered important; and low priorities, projects
considered desirable. The compliance status categories include Class I, which are
D-13 October 1993
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OSWER Directive 9200.3-14-1
projects out of compliance, subject to enforcement, or involve an enforcement
agreement; Class n, projects subject to a compliance deadline in the immediate
future; and Class HI, projects not subject to an imminent compliance
requirement, but considered important.
The A-106 process provides a source of information to support Executive and
Congressional oversight and appropriations hearings for Federal agency
environmental programs. Most importantly, it will establish a critical
evaluative role for EPA throughout project planning and implementation.
OFFE REGIONAL EXTRAMURAL BUDGET PROCESS
Below is an overview of the extramural budget process, including a
discussion of Superfund Comprehensive Accomplishments Plan (SCAP)
targeted and non-targeted activities needing extramural funding; financial
planning and tracking requirements and responsibilities; budget allocation and
AOA distribution; and contract mechanisms. In addition, a brief summary of
Regional/HQ responsibilities during the extramural budget process is included.
There are five basic components to the extramural budget process. These are
1) preliminary budget allocation and distribution; 2) Regional planning against
the preliminary budget; 3) HQ/Regional negotiations; 4) final budget
distribution; and 5) budget execution. Each of these five steps is fully detailed in
the following sections.
Preliminary Extramural Budget Allocation and Distribution
A Region's budget allocation contains the Region's share of available
extramural resources used to support EPA's activities at Federal Facilities on the
NPL. This includes the following:
• LAG negotiations;
• RI/FS oversight;
• RD oversight;
• RA oversight; and
• Program implementation.
The Federal Facilities extramural budget is formulated as follows:
• Preliminary budgets based on a Region's percentage of NPL sites are sent to
the Regions in July. Regions plan their obligations for the upcoming FY
against this budget. Prior to August SCAP negotiations, the Regional plans
October 1993 D-14
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OSWER Directive 9200.3-14-1
are pulled from CERCLIS. During negotiations, each Region's plan is
generally reviewed by HQ to determine if the Region can utilize its budget or
needs additional funding; and
• Each Region's request is reviewed and a final budget/AOA for the Region is
developed in early September. For example, if a Region receives a
preliminary budget of $5 million in May and their site and non-site specific
planned obligations in August total $3 million, $2 million will be reallocated
to Regions with a demonstrated need above their preliminary budget.
Regional Planning Against Preliminary Budget
The goals of the FY 94 Regional extramural budget process are to increase
effectiveness, allow greater flexibility, and provide financial accountability
through WasteLAN. Regions should plan their budget site specifically or use a
combination of site specific and non-site specific planning where actual sites are
undetermined prior to the start of the fiscal quarter. Non-site specific plans
should be replaced with site specific plans when sites are identified.
The Region's FY 94 extramural budget plans must be reflected in CERCLIS by
the August pull date. Details on how to code extramural budget plans in
WasteLAN are presented in Exhibits D-3, D-4, and D-5. It is important that
Regions plan their extramural budget needs and requests against specific sites
and projects where possible. This will enable both the Regions and HQ to
identify Regional priorities and budget needs that exceed the proposed allocation.
Such detail is critical to any attempt by HQ to seek supplemental funding.
Without site specific or project justification, HQ will not consider requests in
excess of the proposed allocation. In addition, throughout the FY, Regions
should ensure that WasteLAN plans are updated to accurately reflect funding
requirements against the available budget.
Because the Regional extramural budget is FY specific, all funding requests
should be limited to only the amount needed during FY 94 (when developing
the FY 94 budget) or FY 95 (when developing the FY 95 budget) except in rare
circumstances, which should be discussed with HQ, or when requesting funds for
RI/FS oversight. In the case of annually priced activities, it is expected that the
funding provided in one FY will support the activity through completion and
that additional funds will not be requested in subsequent FYs.
D-15 October 1993
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I
Exhibit D-3
WASTELAN REGIONAL BUDGET PLANNING INSTRUCTIONS
REMEDIAL EVENTS
(D
n
Remedial Events
Al. Select Remedial from the main menu.
A2. Choose the event type (RI, FS, RD, RA, etc.) from
the remedial menu.
A3. Specify the site by entering the WasteLAN
reference number and verify that the information is
correct.
A4. Choose the correct event by viewing the
next/previous events until the information
matches the desired event.
A5. Choose 'Edit Event'.
A6. Enter a lead (C2117) of 'FF.
A7. Enter the current planned start date (C2130).
A8. Enter the current planned completion date (C2131).
A9. Update/Add the record and then choose 'Financial
System'.
A10. Choose the financial type for planned obligation
(C3202=P).
All. Choose 'A' to add a new financial record.
A12. Enter the planned obligation date (C3218).
A13. Enter the planned amount (C3230).
A14. Enter a 'L' for the Federal Facility budget source
(C3229).
A15. Enter 'APR' or 'ALT' for the funding priority status
(C3225).
A16. Enter the contract vehicle (e.g., MSC##, ARC##)
(C3239.
A17. Enter contractor name (optional) (C3241).
A18. Enter financial comments if necessary (C3242).
A19. Choose 'A' to add record.
-------
Exhibit D-4
WASTELAN CODING INSTRUCTIONS ENFORCEMENT ACTIVITIES
Enforcement Activities
Bl. Select Enforcement from the main menu.
B2. Specify the site by entering the WasteLAN
reference number and verify that the information
is correct.
B3. Choose the activity (Negotiations, etc.) from the
Enforcement menu.
B4. If first entry, choose any activity, then select
menu option to add an activity.
B5. Choose the activity type (C1701).
B6. Choose 'Add' to add an activity if it does not
already exist.
B7. Choose the correct activity by viewing the
next/previous activities until the information
matches the desired activity.
B8. Choose 'Edit' activity.
B9. Enter a lead of TE' (C1707).
BIO. Enter the current planned start date (C1712).
Bll. Update/add the record and then choose
'Budget Financial'.
B12. Choose financial type (C2602) for planned
obligation.
B13. Choose 'A' to add a new financial record.
B14. Enter the planned amount (C2630).
B15. Enter the planned obligation FY/Q (C2618).
B16. Enter a 'L' for the Enforcement budget source
(C2629).
B17. Enter 'APR1 or 'ALT' for the funding priority
status (C2625).
B18. Enter the contract vehicle (e.g., MSC##,
ARC##) (C2639).
B19. Enter financial comments in the 'Note' area if
necessary (C2642).
B20. Choose 'A' to add record.
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-------
Exhibit D-5
WASTELAN CODING INSTRUCTIONS NON-SITE/INCIDENT
Non-Site specific Incidents
Cl. From main menu select CERHELP System.
C2. Select Non-Site/Incident from CERHELP
program screen.
C3. Select Modify/View Activities from the
non-site/incident menu.
C4. Enter the activity in the Non-Site/Incident
Activity Code field (P402).
C5. WasteLAN system generates the current FY, but
the user can overwrite the data in this field if
desired. If the correct activity already exists in
WasteLAN, then proceed with step 6, otherwise
do steps 5a-5d.
C5a. Select Add New Activity.
C5b. Enter 'FE' or 'FF1 as the lead (P404).
C5c. Enter any activity comment desired.
C5d. Select 'A1 to add the record.
C6. Select the specific activity record needed, e.g.,
OH101.
C7. Select financial system.
C.8 Choose financial type for planned obligation
(P1404).
C.9 Select Add New Record.
C.10 Enter the planned obligation FY/Q (P1415).
C.ll Enter financial comments if necessary (P1421).
C12. Enter the planned amount (P1420).
C13. Enter the contract vehicle (e.g., MSC##,
ARC##) (P1408).
C14. Enter contractor name (optional) (P1410).
CIS. Enter an 'L' for the Enforcement fund source
(P1416).
C16. Enter 'APR' or 'ALT' for the funding priority
(P1419).
C17. Enter the number of sites where funds are
planned for that activity (P1417).
C18. Choose 'A' to add record.
n
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OSWER Directive 9200.3-14-1
It is recognized that Regions may have to shift funds in order to fund priority
activities or events. The Priority Funding Status field (C2625, C3225, or P1419)
should be used to indicate both requests within and above Regional allocations.
This status should be reviewed and monitored on a regular basis to ensure the
availability of funds and identification of supplemental needs.
Since the extramural budget is to be managed at the overall or bottom line
level, Regions must consider both their actual allocation and funding priorities
when planning their budgets. In addition, average pricing factors and budget
categories should be considered when determining site and Regional funding
requirements.
To determine the proper funding status code (C2625, C3225, or P1419), the
activity/event must be identified as a primary or alternate target/project
(Activity/Event Planning Status - C1725 or C2110). If it is an alternate
target/project, the entire funding request should be coded as "ALT" (alternate).
To determine the funding status for primary targets/projects, the total of all the
requests must be considered. If the total request does not exceed the available
budget, the funding status codes may be "APR" (approved). If, however, the
budget is exceeded, the planned obligation should be coded as "ALT". The
approved plans must not exceed Regional allocations. AOAs will not be
distributed to Regions with approved planned dollars totaling more than the
available budget.
Final Extramural Budget Distribution
Approximately fifteen days prior to the beginning of the quarter, HQ will
indicate the approved quarterly budget levels in CERHELP. AOAs will be
displayed as approved amounts by quarter. HQ will not send out a
memorandum containing the approved amounts. A Region's "APR" planned
obligations must not exceed their approved budget for the upcoming quarter. In
order to receive its allowance, a Region must have updated quarterly planned
obligations for those amounts in CERCLIS by the specified pull date.
Quarterly AOAs will be issued based on Regional quarterly plans reflected in
CERCLIS. The dates for pulling data to generate of the AOA can be found in the
Manager's Schedule located at the beginning of Volume I of this Manual.
Regions should plan on obligating approximately 35 percent of their extramural
budget in the first quarter, 15 percent in the second, 25 percent in the third and 25
percent in the fourth. Regions may receive a higher percentage of funds in a
quarter only after discussions with HQ.
The purpose of the allocation strategy is to allow more accurate planning of
resources and ensure the availability of resources when they are needed. As
D-19 October 1993
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OSWER Directive 9200.3-14-1
budget utilization will be measured against quarterly plans, Regions should
request extramural budget funds the quarter in which they will be utilized.
Budget Execution
Ensuring the availability of funds when they are needed is crucial to the
success of the Federal Facilities program. Regions should do their best to use
extramural budget funds in the quarters in which they are planned.
To offer a credible argument for supplemental funds, it is imperative that the
Regions show adequate utilization of available resources. Close monitoring and
management of the Regional extramural budget is, therefore, essential. Outlined
below are the major steps of the budget execution processes that must be
followed to manage extramural budget resources.
Regional Information Management Coordinators (IMCs) should provide
Regional Project Officers (RPOs) with CERCLIS reports showing planned
funding, by site, for the current year (SCAP-4F, for example) so RPOs will know
what sites and activities have approved funding plans when the Remedial
Project Managers (RPMs) request contractor assistance.
Federal Facility Contractor Resources
Once quarterly AOAs are received by the Region at the beginning of the fiscal
quarter, the contract obligations may be initiated. In addition to EPA in-house
staff, resources for providing oversight of Federal Facility cleanup activities
include:
• Alternative Remedial Contracting Strategy (ARCS) Contractors - This
contract can be used for technical services, including well drilling and
monitoring, geophysical investigative support, sampling and sample
analyses, engineering analyses, geotechnical consulting services, review of
technical documents, and field oversight;
• States - States have the ability to do a variety of Superfund work, including
well drilling and monitoring, geophysical investigative support, sampling
and sample analyses, engineering analyses, review of technical documents,
and field oversight;
• Site specific contracts, including 8(a) designated contractors - Can be used for
actions that are straightforward or uncomplicated. These contracts take about
four months' to award and are desirable because they promote competition.
They can be used for oversight support, records management, sampling, and
other activities; and
October 1993 I>20
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OSWER Directive 9200.3-14-1
• Remediation Oversight Contracts (ROCs) - OFFE is currently overseeing the
procurement of ROCs to support EPA's oversight and compliance
monitoring, primarily at Federal Facilities. These contracts will be arranged
in Regional zones and be managed by a RPO in each Region and a HQ
Contracting Officer (CO). These contacts will also have zone cross over
capabilities. The ROC contracts are expected to be awarded during FY 94.
Contract Obligations
Procurement Requests (PR) committing funds to any of the contracts
discussed above should be site or activity specific. RPOs will send the PRs to
the HQ or Regional COs to obligate funds for the specific assistance needed.
Obligations are made to contracts when the CO signs the contract or
modification of the contract to include the new funds. RPOs make sure that
the PRs are committed by their Financial Management Officers (FMOs) in the
Automated Data Control Register (ADCR) before sending them to the CO.
Obligations for Other Financial Vehicles
If the State will be performing the oversight work, a Cooperative Agreement
(CA) is required. Like the PR, the CA is written for a specific activity or event
to be performed at the site. A CA requires the preparation of a Commitment
Notice (CN) and the CA funding document. Funds are obligated and
available for use by the State when the CA is signed by the Regional
Administrator or his/her designee.
AOA Utilization
The measure of AOA utilization is the commitment/obligation of funds into
the various financial vehicles. The total of the commitments/obligations
represents the amount of the AOA which has been put into the financial
vehicles to fund EPA's work at the site. The total of commitments and
obligations, therefore, should not exceed the AOA issued to date. Regions
should review planned contract usage and apportion funds to the contracts
accordingly.
Budget Utilization
To examine overall budget utilization a more detailed analysis of
commitments/obligations is required. CERCLIS is used to track and measure
AOA and budget utilization and contract obligations. Regions are responsible,
therefore, for entering the following data into WasteLAN:
• "APR" and "ALT" plans (C2625, C3225, or P1419);
• "XYP" commitments/decommitments and obligations/deobligations; and
D-21 October 1993
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OSWER Directive 9200.3-14-1
• Program management commitments /decommitments and
obligations/deobligations.
Instructions for coding commitments and obligations can be found in Exhibits
D-6 and D-7.
Regions, as the allowance holders, are responsible for fully managing
extramural budget data in WasteLAN. The strategy to accomplish this requires
close monitoring of planning and obligation data. "Approved" (APR) planned
obligations in present or future quarters will indicate requests not yet used.
Regions, therefore, must closely monitor planning data and actual usage. If
planned obligations are not "used" by the end of the quarter, they should be
moved to a subsequent quarter for the same or different site. If funds are "used,"
the planning record or the "APR" flag (C2625, C3225, or P1419) must be deleted.
Either of these options will prevent current quarter committed funds from
showing on standard reports. Regions should, however, be consistent in either
deleting the planned record or the "APR" flag for all sites.
Disbursements
Although commitments/obligations will be used to measure budget
utilization, disbursements will also be reviewed as a further measure of budget
utilization. It is important that contractor invoices are received and processed in
a timely manner. Disbursements are recorded in the Integrated Financial
Management System (IFMS) and directly linked to the site and work being
performed. The disbursements may be compared with the planned amounts or
requests.
October 1993 D-22
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Exhibit D-6
WASTELAN CODING INSTRUCTIONS FOR COMMITTING/OBLIGATING FUNDS
REMEDIAL EVENTS
9
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Al. Select Remedial from the main menu.
A2. Choose the event type (RI/FS, RD, RA, etc.) from
the remedial menu.
A3. Specify the site by entering the WasteLAN
reference number and verify that the information
is correct.
A4. Choose the correct OU by selecting next/previous
OU until the screen information matches the PR.
Then choose 'View/Edit Events'. If there is no
event then choose 'Add' to add a new event.
A5. Choose the correct event by viewing the
next/previous events until the information
matches the PR. Then choose 'Financial System.'
A6. Choose financial type (C3202) of commitment/
decommitment or obligation/deobligation.
A7. Choose 'A' to add a new financial record.
A8. Enter date the Funds Certifying Officer (FCO)
or CO signed the PR (C3220).
A9. Enter the amount from the PR (C3230).
A10. Enter a 'L' based on Funding Source (C3229).
All. Enter the Account Number (AN) from the PR
(3204).
A12. Enter the Document Control Number (DCN)
from the PR (C3203).
A13. Enter the contractor information (C3239).
A14. Enter contractor name (optional) (C3241).
A15. Enter the object class from the PR (C3208).
A16. Enter financial comments if necessary (C3242).
A17. Choose 'A' to add record.
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Exhibit D-7
WASTELAN CODING INSTRUCTIONS FOR COMMITTING/OBLIGATING FUNDS
ENFORCEMENT ACTIVITIES
NJ
Bl. Select Enforcement from the main menu.
B2. Choose the activity group (Negotiations, etc.)
from the Enforcement menu.
B3. Choose the activity type (C1701).
B4. Choose 'Add1 to add an activity if one does not
already exist.
B5. Specify the site by entering the WasteLAN
reference number and verify that the information
is correct.
B6. Choose 'Budget Financial' from the activity menu.
B7. Choose financial type (C2602) of commitment/
decommitment or obligation/deobligation
B8. Choose 'Add' to add a new financial record.
B9. Enter the amount from the PR (C2630).
BIO. Enter date the FCO or CO signed the PR
(C2620).
Bll. Enter a 'L' based on Funding Source (C2629).
B12. Enter the contractor information (C2639 and
C2641).
B13. In the financial note field, enter AN in the first
10 characters. Then enter a single space and
enter the DCN (C2642).
B14. Choose 'A' to add record.
-------
OSWER Directive 9200.3-14-1
HQ/Regional Adjustment
Throughout the FY, Regions must show adequate utilization of their
extramural budget. Prior to requesting additional funds, Regions should ask the
following questions:
• Have all the funds in the current AOA been obligated?
• Can funds be deobligated and recertified to the Region's AOA?
• Will all funds planned for obligation in future quarters not be used as
originally planned? If not can they be moved to current quarters?
• Can activities be incrementally funded?
HQ must know that the Region is fully using its AOA before it can entertain
additional extramural budget requests. Consequently, it is imperative that
CERCLIS consistently reflect obligations. Additional requests for contingency
funds being held at HQ will be reviewed on the basis of need, other Regions'
needs, and the amount of dollars available.
The Regional extramural budget will be reviewed at mid-year. A Region may
carry unused funds in its AOA to subsequent quarters; however, Regions that
have not been using their allowance risk the loss of their entire third and fourth
quarter AOA. Regions must obligate 60-65 percent of their current year AOA in
the first and second quarter in order 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.
Responsibilities
To manage the extramural budget it is essential that Regional IMCs, RPOs,
and HQ and Regional CO responsibilities are well coordinated. It is imperative
that all transactions are recorded in CERCLIS/WasteLAN promptly. RPOs must
report obligations to the IMCs. IMCs, in turn, must provide extramural budget
planning reports to RPOs and ensure accurate data entry into WasteLAN.
WasteLAN and CERCLIS are the only place where AOA funding and obligations
are shown together. Exhibit D-8 summarizes RPO and IMC responsibilities,
while Exhibit D-9 describes general Regional and HQ responsibilities.
D_25 October 1993
-------
OSWER Directive 9200.3-14-1
Exhibit D-8
RPO/IMC EXTRAMURAL BUDGET RESPONSIBILITEIS
u
•May/
June
— July
~~ August
'September
1
Regional HQ
Responsibilities Responsibilities
i
1
Indicate Federal Facility
Budget Needs within
Above Allocation (ALT);
Plan SC AP Activities
Regional/HQ Conference Calls
SCAP Negotiations
Revise Requests in
Negotiations
Direct entry of Obligations fc
(CAsandPRs) ~^"
Adjustment of Federal Facility
Budget Plans Based on Budget _fc>
Execution ~^^
(at least quarterly)
f Reports )^
1
1
w|c
1
A'E
i
S|R
i
T|C
E!L
Ljl
A!S
N'I
i
i
Genei
Work
^ RPVIP
Accor
Deteri
Supp]
Calculate Preliminary
Allocations to
Regions, Possible
Adjustments to
Dollars and /or
Contract Mechanism;
Notification to
Regions of
Preliminary Federal
Facility Budget
Allocation
ate Region's Proposed
oad and Budget;
w Past Regional
nplishments;
[lunation on
emental Request
Regional/HQ Conference Calls
SCAP Negotiations
Nob
fication to Regions of
:ederal Facility Budget
Allocation
.__ — _ — — __
fc- C
^ PI
C
Review Regional
Obligations and Revise
ans in Accordance with
uidance and Changing
Program Priorities.
^" Reports ^
October 1993
D-26
-------
OSWER Directive 9200.3-14-1
EXHIBIT D-9
REGIQNAL/HQ EXTRAMURAL BUDGET RESPONSIBILITIES
Regional Responsibilities
HQ Responsibilities
Submit extramural budget requests
(through CERCLIS) in response to
Regional allocations calculated by
HQ. Identify approved and
alternate funding needs.
Negotiate activity targets and
extramural budget dollars at August
SCAP negotiations.
Calculate Regional allocations based
on number of sites on the NPL
Review Regional extramural budget
requests submitted through
CERCLIS in response to allocations
(July). Assess initial need for
supplemental funding request.
Confer with Region as necessary.
Proceed, if necessary, with
supplemental funding request.
Determine final allocations at
August SCAP negotiations
Receive extramural budget AOA.
Manage extramural budget within
the approved bottom-line allocation.
Enter obligations into WasteLAN as
they occur.
Negotiate mid-year adjustments.
Distribute AOA to the Regions.
Negotiate mid-year adjustments.
Review Regional budget execution
against allocations. Generate
CERCLIS reports in response to
extramural budget management
needs.
D-27
October 1993
-------
OSWER Directive 9200,3-14-1
Federal Facility Financial Reports
Federal Facility activities requiring Regional extramural budget funds must be
coded accurately. To enhance financial planning data quality, financial reports
are being developed for both Regional and HQ use. A financial planning and
management report will be located on the main CERCLIS menu, under "SCAP".
The user is prompted for a Region, sort criteria, and FY when selecting one of
these reports. Following is a description of this report:
• SCAP-4F will indicate all current or future plans and commitments/
obligations. This report is the standard report that will be used in
balancing the Federal Facility budget. It will also show budget utilization
and remaining planned obligations.
FEDERAL FACILITY RESOURCE DISTRIBUTION
Currently, OFFE has a workload model that is based on the Regional
distribution of Federal Facility sites on the NPL in 1990. As is the case for the rest
of the Agency, resources for oversight of Federal Facility activities have been
frozen for the past three years. OFFE is working toward revising the model such
that it will reflect pricing factors for their four program priority areas: base
closures, Formerly Used Defense Sites (FUDS), "typical" sites, and mega-sites.
Distribution of resources using the new model, is expected in FY 95.
OWPE REORGANIZATION
During the development of this Manual the Administrator was evaluating
options for the integration and reorganization of OWPE and OE. At the time of
printing, a decision has been made to form the Office of Enforcement and
Compliance Assurance (OECA). Though the Superfund enforcement goals and
priorities and general policies and procedures are not expected to be affected by
the reorganization, the HQ contacts and the specific requirements for transferring
information and documents from the Regions to HQ will probably be revised. In
this manual, OECA is used as the Regional contact point for all Superfund
enforcement issues.
At the time of this printing, it is unknown how this change will affect OFFE.
When OECA's roles and responsibilities have been defined and new procedures
developed, an addendum to the Manual may be issued.
October 1993 D-28
-------
OSWER Directive 9200.3-14-1
FEDERAL FACILITIES FY 94 SCAP/STARS TARGETS AND
MEASURES
OVERVIEW
SCAP and Strategic Targeted Activities for Results System (STARS) targets
are the tools by which program goals are translated into quantifiable program
achievements. Regions should concentrate their resources on achieving targets
negotiated and set by HQ and the Regions.
STARS is used by the Administrator to set and monitor the progress each
program is making toward meeting its environmental goals. SCAP is used by
OFFE, the Assistant Administrator for the Office of Solid Waste and Emergency
Response (AA OSWER), A A for OE, and senior Superfund managers to
monitor the progress each Region is making towards its Superfund goals.
National and Regional STARS goals are established and tracked through SCAP.
STARS targets are a subset of those contained in SCAP.
SCAT/STARS TARGETS AND MEASURES
A SCAP or STARS target (either semi-annual or annual) is a pre-determined
numerical goal established prior to the FY to ensure that designated activities will
take place. STARS targets and measures track the program's priorities. All STARS
targets are SCAP targets. Regions are evaluated on a semi-annual basis according
to their completion of activities within established target areas.
A SCAP or STARS measure is used to track an activity that is important in
monitoring overall program progress. The two types of measures are SCAP
planning/reporting measures and STARS reporting. Planning estimates result in
numerical goals established prior to the FY. Regions report progress against the
planning estimates. STARS reporting measures have no associated quantitative
goals; only actual accomplishments are tracked.
SUMMARY OF FY 94 FEDERAL FACILITIES TARGETS/MEASURES
The following pages contain, in pipeline order, the definitions of the FY 94
Federal Facilities SCAP/STARS targets and measures. Exhibit D-10 displays the
full list of Federal Facilities that are defined in the remainder of the Appendix, and
identifies the FY 94 SCAP/STARS targets and measures. Exhibit D-ll provides a
crosswalk of the FY 94 Federal Facilities targets and measures. FY 94 targets and
measures that are similar to those in FY 93 are identified. Exhibit D-12, at the end
of this Appendix, describes the planning requirements for Federal Facilities events.
D_29 October 1993
-------
OSWER Directive 9200.3-14-1
EXHIBIT D-
FEDERAL FACILITIES
10
ACTIVITIES
Targeted/Reported
Semi-Annual Annual
FF-1 • Base Closure Decisions
FF-2 • FFA/IAG
FF-3 • FFA/IAG Completions
FF-4 • Federal Facility
Dispute Resolution
FF-5 • RI/FS Starts (First
and Subsequent)
FF-6 • Timespan from NPL
Listing to RI/FS Start
FF-7 • RI/FS Completions
(RODs) (First and Subsequent)
RI/FS Duration
FF-9 • RD Starts (First
and Subsequent)
FF-10 • RD Completions
(First and Subsequent)
FF-11 • RD Duration
FF-12 • RA Starts
(First and Subsequent)
FF-13 • Timespan from ROD
Signature to RA Start
FF-14 • RA Completions
(First and Subsequent)
FF-15 • Final RA Completion
FF-16 • RA Duration
FF-17 • Timespan from RI/FS
Start to RA Complete
FF-18 • Removal/ERA/RCRA
Corrective Action Starts &
Completions
FF-19 • Federal Facility NPL Deletior
October 1993
D-30
-------
OSWER Directive 9200.3-14-1
EXHIBIT D-ll
FEDERAL FACILITY TARGET/MEASURE CROSSWALK
FY 94 Target/Measure
Equivalent FY 93
Target/Measure
Comments
FF-1 • Base Closure
Decisions (STARS/SCAP
measure)
None
Mew
FF-2 • FFA/IAG Start
(SCAP measure)
IAG Start
(STARS/SCAP target)
This activity is changed
from a STARS/SCAP
target to a SCAP
measure.
FF-3 • FFA/IAG
Completions (SCAP
measure)
IAG Completions at NPL
or Proposed NPL Sites
(STARS/SCAP target)
This activity is changed
from a STARS/SCAP
target to a SCAP
measure. This definition
has been revised.
FF-4 • Dispute Resolution
(STARS/SCAP measure)
None
New
FF-5 • RI/FS Starts - First
and Subsequent (SCAP
target)
First RI/FS Start (SCAP
target)
Subsequent RI/FS Start
(SCAP target)
No change.
FF-6 • Timespan from
NPL Listing to RI/FS
Start (SCAP measure)
Federal Facility Listing
to RI/FS Start Duration
(SCAP measure)
No change.
FF-7 • RI/FS
Completions (RODs)
First and Subsequent
(STARS/SCAP target)
Federal Facility
Remedy Selection at
NPL Sites - First and
Subsequent
(STARS/SCAP target)
' First Federal Facility
RODs (SCAP target)
> Subsequent Federal
Facility RODs (SCAP
target)
No change.
FF-8 • RI/FS Duration
(SCAP measure)
FF-9 • RD Starts First
and Subsequent (SCAP
measure)
RI/FS Duration (SCAP
measure)
No change.
• First RD Start (SCAP
target)
• Subsequent RD Start
(SCAP target)
This activity has been
changed from a SCAP
target to a SCAP measure.
The RD start date for work
beginning prior to the
ROD has changed.
D-31
October 1993
-------
OSWER Directive 9200.3-14-1
EXHIBIT D-ll (continued)
FEDERAL FACILITY TARGET/MEASURE CROSSWALK
FY 94 Target/Measure
Equivalent FY 93
Target/Measure
Comments
This activity is changed
from a SCAP target to a
SCAP measure.
FF-10 • RD Completions
First and Subsequent
(SCAP measure)
First RD Completions
(SCAP target)
Subsequent RD
Completions (SCAP
target)
FF-11 • RD Duration
(SCAP measure)
Federal FArility RD
Start to RD Complete
Duration (SCAP
measure)
No change.
FF-12 • RA Starts First
and Subsequent
(STARS/SCAP measure)
RA Start
(STARS/SCAP target)
First RA Start (SCAP
target)
Subsequent RA Start
(SCAP target)
This activity is changed
from a STARS/SCAP
target to a STARS/SCAP
measure.
FF-13 • Timespan from
ROD signature to RA
Start (SCAP measure)
ROD to RA Start
Duration (SCAP
measure)
No change.
FF-14 • RA Completions
First and Subsequent
(STARS/SCAP target)
First RA Completion
(SCAP measure)
This activity is changed
from a SCAP measure to
a STARS/SCAP target.
This activity is changed
from a SCAP measure to a
SCAP target.
No change.
FF-15 • Final RA
Completion (SCAP target)
Final RA Completion
(SCAP measure)
FF-16 • RA Duration
(SCAP measure)
Federal Facility RA
Start to RA Complete
Duration (SCAP
measure)
FF-17 • Timespan from
RI/FS Start to RA
Completion (SCAP
measure)
Federal Facility RI/FS
Start to RI/FS
Complete Duration
(SCAP measure)
No change.
FF-18 • Removal/ERA/
RCRA Corrective Action
Starts and Completions
(STARS/SCAP measure)
Federal Facility
Removal/ERAs
(STARS/SCAP
measure)
Addition of RCRA
Corrective Action starts
and completions.
FF-19 • Federal Facility
NPL deletion (SCAP
measure)
Federal Facility NPL
Deletion (SCAP measure)
No change.
October 1993
D-32
-------
OSWER Directive 9200.3-14-1
STARSISCAP ICONS
For easy identification of STARS/SCAP targets and measures, each
STARS/SCAP activity or duration is identified by an easily recognizable icon.
Each icon identifies an activity or duration as a target or measure, and whether
it is tracked through STARS and/or SCAP. The icons are as follows:
STARS/SCAP
Target
STARS/SCAP
Measure
SCAP Target
SCAP
Measure
FEDERAL FACILITIES DEFINITIONS
FF-1 • Base Closure Decision
Definition:
A base closure decision is when EPA is involved with land transfer decisions
and clean parcel determinations at closing or realigning military bases.
Definition of Accomplishment:
Base Closure Decision Start Date: Date a facility or a parcel is identified as a
candidate to be transferred by deed or lease (e.g., Environmental Baseline
Survey (EBS) submitted) or a clean parcel is identified as required by the
Community Environmental Response Facilitation Act (CERFA), or the other
Federal agency submits a written request for concurrence on suitability to
transfer or lease.
Base Closure Decision Completion Date: Date EPA responds to the Facility after
review of a proposed lease or other land transfer document or date EPA
concurs on a clean parcel identified under CERFA.
Changes in Definition FY 93 - FY 94:
New SCAP/STARS measure for FY 94.
D-33
October 1993
-------
OSWER Directive '200.S 14-1
Special Planning/Reporting Requirements:
This information cannot be collected through CERCUS/WasteLAN. Regions
should submit a memo outlining Base Closure Decision accomplishments to the
OFFE at the end of the second and fourth quarter.
FF-2 • Federal Facility Agreements/lAG Start
Definition:
FFAs/IAGs are legally binding documents that set forth detailed requirements
for performance of site response activities, as well as, appropriate enforcement
responses to non-compliance with the FFA/IAG. Under CERCLA Section 120,
Federal agencies are required to enter into an FFA/IAG with EPA within six
months of completing the RI/FS. However, as a matter of policy, HQ
encourages the Regions to enter into an IAG as soon after NFL listing as
possible.
Definition of Accomplishment:
FFA/IAG Start Date: Date notice letter is sent by EPA to the Federal Facility,
reported in WasteLAN as the actual start date.
Changes in Definition FY 93 - FY 94:
This activity is changed from a STARS/SCAP target to a SCAP measure.
Special Planning/Reporting Requirements:
FFA/IAG negotiations will be tracked as IAG Negotiations (C1701 = IN). This is a
SCAP reporting measure.
FF-3 • Federal Facility Agreements/lAG Completion
Definition:
FFA/IAGs are legally binding documents that set forth detailed requirements for
performance ol site response activities, as well as appropriate enforcement responses
to non-compliance with the FFA/IAG.
October 1993 D-34
-------
OSWER Directive 9200.3-14-1
Definition of Accomplishment:
FFA/IAG Completion Date: Date the Federal agency, EPA, and/or State sign the IAG,
the date the Letter of Intent is signed by all parties, or the date the IAG is signed by
all parties (generally prior to the start of a public comment period), whichever is
earliest. This date must be reported in WasteLAN as the actual completion date.
Changes in Definition FY 93 - FY 94:
Omitted many accomplishment dates. This activity is changed from a STARS/SCAP
target to a SCAP measure.
Special Planning/Reporting Requirements:
FFA/IAG negotiations will be tracked as LAG Negotiations (C1701 = IN). Also, for
those FFAs/IAGs that are elevated for dispute resolution, record the date elevated
as the milestone date, Civil Litigation Referred to HQ (C2801 = PH), and not as the
FFA/IAG completion date. This is a SCAP reporting measure.
FF-4 • Federal Facility Dispute Resolution
Definition:
When the Federal agency, State, and/or EPA make an effort to resolve an
IAG/FFA dispute, informally or formally.
Definition of Accomplishment:
Dispute Resolution Start Date: Date that any party to the FFA/IAG sends a letter
to the other parties notifying them as to the issue in dispute. This is reported in
WasteLAN as the actual start date.
Dispute Resolution Completion Date: Date the document resolving the issue is
signed (e.g., letter of agreement, agreement document). This is reported in
WasteLAN as the actual completion date.
Changes in Definition FY 93 - FY 94:
New STARS/SCAP measure for FY 94.
Special Planning/Reporting Requirements:
Federal Facility Dispute Resolution is reported in WasteLAN as Alternative Dispute
Resolution (C1701=AD). This is a SCAP/STARS reporting measure.
r>.35 October 1993
-------
OSWER Directive 9200.3-14-1
FF-5 • RI/FS Starts — First and Subsequent
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.
In order for the RI/FS to be counted as a first start it must not have had
previous RI/FS activity at the site. A subsequent RI/FS is any RI/FS that starts
after the first one.
Definition of Accomplishment:
The RI/FS start is defined as follows:
• Sites where there has been no RI/FS work started prior to the effective date of the
FFA/IAG, the actual start date is receipt of final work plan.
• Sites where RI/FS work has been started prior to the FFA/IAG effective date and
there has been substantial EPA involvement (EPA has reviewed and commented,
approved/concurred or accepted the workplan), the actual start date is also the
date of receipt of final RI/FS work plan.
• Sites where RI/FS work starts prior to the FFA/IAG effective date and there has
been limited EPA involvement, the date of the RI/FS actual start is the date of the
FFA/IAG completion.
• Sites where RI/FS work is initiated under a RCRA order or permit, the RI/FS
actual start date should equal the date when the RCRA order or permit becomes
effective.
Subsequent RI/FS starts count on the date of receipt of the work plan which
addresses the subsequent RI/FS. For cases where the subsequent RI/FS is
described in the same work plan as the first RI/FS start, the subsequent RI/FS
actual start date is the same as the first RI/FS actual start date.
Changes in Definition FY 93 - FY 94:
The start date for sites where work begins prior to the FFA/IAG, and/or where
there has been substantial EPA involvement, has been changed.
Special Planning/Reporting Requirements:
This is a SCAP target. RI/FS start dates are reported site specifically
(C2101 = CO) in WasteLAN.
October 1993 D-36
-------
OSWER Directive 9200.3-14-1
FF-6 • Timespan From NPL Listing To RI/FS Start
Definition:
CERCLA/Superfund Amendments and Reauthorization Act (SARA) Section
120(e) states "not later than six months after the inclusion of any facility on the
NPL, the department, agency, or instrumentality shall... commence a RI/FS for
such facility."
Definition of Accomplishment:
This measure will calculate by site the interval between final NPL listing
(publication of final listing in the Federal Register) and the first RI/FS start. The
timespan will be calculated based on the RI/FS start definition outlined in this
Manual and the final NPL listing date (C2101 = NF).
Changes in Definition FY 93 - FY 94:
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. Data in CERCLIS will be used to calculate the
timespan. HQ will perform the analysis.
FF-7 • RI/FS Completions (RODs) - First and
Subsequent
Definition:
Upon completion of a Federal Facility RI/FS, the Federal agency selects a
remedy for the OU that is presented in a cleanup decision document (i.e., ROD,
Corrective Action Decision Document). This document is concurred upon or
approved by either the AA for the OE or the Regional Administrator/Deputy
Regional Administrator.
Definition of Accomplishment:
Date of EPA approval/concurrence on the clean-up decision document
pursuant to an FFA/IAG or other enforceable decision document, or the date of
EPA's Letter of Concurrence.
This date must be entered in WasteLAN as both the RI/FS and ROD actual
completion date (C2101 = CO and C2101 = RO).
Changes in Definition FY 93 - FY 94:
D-37 October 1993
-------
OSWER Directh e 9200.3-14-1
Special Planning/Reporting Requirements:
See Definition of Accomplishment. This is a STARS/SCAP target.
FF-8 • RI/FS Duration
Definition:
The RI/FS is an investigation designed to characterize the site, assess the nature
and extent of contamination, evaluate potential risks to human health and the
environment, and develop and evaluate potential remediation alternatives.
The objective of this measure is to focus on good project management of a
critical portion of the remedial pipeline and establish a methodology which
accurately assesses program performance. Duration trends provide indicators
of areas mat require attention. Only RI/FS projects that started post-SARA will
be evaluated.
Definition of Accomplishment:
The RI/FS duration is calculated based on the SCAP/STARS RI/FS start and
completion definitions specified above. All sites where the RI/FS is actually
completed in FY 94 will be used in the analysis. Performance will be assessed
by comparing:
• The Regional and national average duration of RI/FS projects completed in
FY91,FY92andFY93.
• The Regional and national average duration of RI/FS projects completed in
previous quarters of FY 94.
Changes in Definition FY 93 - FY 94:
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. Data in CFJRCLJS will be used to calculate
durations. HQ will perform the analysis.
October 1993 D-38
-------
OSWER Directive 9200.3-14-1
FF-9 • RD Starts — First and Subsequent
Definition:
The RD establishes the general size, scope, and character of a project, and
details and addresses the technical requirements of the RA selected in the ROD.
The RD may include, but is not limited to, drawings, specification
documentation, and statement of bidability and constructability.
Subsequent RD starts occur at NPL sites where previous RD activity has taken
place.
Definition of Accomplishment:
If post-ROD, the RD start date is the date of submission of the RD work plan or
other appropriate documents or statement of work (reported in WasteLAN as
an actual start). If work begins prior to the ROD, the RD actual start date will
be the same as the ROD date or the submission date of RD work plan or any
other major deliverable (e.g., 30% design complete).
Changes in Definition FY 93 - FY 94:
Changes were made to the start date when work begins prior to the ROD. This
activity is a SCAP measure instead of a SCAP target.
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. RD starts are reported site specifically (C2101
RD) in CERCLIS.
FF-10 • RD Completions - First and Subsequent
Definition:
An RD is complete when the plans and specifications for the selected remedy
are developed.
Definition of Accomplishment:
The date of EPA approval of the final RD package or when the design package
goes out to bid if EPA does not "approve" the entire final RD package. This
date is reported in WasteLAN as the actual completion date.
October 1993
-------
OSWER Directive 9200.3-14-1
Changes in Definition FY 93 - FY 94:
Credit is also given when the design package goes out to bid if EPA does not
approve the final RD package. This activity is a SCAP measure instead of a
SCAP target.
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. RD completions are reported site
specifically (C2101 = RD) in WasteLAN.
FF-11 • RD Duration
Definition:
The RD is an essential component of the remedial pipeline which links the
execution of a decision document with the initiation of remedial construction
activities. Initiation of the RA depends upon completion of an acceptable RD
which reflects the chosen remedy. Additionally, CERCLA/SARA Section
120(e) states that "substantial, physical, on-site RA shall be commenced at each
facility not later than 15 months after completion of the investigation and
study." Hence, it is necessary to manage the duration of the RD to ensure that
the statutory requirement described above is met and that overall the remedial
timeframes are minimized.
Definition of Accomplishment:
This measure examines performance at a Federal Facility by analyzing the
average length of a RD for sites with actual RD completion in FY 94. Duration
will be calculated using the actual RD start date and actual RD completion
dates in CERCLIS. For sites where the ROD leads to RDs at different OUs,
Links data will be used. The RD start and RD completion definitions contained
in this Manual wiU be used for the analysis.
Changes in Definition FY 93 - FY 94:
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. CERCLIS will be used to calculate durations.
HQ will perform the analysis.
October 1993 D-40
-------
OSWER Directive 9200.3-14-1
FF-12 • PA Starts — First and Subsequent
Definition:
An RA start is the implementation of the remedy selected in the ROD at NPL
sites to ensure protection of human health and the environment,
Definition of Accomplishment:
Date on which substantial, continuous, physical, on-site, remedial actions begin
pursuant to SARA Section 120(e). This date is reported in WasteLAN as the
actual RA start date.
Changes in Definition FY 93 - FY 94:
This activity is a STARS/SCAP measure instead of a STARS/SCAP target.
Special Planning/Reporting Requirements:
This is a STARS/SCAP reporting measure. RA starts are reported site
specifically (C2101 = RA) in WasteLAN.
FF-13 • Timespan from ROD Signature to RA Start
Definition:
The objective of this measure is to focus on good project management of critical
portions of the remedial pipeline, particularly the period between ROD and RA
start.
CERCLA/SARA Section 120(e) states that "substantial, physical, on-site
remedial action shall be commenced at each Federal Facility no later than 15
months after completion of the investigation and study." This measure will
track compliance against CERCLA Section 120 statutory requirements.
Definition of Accomplishment:
This measure will look at Regional performance by comparing the average
timespan from ROD signature to RA start for all sites where an RA actually
started in FY 94 to:
• The Regional and national average timespan from ROD signature to RA
start in FY 91, FY 92 and FY 93; and
T>4i October 1993
-------
OSWER Directive 9200.3-14-1
• The Regional and national average timespan from ROD signature to RA
start in previous FY 94 quarters.
The durations will be calculated using the actual ROD completion dates and
the actual RA start dates in CERCLIS. The ROD signature (RI/FS Completion)
and RA start definition contained in this Manual will be used in the analysis.
Changes in Definition FY 93 - FY 94:
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. Data in CERCLK will be used to calculate the
timespan. HQ will perform the analysis.
FF-14 • RA Completions • First and Subsequent
Definition:
A first and subsequent RA is complete when construction activities are
complete, a final inspection has been conducted, and a RA Report has been
prepared and approved by the EPA. This report summarizes site conditions
and construction activities for the OU.
Definition of Accomplishment:
The date that the designated Regional official (Branch Chief or above) signs a
letter accepting the RA Report for the first or subsequent RA. The Federal
Facility's construction manager submits a signed RA report to document the
completion of all construction activities for that OU, and that the remedy is
O&F. In lieu of a report from the contractor's construction manager, the Region
must prepare a report to document the completion. The appropriate date must
be recorded in WasteLAN as the actual completion of the RA event.
Changes in Definition FY 93 - FY 94:
This is a SCAT/STARS target instead of a SCAP measure.
Special Planning/Reporting Requirements:
This is a STARS/SCAP target. RA completions are reported site specifically
(C2101 = RA) in WasteLAN.
October 1993 D-42
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OSWER Directive 9200.3-14-1
FF-15 • Final RA Completion
Definition:
A final RA is complete when:
• Construction for all OUs is complete;
• A pre-final inspection has been conducted;
• A Preliminary Site Close-Out Report has been prepared. This report
documents the completion of physical construction, summarizes site
conditions and construction activities and, as appropriate, provides the
schedule for the joint final inspection, approval of the O&M work plan, and
establishment of institutional control. The date of the Preliminary Close-
Out Report must be reported in WasteLAN as the actual completion of the
RA Subevent, "Preliminary Close-Out Report Prepared" (C2101 = RA and
C3101 = CC);
• A final inspection has been conducted;
• The remedy is O&F;
• A letter accepting the RA report has been signed by the designated Regional
official. The date of the letter is entered into WasteLAN as the RA
completion date (C2101 = RA); and
• A Final Superfund Site Close-Out Report has been prepared.
Definition of Accomplishment:
The final RA is complete on the date the Regional Administrator signs the Final
Superfund Site Close-Out Report documenting completion of the final RA. The
appropriate date must be recorded in WasteLAN as the actual completion date
of the "Close-Out Report" RA subevent (C2101 = RA and C3101=CL).
Changes in Definition FY 93 - FY 94:
This activity is now a SCAP target instead of a SCAP measure.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. This is a SCAP target.
October 1993
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OSWER Directive 9200.3-14-1
FF-16'RA Duration
Definition:
The objective of this measure is to project the success, as well as the complexity,
of the Federal Facility enforcement Superfund program. The measure will also
enable management to focus on sites where additional emphasis on enhancing
the pace of response activities may be required. Duration trends will provide a
basis for evaluating the progress Federal agencies are making in performing
RAs in as timely a manner as possible.
Definition of Accomplishment:
This measure will look at Regional performance by analyzing the average
duration from RA start to RA completion for sites scheduled for RA completion
in FY 94. Durations will be calculated using the actual RA start dates and the
actual RA completion dates in CERCUS. The RA start and RA completion
definitions are contained in this Manual.
Changes in Definition FY 93 - FY 94:
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. CERCUS will be used to calculate durations.
HQ will perform the analysis.
FF-17 • Timespan from RI/FS Start to RA Complete
Definition:
The objective of this measure is to focus on the timespan of essential
components of the remedial pipeline. This measure reflects success in reducing
the length of time needed to complete remedial activities at Federal Facilities.
Trends analyses will address the need for continuous improvements relative to
meeting OFFE goals.
Definition of Accomplishment:
This measure will look at Regional performance by analyzing the average
duration from RI/FS start to RA completions for Federal Facility OUs
scheduled for RA completion in FY 94. The timespan will be calculated using
the actual RI/FS start date and actual RA completion dates in CERCLIS. The
October 1993 D-44
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OSWER Directive 9200.3-14-1
RI/FS start and RA completion definitions contained in this Manual will be
used in the analysis.
Changes in Definition FY 93 - FY 94:
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. Data from CERCLIS will be used to calculate the
timespan. HQ will perform the analyses.
FF-18 • Removal/ERA/RCRA Corrective Actions - Start
and Completion
Definition:
Removal actions and ERAs are defined in CERCLA as the cleanup or removal
of released hazardous substances from the environment, and the necessary
actions taken in the event of the threat of release of hazardous substances into
the environment. Removal actions and ERAs are conducted in response to
emergency, time critical, and non-time critical (NTC) situations at NPL and
non-NPL sites. Long-term O & M should not be conducted under the
removal.
Definition of Accomplishment:
Removal/ERA Start Date: Date the Federal agency begins actual on-site removal
work, or the date of Action Memorandum signature, or other decision
document signature/approval (C2101=RV). EPA must document the work
start with a memorandum to the file with the Pollution Report (POLREP) or
other documentation from the facility attached. The date must be reported in
WasteLAN as the actual start date.
Removal/ERA Completion Date: Actual date the Federal agency has demobilized,
completing the scope of work set forth in the Action Memorandum or other
decision document (C2101=RV). EPA must document the completion with a
memorandum to the file with the final POLREP or other documentation from
the facility. The date must be reported in WasteLAN as the actual completion
date.
RCRA Corrective Action Start, Section 3008 (H): For RCRA Section 3008(H) under
a unilateral order, the start date is the date the order is signed by the designated
Regional official. For starts under an order on consent, the start date is the date
the order is filed with the Regional Hearing Clerk. For starts under a permit,
the start date is the date the permit is issued as final by the State or Region,
whoever has permitting authority.
October 1993
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OSWER Directive 9200.3-14-1
RCRA Corrective Action Start, Section 7003: For corrective actions initiated under
RCRA Section 7003, the start date for both unilateral and consent orders is the
effective date of the order.
RCRA Corrective Action Completion Both Sections 3008(H) and 7003: The
completion date is the date the facility has certified to EPA that it has
completed all the activities required by the order and EPA has reviewed and
approved the certification.
Changes in Definition FY 93 - FY 94:
Addition of RCRA Corrective Action starts and completions. Included
documentation requirements.
Special Planning/Reporting Requirements:
See Definition of Accomplishments. RCRA Orders are reported in WasteLAN
as C1701=RR (RCRA Order) and C2771=3008H or 7003. This is a STARS/SCAP
reporting measure.
FF-19 • Federal Facility NPL Deletion
Definition:
Site completion (another name for a deletion candidate) is the point at which all
response actions have been completed and no further response action is
appropriate to protect public health and the environment. Pursuant to Section
300.425(e)(l) of the National Oil and Hazardous Substance Pollution
Contingency Plan (NCP), sites can be deleted or recategorized on the NPL, in
consultation with the State, if one or more of the following criteria are met:
• Federal agency has implemented all appropriate response actions required
• Based on the RI, it is determined that the release poses no significant threat
to human health or the environment and, therefore, taking remedial
measures are not appropriate.
Deleting a site from the NPL does not eliminate the site's eligibility for future
actions. The deletion process can be divided into three phases: initiation
phase, public notice and comment phase, and the final (deletion) phase.
October 1993 D-46
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OSWER Directive 9200.3-14-1
Definition of Accomplishment:
Deletion Start Date: The date the Regional Administrator approves the Final
Superfund Site Close-out Report. Regions and HQ should work closely with
the Deletion Coordinator to prepare the documents necessary to delete a site
from the NPL. This is reported in WasteLAN as the actual start date (C2101 =
ND).
Deletion Completion Date: The date the responsive summary is approved by the
Regional Administrator. (The Regional Administrator will then publish the
notice of deletion in the Federal Register.) This is reported in WasteLAN as the
actual completion date (C2101 = ND).
Changes in Definition FY 93 - FY 94:
Special Planning/ Reporting Requirements:
See Definition of Accomplishment. This is a SCAP reporting measure.
October 1993
-------
OJ
EXHIBIT D-12
FEDERAL FACILITY PLANNING REQUIREMENTS
FF-2
FFA/IAG
FF-5
RI/FS Starts -
First and
Subsequent
FF-3
FFA/IAG
Completions
FF-1
Base Closure
Decisions
FF-4
Federal
Facility
Dispute
Resolution
Planning Requirements
Planned/Reported Semi-
Annually, Annually or Both ?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Operable
Unit
Whole
Site
Operable
Unit
Whole
Site
Whole
Site
Reported Site-Specifically or
in Non-Site Portion of
WasteLAN?
Site
Specific
Site
Specific
Site
Specific
Site
Specific
I
@
S?
n
-------
9
I
co
EXHIBIT D-12 (continued)
FEDERAL FACILITY PLANNING REQUIREMENTS
Planning Requirements
STARS?
SCAP?
Planned/Reported Semi-
Annually, Annually or Both?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Reported Site-Specifically or
in Non-Site Portion of
WasteLAN?
FF-6
Timespan
From NPL
Listing to
RI/FS Start
Measure
Annual
No
Whole
Site
Site
Specific
FF-7
RI/FS
Completions
(RODs) - First
and Subsequent
Target
Target
Both
Yes
Operable
Unit
Site
Specific
FF-8
RI/FS
Duration
Measure
Annual
No
Operable
Unit
Site
Specific
FF-9
RD Starts -
First and
Subsequent
Measure
Both
Yes
Operable
Unit
Site
Specific
FF-10
RD
Completions
- First and
Subsequent
Measure
Both
Yes
Operable
Unit
Site
Specif
1C
g
1-1
n
n-
-f4
rt>
CO
I
I—1
4^
-------
f
•—»
*
UJ
Ul
o
EXHIBIT D-12 (continued)
FEDERAL FACILITY PLANNING REQUIREMENTS
FF-15
Final RA
Completions
FF-12
RA Starts -
First and
Subsequent
FF-14
RA
Completions
- First and
Subsequent
FF-11
RD
Duration
FF-13
Timespan
From ROD
Signature to
RA Start
Planning Requirements
Planned/Reported Semi-
Annually, Annually or Both?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Operable
Unit
Operable
Unit
Operable
Unit
Operable
Unit
Whole
Site
Reported Site-Specifically or
in Non-Site Portion of
WasteLAN?
Site
Specific
Site
Specific
Site
Specific
Site
Specific
Site
Specific
-------
EXHIBIT D-12 (continued)
FEDERAL FACILITY PLANNING REQUIREMENTS
FF-18
Removal/ERA/
RCRA
Corrective
Action Starts
and Completes
FF-16
RA Duration
FF-17
Timespan
From RI/FS
toRA
Completions
FF-19
Federal Facility
NPL Deletion
Planning Requirements
Planned/Reported Semi-
Annually, Annually or Both?
Planned Site-Specifically?
Planned/Reported on
Operable Unit or Whole
Site Basis?
Whole
Site
Whole
Site
Operable
Unit
Operable
Unit
Reported Site-Specifically or
in Non-Site Portion of
WasteLAN?
Site
Specific
Site
Specific
Site
Specific
Site
Specific
8-
rt>
l-t
m
re
vO
s
w
-------
OSWER Directive 9200.3-14-1
APPENDIX E
SUPERFUND
INFORMATION SYSTEMS
October 1993
-------
OSWER Directive 9200.3-14-1
APPENDIX E
SUPERFUND INFORMATION SYSTEMS
TABLE OF CONTENTS
SUPERFUND INFORMATION SYSTEMS E-l
OVERVIEW OF PROGRAM INFORMATION NEEDS AND
SYSTEMS E-l
CERCLIS E-2
WASTELAN E-5
Environmental Indicators E-6
CLEANLAN E-7
CERCLIS/WASTELAN SYSTEM TOOLS E-8
Remedial Pipeline Project Management (RP2M) E-8
NPL-Publication Assistance Database (NPL-PAD) E-9
Superfund Management and Reporting Technology
(SMARTech) E-10
SCAP Management Reporting System (SMRS) E-ll
RESPONSIVE ELECTRONIC LINK AND ACCESS INTERFACE
(RELAI) E-ll
CERCLIS DATA QUALITY E-13
Data Quality Initiative E-13
Data Sponsors -. E-14
October 1993
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OSWER Directive 9200.3-14-1
LIST OF EXHIBITS
E-l CERCLIS/WasteLAN Information Management Systems E-3
E-2 Environmental Indicators of Progress E-7
E-3 Most Utilized RP2M Reports E-9
E-4 Responsive Electronic Link and Access Interface E-12
October 1993
-------
OSWER Directive 9200.3-14-1
SUPERFUND INFORMATION SYSTEMS
OVERVIEW OF PROGRAM INFORMATION NEEDS AND SYSTEMS
Effective management of the Superfund program requires the availability of
accurate information on Superfund sites throughout the country. This will be
particularly important as the Agency approaches reauthorization. National
program managers must monitor and oversee a complex, multi-billion dollar
program that is carried out largely by the Regions, with support from States, the
U.S. Army Corps of Engineers (USAGE), and others. In turn, program managers
must report to the Executive Branch, Congress, and, ultimately, the public.
More specifically, managers are involved in program planning and
budgeting, negotiating Regional targets, monitoring and measuring program and
site progress, estimating and tracking costs, and developing policies and
procedures to ensure consistency and to enhance the program's effectiveness and
tracking Potentially Responsible Party (PRP) compliance with Environmental
Protection Agency (EPA) enforcement actions.
In the mid-1980s, separate data bases were maintained to support each of the
Superfund program areas and other specific information needs. This separation
of data made it difficult to obtain an integrated view of the program's efforts at an
individual site, and also complicated program-wide planning and
accomplishment tracking. The Comprehensive Environmental Response,
Compensation, and Liability Information System (CERCLIS) was subsequently
developed as an integrated system to hold national site assessment, remedial,
removal, enforcement, and financial information. To facilitate Regional use of
the information in the centralized CERCLIS data base, a local area network
(LAN) version of CERCLIS, called WasteLAN, was implemented. In this
Manual, the term CERCLIS is used when discussing official program data and
Headquarters (HQ) information management tools as well as to encompass both
the CERCLIS (site specific) and CERHELP (non-site specific) data bases.
WasteLAN is used when discussing rules for the Regions to follow when
entering and updating site and non-site specific information.
Examples of site-based information reflected in CERCLIS/WasteLAN include:
site identification and characteristics; whether the site is proposed, final, or
deleted from the National Priorities List (NPL); planned and actual events and
activities being undertaken by the program; the lead for each event and activity;
technologies being employed to clean up sites; planned and actual expenditures
at each site; and EPA settlements/enforcement actions.
The breadth and complexity of the Superfund program continues to expand
every year, and system development activities must continue to keep pace with
the increasing amount of cleanup related information that must be recorded and
E-l October 1993
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OSWER Directive 9200.3-14-1
reported. Realizing that the increased need for information calls for aggressive
systems development strategies, EPA managers have been integrating existing
program/project management tools and data bases into CERCLIS/WasteLAN
and developing new systems tools to enhance them. Among these tools are the
Remedial Pipeline Project Management (RP2M) system, the Superfund
Management and Reporting Technology (SMARTech) system, and the
Superfund Comprehensive Accomplishments Plan (SCAP) Management
Reporting System (SMRS). HQ is currently developing a database that will
enable the Superfund program to reply to queries concerning remedy selections
in a more expeditious manner. This system, known as the Decision Document
Database (3DB), will encompass information on Records of Decisions (RODs) and
Resource Conservation and Recovery Act (RCRA) corrective action. Superfund's
integrated information management components ensure that all data users are
working from the same baseline. This integrated approach facilitates the tracking
and reporting of Superfund program information.
The remainder of this Chapter provides information on the Superfund
systems used to collect and store data, and the tools and reports that facilitate
usage of Superfund information. These systems, some of which are displayed in
Exhibit E-l, include CERCLIS, WasteLAN, CleanLAN, RP2M, NPL-Publication
Assistance Database (PAD), SMARTech, and SMRS. Also included in this
Appendix is a discussion of the measures being taken to ensure that the quality
of data is maintained in these systems.
CERCLIS
CERCLIS, a mainframe system, is the official central repository of all
Superfund data. It contains the official inventory of Comprehensive
Environmental Response, Compensation, and Liability Act (CERCLA) sites and
supports site planning and accomplishment reporting. Data stored in CERCLIS
provide integrated information on the site assessment, remedial, removal,
enforcement, Federal Facility, and financial management areas of the Superfund
program. CERCLIS allows for the centralized updating and reporting of site
planning and cleanup information. The Regions are responsible for
maintaining current information in WasteLAN, and regularly uploading these
data to CERCLIS. The Office of Waste Programs Enforcement (OWPE), Office of
Emergency and Remedial Response (OERR), Office of Federal Facilities
Enforcement (OFFE) and Office of Enforcement (OE) rely heavily on CERCLIS for
information on program plans and accomplishments, and they use the data base
to generate official national reports and perform program analyses. CERCLIS
also drives many other Superfund system components.
CERCLIS consists of two data bases: a site specific data base, CERCLIS, and a
non-site specific data base, CERHELP. The site specific data base contains site
identification, operable unit, event, enforcement activity, technical, and financial
information. In CERCLIS, site assessment activities, as well as cleanup actions
October 1993 E-2
-------
OSWER Directive 9200.3-14-1
EXHIBIT E -1
CERCLIS/WASTELAN INFORMATION MANAGEMENT SYSTEMS
Mainframe
Headquarters LAN
WasteLAN Enhancements
• Environmental Indicators
Regional LAN
WasteLAN Enhancements
• Environmental Indicators
LEGEND
x" Telecommunications
(U.S. Army
Corps of Engineers)
Non-EPA Users
performed under the program's removal and remedial authorities are called
"events," while enforcement actions are labeled "activities".
CERHELP contains non-site specific information on SCAP/Strategic Targeted
Activities for Results System (STARS) targets and accomplishments, Advice of
Allowance (AOA), budget, and information on non-site/incident activities. The
CERHELP data base contains the following separate files:
• Targets and Accomplishment? file is the data file used for setting and tracking
SCAP/STARS targets. Final Regional SCAP/STARS commitments are
entered into the system by the HQ SCAP Coordinators. Target data are
updated by the Region to reflect SCAP adjustments and by HQ to reflect
E-3
October 1993
-------
OSWER Directive 9200.3-14-1
approved amendments. Regional reporting of non-site/incident
accomplishments is also performed through this system. Data from this
system are used in all official SCAP target and accomplishment reports, and
are the baseline for Regional performance evaluations. (See Volume I,
Chapter H.)
• The Budget Control/Advice of Allowance (BC/AOA) file is used by HQ for
SCAP budget development and control, and for tracking and reporting on the
AOA process.
• The Non-Site/Incident Activity file is used to plan and track non-
site/incident activities and financial data. Regions are responsible for
entering and maintaining SCAP non-site specific information.
Using CERHELP, Regions are able to track planning data and reconcile site
specific planning in CERCLJS with the AOA and SCAP/STARS targets.
CERHELP serves as an important management tool for both Regions and HQ.
In the past, CERCLIS was primarily used to support STARS and SCAP
planning and accomplishment reporting requirements. Prior to Fiscal Year (FY)
89, Regions were required only to ensure that data were up-to-date before the
quarterly planning and accomplishment data were pulled. In FY 89, CERCLIS
data became the basis for major periodic reports that served national information
needs (other than SCAP/STARS) on Superfund planning and progress. These
reports provide historic, current, and future information on Superfund sites at
the national, Regional, and State levels. The data for these reports are pulled
from CERCLIS on a monthly basis. As a result, CERCLIS data must reflect the
latest information in WasteLAN at least on the close of business of the fifth
working day of each month. All monthly data base pulls are frozen and
available to support additional analyses and reporting needs.
CERCLIS provides valuable information to a broad range of users. For
example, public access is provided to CERCLIS Superfund data that have not
been designated as confidential under the Freedom of Information Act (FOIA).
These data are provided to private citizens, public and private interest groups,
and industry. Site name, description, location, NPL status, and current site
activities are of particular interest to some of these groups; these data are not
always used to meet internal management reporting requirements.
In many cases, ad hoc requests from Congress can be answered using CERCLIS
data. The morenip-to-date and complete Superfund data are in CERCLIS, the
easier it is to respond to outside requests and provide more accurate information,
reducing the need for HQ to make special data requests of the Regions.
There are also data elements in CERCLIS that are used as a link to other
Agency data bases. Although some of these elements are not critical to SCAP or
October 1993 E-4
-------
OSWER Directive 9200.3-14-1
STARS, they are very important to the efficient operation of the CERCLIS data
base and related Agency systems. For example, the EPA Identification Number
(EPA ID) is supplied by the Facility Index System (FINDS) and is used in data
bases throughout EPA and other Federal agencies. Through the use of FINDS,
data on toxic releases (Toxic Release Inventory System), water pollutant
discharges (Permit Compliance System), and RCRA sites (Resource Conservation
and Recovery Information System), as well as other systems can be linked to
CERCLIS information. The Site/Spill Identification Number (S/S ID) in the
Superfund account number is used in CERCLIS and the Integrated Financial
Management System (IFMS). It allows a comparison of activities and obligations
identified in CERCLIS with IFMS cost data.
In previous years, the Zip Code was used with the Geograph data base to
provide system generated data to CERCLIS on site latitude, longitude,
hydrogeologic unit, standard metropolitan statistical area (SMSA), county name,
county code, and Congressional district. In 1993, NPL site latitude/longitude
coordinates were verified and updated based on review of actual site boundaries,
through use of air photos, topographic maps and other information provided by
the Regional offices. These verified locations were entered into CERCLIS
through WasteLAN. In 1994, OERR, through its Superfund's Location Data
Policy, will develop the requirements for location data and the location-linked
data described above.
WASTELAN
The site and non-site incident data in CERCLIS and CERHELP are also
available to the Regions via WasteLAN. WasteLAN tracks and stores the
Regional CERCLIS data base on a LAN featuring personal computers (PCs). The
implementation of WasteLAN has brought national consistency to hardware
and software configurations, while still providing the ability to address Region-
specific needs. Regions update site/project and non-site/incident specific
planning, and target and accomplishment information in WasteLAN.
WasteLAN also allows Regional users to enter and track customized
information not required in CERCLIS. Since CERCLIS is the official Superfund
data source, Regions regularly upload all of the data required by HQ directly from
WasteLAN to the CERCLIS data base. Since all official SCAP/STARS
accomplishments and planning data are pulled from CERCLIS on the fifth
working day of each month, Regions must ensure that CERCLIS accurately
reflects the project and site information contained in WasteLAN.
WasteLAN and its applications are designed to meet the following three
objectives:
• Support Regional program management - Regional program management
needs are supported by the use of an integrated data base that provides
information for program evaluation and management reporting ot
E-5
October 1993
-------
OSWER Directive 9200.3-14-1
SCAP/STARS plans and accomplishments. SMARTech and SMRS also are
used to support Regional program management. (See the SMARTech and
SMRS sections later in this Appendix for more information.);
• Provide key information to CERCLIS - Information is entered and updated in
WasteLAN by the Regions. A copy of the WasteLAN data is electronically
transferred to the CERCLIS mainframe data base; and
• Support site project management - Site project management needs are
supported by detailed site and contract level data. RP2M also is used to
support Regional site planning and project management and PRP compliance
tracking in several Regions. (See the RP2M section later in the Appendix for
more information.)
Environmental Indicators
The purpose of the Environmental Indicators (El) effort is to measure
Superfund's progress in protecting people and the environment from threats
posed by hazardous waste sites as cleanup proceeds. This information is
provided to Superfund management, Congress, and the public. El data are
entered directly into WasteLAN for completed removals and Remedial Actions
(RAs) on a quarterly basis, and for ongoing RAs on an annual basis. El measures
progress in three main areas as described in Exhibit E-2.
Regions enter and update El data directly through WasteLAN, which is then
uploaded to CERCLIS. El data are obtained through standard data entry/
turnaround, site summary, and audit reports. These three reports exist in
CERCLIS as SITE-10, SITE-11, and SITE-12, respectively, and are replicated in
WasteLAN as ENVI-01, ENVI-02, and ENVI-03.
HQ will continue to evaluate the ability of the current indicators to measure
environmental progress. Studies will continue to identify other measures of
progress in the areas of populations protected, ecological change, and
contaminant concentration reductions.
The goal is to rely upon existing national ecological data bases as much as
possible to develop additional indicators and to take advantage of geographic
information system capabilities where possible. This approach will allow the
program to build a solid foundation of environmental information for
developing ecological indicators with a rninimum of Regional effort.
October 1993 E-6
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OSWER Directive 9200.3-14-1
EXHIBIT E-2
ENVIRONMENTAL INDICATORS OF PROGRESS
Addressing Immediate Threats to
People and the Environment
Measures the extent to which acute threats to human health and the environment
have been reduced or eliminated at both NPL and non-NPL sites. Data are
provided that show the prevention of exposure to contaminated materials through
the provision of site security, population relocation, alternate water supply, or the
treatment, removal, or containment of hazardous wastes.
Achieving Permanent Cleanup Goals
Measures progress toward the achievement of cleanup goals established in the
ROD for each contaminated medium at NPL sites (land, surface water and
ground water) in terms of three levels of goal achievement - fully achieved,
partially achieved, and cleanup underway.
Employing Technology to Remove
Contamination from the Environment
Measures the volume of contaminated material treated (on site or off site),
removed (to off-site landfills or approved storage facilities), or contained on
site at both NPL and non-NPL sites.
CLEANLAN
The CleanLAN system was developed to automate data sharing between the
USAGE and the EPA on Superfund sites. CleanLAN represents a joint effort by
USACE and EPA to combine site reporting in order to achieve the efficient and
effective integration of Superfund data.
CleanLAN contains USACE project level and milestone data related to the
Remedial Investigation/Feasibility Study (RI/FS), Remedial Design (RD), and
RA phases of cleanup. In addition, CleanLAN provides site description and
milestone data on sites where the USACE has been assigned remedial cleanup
responsibility by the EPA.
The movement of data between USACE and the EPA occurs through a file
transfer process. Relevant Regional data including site descriptions, location
E_7 October 1993
-------
OSWER Directive 9200.3-14-1
information, and site schedules are transferred from WasteLAN via CERCLIS to
the responsible CleanLAN Project Manager (PM). CleanLAN PMs supplement
the information with USAGE planned and actual dates, list major contaminants
at the site, the mode of cleanup, current status, and any issues and concerns.
This information is uploaded from CleanLAN to CERCLIS and then downloaded
to WasteLAN. EPA Regional managers can print site and schedule information
provided by the USACE directly from WasteLAN.
Three reports can be accessed and printed from CleanLAN. The Line Item
Review report lists site subevents (e.g., architect/engineer selection approved,
pre-design activities), associated planned and actual dates, and whether the
information is tracked by USACE and/or the EPA. The Senior Management
Review report lists subevents and associated planned and actual dates, but does
not show a delineation between USACE and EPA data ownership. The Line Item
Graphic report depicts schedule information graphically.
CERCLIS/WASTELAN SYSTEM TOOLS
This section provides a summary description of the CERCLIS/WasteLAN
system tools that have been developed to support Superfund program and
project management needs: RP2M, NPL-PAD, SMARTech, and SMRS.
Remedial Pipeline Project Management (RP2M)
RP2M was developed to help meet the project management needs of
Regional Project Managers (RPMs) and Section Chiefs in Regions with
decentralized data entry. Efforts are underway to assess adapting RP2M for
Regions with centralized data entry. As a project planning tool, RP2M allows
users to schedule cleanup events/activities and subevents/milestones, view/edit
selected financial information, and track site progress at multiple levels of detail,
including PRP compliance monitoring.
In addition to displaying site-by-site Fund, Enforcement, Federal Facility and
financial data in an integrated manner, RP2M facilitates data entry. The system's
"cascading" date feature allows users to easily revise schedules. By changing one
planned date, all subsequent associated dates can be set to change automatically.
Interaction with WasteLAN allows data entered through RP2M to be entered
automatically into WasteLAN following concurrence by Regional management
via the Management Review module. This feature prevents the need for
duplicate data entry.
<
Several system features, including financial lockout and project "templates"
allow Regions to customize RP2M to meet their individual needs. Templates
can be customized based on Regional or site specific needs to include
subevents/milestones depending upon lead. These templates form the
foundation for developing project schedules. From there, RPMs can further
October 1993 E-8
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OSWER Directive 9200.3-14-1
customize RP2M at the site level by adding or deleting predefined and user-
defined subevents/milestones, or by adding textual comments.
RP2M allows users to generate reports for single and multiple sites. The five
most utilized reports are described in Exhibit E-3.
Users' needs are constantly being reassessed through the RP2M Steering
Committee, a group formed by representatives from the four pilot Regions (II, III,
IV, and V), HQ management, and system developers. Currently, screens are
under development that will allow the RPMs to enter essential SCAP and
financial data into WasteLAN.
EXHIBIT E-3
MOST UTILIZED RP2M REPORTS
Summary Listing Report- A snapshot of site progress including planned
and actual start and completion dates as well as all comments entered by the
RPM.
Gantt Chart Report - A report showing completed, ongoing, or past planned
events/activities and subevents/milestones at a site displayed by FY and
quarter.
Monthly Calendar Report - A multi-site/multi-month calendar that prints
events/activities or subevents/milestones that will occur within a specified
time frame.
NPL Status Report - A textual explanation of site information and site status
including last action taken, next action required, and legal actions needed for
the active site.
Management Review Report - A report that lists data changes that have
been submitted to a reviewer for approval. Only users with management
review rights can produce this report.
NPL-Publication Assistance Database (NPL-PAD)
The NPL-PAD is a LAN-based application that allows Regions to update and
maintain site-specific information contained in the NPL Books. This application
was developed in response to a Regional need for immediate access to up-to-date
site summaries to answer public inquiries.
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OSWER Directive 9200.3-14-1
NPL-PAD resides on Regional LANs; it uses WordPerfect 5.1 and interfaces
with Regional WasteLAN site information. In addition to facilitating updates
for the NPL Book, NPL-PAD allows users to create customized Site Sheets by
adding specific Regional and community relations information, and it enables
site managers to portray NPL site progress on a real-time basis. Managers can
also use the information to respond to FOIA requests and other public
information needs.
During FY 92, Regions updated their site information and sent modifications
to HQ for inclusion in the new edition of the NPL Books. HQ reviewed the Site
Sheets for consistency and published the FY 92 NPL Books using the Regional
updates. HQ then distributed the final FY 92 Site Fact Sheets that comprise the
NPL Books on disk to the Regions in March 1993. These disks were installed in
the Regional NPL-PAD application to allow for the continued updating and
maintenance of the site fact sheets to support Regional information needs.
Superfund Management and Reporting Technology (SMARTech)
SMARTech is a LAN-based system designed to use WasteLAN data to support
the information management needs of Superfund managers. It is a centralized
select logic data base and graphic report retrieval tool capable of evaluating the
complex Superfund program management and technical data maintained in
WasteLAN. SMARTech incorporates select logic in query format that is
consistent with standard SCAP and STARS targets and measures, and makes
them accessible to users in the LAN environment.
SMARTech provides Regions with the ability to analyze target, measure, and
accomplishment information, as well as to build and define HQ and Region-
specific queries, ad hoc queries, and "what if" scenarios. SMARTech allows
Regional managers and Information Management Coordinators (IMCs) to view
or print individual planning or accomplishment data without retrieving a
lengthy CERCLIS mainframe report. The reports module provides SMARTech
versions of SCAP-13 and SCAP-14 for FY 92 and FY 93, and SCAP-16 for FY 93.
The SMARTech reports replicate corresponding CERCLIS reports and are
updated with the CERCLIS reports.
Other system features include the ability to run "reverse logic" to identify
why a site has not been included in an official count, and a graphics feature that
allows single or multiple queries to be displayed in a bar graph format. An
enhanced graphics module will soon be available that will provide more types of
graphs and a more flexible graphic output.
October 1993 E-10
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OSWER Directive 9200.3-14-1
SCAP Management Reporting System (SMRS)
SMRS is a LAN-based application that uses WasteLAN data to produce
reports to support Regional SCAP and STARS information needs. Regions can
view and print SMRS reports with standard selection and sort criteria or they can
customize the reports using other sort and selection criteria. Standard and
customized reports can be saved and stored in the SMRS Library allowing
Regional users to view and print saved reports. These LAN-based reports allow
Regions to analyze and evaluate their data in a SCAP report format before
uploading the data to CERCLIS for official reporting.
Since SMRS reports match corresponding CERCLIS SCAP reports, the LAN-
based reports contained in SMRS will be updated with select and report logic
changes at the same time that the CERCLIS versions are being updated. While
both SMRS and CERCLIS have the same selection and sort criteria, SMRS
provides Regions with the ability to customize reports to meet their specific
needs (e.g., select one site or multiple sites for a single RPM). The following
reports are currently available in SMRS: SCAP-2, SCAP-4, SCAP-13, and SCAP-21
for FY 93; SCAP-14 for FY 92 and FY 93; and SCAP-16 for FY 93. The SCAP-4E and
SCAP-21E will soon be available.
RESPONSIVE ELECTRONIC LINK AND ACCESS INTERFACE (RELAI)
The Superfund program has undertaken a new initiative to consolidate
existing Superfund data in a single reports data base and to expand the
information available within the data base to address requests from both
Congress and public interest groups. This new Superfund data base system,
RELAI, will assist EPA in evaluating the progress of the Superfund program, as
well as prepare for the upcoming Superfund reauthorization. This effort is being
undertaken in two tiers.
The Tier I RELAI system provides a data base structure that captures data
from six existing systems - CERCLIS (cleanup progress data), NPL-PAD (site
descriptions), NPL Book (contaminants and remedy data), Superfund National
Assessment Program (SNAP) (site assessment data), Superfund Enforcement
Tracking System (SETS) (enforcement data), and ROD Information Data System
(RIDS) (ROD data). In addition, a national data collection effort is underway to
incorporate key reauthorization data which are not available in an existing data
base. RELAI is being expanded to house this additional data. See Exhibit E-4 for a
graphic display of RELAI.
During the fall of 1993, the data collection effort will be expanded (Tier II) to
gather additional information to help strengthen the Superfund information
management needs. This data, as well as data extracted from such data bases as
Agency for Toxic Substances and Disease Registry Hazardous Data System
(ATSDR HAZDAT), Risk Assessment Data System (RADS), Dense Non-Aqueous
E-ll October 1993
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s-
trl
i—i
JO
EXHIBIT E-4
RESPONSIVE ELECTRONIC LINK AND ACCESS INTERFACE
RELAI USERS
SUPERFUND DATA
RELAI
INTERFACE
NPL BOO
DATA BAS
Browse list of
sites
View selected
sites
Initial
Data
Extraction
Process
SUPERFUND
DATA
INTEGRATION
TOOLS
Generate
summary
statistics
Create ad hoc
queries
INTERES
GROUPS
REGIONAL DAT
COLLECTION
FUTURE
DATA BASES
M
V1
i—i
*»
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OSWER Directive 9200.3-14-1
Phase Liquids (DNAPL), and potentially 3DB and a Department of Justice (DOT)
data base, will be integrated into RELAI.
The RELAI system provides an interface that will allow a wide variety of
internal and external users to access formatted detailed data through either a
browse or query mechanism as well as the ability to print a Site Information
Form (SIF). A report listing the address and contact information for sites
retrieved by a user-defined query can also be printed.
CERCL1S DATA QUALITY
CERCHS meets the needs of many users interested in the Superfund
program, including the public, Congress, EPA Regions and HQ, and the States.
These groups rely on CERCLIS to track progress and to plan upcoming work.
CERCLIS is a large and complex data base; therefore, there are numerous
opportunities for data errors. Since CERCLIS is the official source of Superfund
data and is widely used, the quality of data must be maintained at a high level.
To identify and eradicate errors, careful thought must be given to the
development of data entry screens and edit routines, upload programs, audit
reports, and definitions for required data elements.
Data Quality Initiative
Superfund's Program and Budget Development Staff (PDBS) and Contracts
and Planning Branch (CPB) are continuing an FY 92 initiative to address data
quality issues in frequently used CERCLIS data elements. The primary goal of
this initiative is to identify and prevent errors. For this initiative to be effective,
HQ and Regional Information Management Coordinators (IMCs) must work
together to identify, analyze, and prioritize data problems, and to test and
implement correctional tools.
To obtain an initial Regional perspective, interviews were conducted with the
IMCs. HQ interviewers surveyed Regional views on audit reports, coding
guidance, training, Quality Assurance (QA) procedures, repetitious and
extraneous data, and the causes of poor data quality. Similar interviews were
held with representatives from the HQ program offices. These data quality
interviews uncovered a number of issues that are being addressed at a rate of one
issue every two months. Each data quality issue is identified through an audit
report that lists each Region's data problems with a specific data quality issue.
After allowing the Regions time to correct identified data problems, a follow-up
report is generated and sent to the Regions that shows their progress in
correcting data problems.
In tandem with the targeted efforts, two long-term initiatives are being
undertaken to help prevent future data problems: development of a coding
guidance "quick reference" sheet and a comprehensive audit report. The "quick
E-13 October 1993
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OSWER Directive 9200.3-14-1
reference" coding guidance, which is distributed to the Regions and HQ,
summarizes the coding rules and requirements associated with the data issue
addressed each month. After correcting the problems identified in the audit
report, the Regions use the specialized coding guidance to help them avoid
future occurrences of that data problem.
The second long-term initiative to address data quality issues is the
development of a comprehensive audit report that identifies the range of data
quality issues. This CERCLIS audit report is currently under development, and
will allow Regions to identify periodically and correct any future data quality
problems.
Other efforts being undertaken include developing a comprehensive coding
guidance document that covers all phases of the program, and evaluating the
usefulness of existing audit reports and updating audit reports as needed. OWPE
has developed an enforcement data quality report known as AUDT-31. Some of
the audit checks performed in this report include passed planning dates;
remedies, statutes, and financial information consistency; and consistency
between PRP-lead response events and settlement remedies.
Data Sponsors
HQ program offices have taken a more active role in identifying their data
needs and verifying data, either through the audit reports or through focused
data studies. As sponsors of data, HQ offices define allowable values for data
elements. Data sponsors perform periodic audits or reviews of data entered and
maintained by the Regions to ensure coding guidance is being properly followed.
Sponsors work directly with the Regional IMC or program offices to correct data
errors. Formal data quality processes and procedures continue to be developed
and implemented, and training is provided to the Regions and HQ program
offices on these processes and procedures.
To coordinate data quality efforts among the various program offices, a Data
Quality Coordination Group has been formed. The group consists of
representatives from OERR, OWPE, OFFE, and Regional representatives. The
group is currently compiling a list of core data elements and analyzing CERCLIS
system generation and data collection issues.
October 1993 E-14
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OSWER Directive 9200.3-14-1
INDEX
October 1993
-------
OSWER Directive 9200.3-14-1
A-106 Pollution Abatement Plan D-13
Action Memorandum
Engineering Evaluation/Cost Analysis
(EE/CA) A-14
EE/CA approval memorandum A-16
Information included in an EE/CA A-15
Planning and reporting A-14
STARS/SCAP target/measure definition
A-47
Activity/Event Lead Codes
Early and long-term actions B-25
Enforcement C-23
Planning and reporting requirements
A-26, B-25, C-23
Regional decisions A-26
Site screening and assessment A-26
Administrative Record
Definition C-96
Planning and reporting requirements C-96
Advice of Allowance (AOA), see also
Volume I, Chapter III
Budget development A-41
Early and long-term action B-42
Enforcement AOA utilization, see also
Regional Enforcement Extramural
Budget C-38
Federal Facility AOA utilization, see
also Regional Federal Facility
Extramural Budget D-21
HQ/Regional adjustment, Enforcement
C-40
HQ/Regional adjustment, Federal
Facility D-25
Obligating early and long-term action
funds B-45
Obligating site screening and assessment
funds A-43
Project support activities A-42, B-44
Remedial financial planning for B-43
Removal B-44
Removal financial planning for B-44
Site characterization A-41, B-42
Site screening and assessment A-41
Technical assistance grants A-42
Base Closure, see also Volume I, Chapter I
Initiatives D-l
Definitions D-33
Budget, Annual Regional, see also Volume I,
Chapter III
Early actions under remedial authority
B-41
Enforcement, see also Regional
Enforcement Extramural Budget
Expanded Site Inspection /Remedial
Investigation/Feasibility Study
funding strategy A-39
Federal Facility, see also Regional
Federal Facility Extramural Budget
D-14
Financial reports, Enforcement C-41
Financial reports, Federal Facility D-28
Long-term action B-42
Removal B-41
Site screening and assessment A-39
Budget Development
Early and long-term actions B-41
Enforcement preliminary extramural
budget allocation and distribution
C-29
Federal Facility preliminary extramural
budget allocation and distribution
D-14
Litigation support C-30
Project support A-42, B-35
Regional planning against enforcement
preliminary budget C-30
Regional planning against Federal
Facility preliminary budget D-15
Site screening and assessment A-41
Technical assistance grants A-42
Budget, OFFE Extramural, See Regional
Federal Facility Extramural Budget
Budget, OWPE Regional Extramural, See
Regional Enforcement Extramural Budget
Cash Outs
Financial management of C-46
Planning and reporting requirements C-46
CERCLIS (Comprehensive Environmental
Response, Compensation, and Liability
Information System) E-2
CERCLIS/ WasteLAN Tools E-8
Data quality E-13
Data quality initiative E-13
Data sponsors E-14
Enforcement extramural budget coding
and data entry instructions C-50
Federal Facility extramural budget
coding and data entry instructions D-8
Federal Facility planning and reporting
D-7
CERHELP E-l
CleanLAN E-7
Community Relations, see Public
Participation/Community Involvement
October 1993
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OSWER Directive 9200.3-14-1
Construction Completions, see also Volume I,
Chapter I
Priorities B-9
STARS/SCAP targets/measures
definitions B-55,70,73,83
Contract Management, see also Volume I,
Chapter I
8(a) contracts C-46
Cash outs C-46
Department of Justice C-45
Interagency agreements C-45
Long-term contracting strategy C-44
Program management initiatives A-6,
B-ll, C-6
Technical Enforcement Support (TES)
contract management C-44
Contractor Resources
8(a) contracts C-46
Assignment of work A-44, B-47
Contractor management program
management initiative A-6, B-ll, C-6
Department of Justice C-45
Early and long-term actions B-46
Enforcement buy-in obligations C-36
Enforcement generic obligations to cover
Technical Enforcement Support (TES)
tasking C-36
Enforcement obligations for other
financial vehicles C-36
Enforcement program management
obligations C-36
Federal Facility D-20
Federal Facility contract obligations
D-21
Federal Facility obligations for other
financial vehicles D-21
Interagency agreements C-45
Long-term contracting strategy C-44
Planning and reporting requirements
A-43, B-46
Site screening and assessment A-43
TES contract obligations C-34
TES Work Assignment (WA) tasking
against generic obligations C-37
TES WA tasking for buy-ins C-38
Cost Recovery
Actions/decisions les£ than $200,000,
Definition C-97
Demand letter, Definition C-96
Past costs addressed, Definition C-98
Planning and reporting activities C-100
Data Quality, CERCLIS/WasteLAN E-13
Data sponsors E-14
Initiatives E-13
Definitions, see Superfund Comprehensive
Accomplishments Plan (SCAP)/ Strategic
Targeted Activities for Results System
(STARS) Targets and Measures
Deletions, (See National Priorities List
(NPL) Deletions)
De minimis Settlements
Planning and reporting requirements C-10
STARS/SCAP target/measure definitions
C-93
Design Assistance
Definition B-60
Durations
Early and long-term action measures
B-55, 60, 61
Enforcement measures C-84
Federal Facility measures D-44
Site screening and assessment measures
A-65
Early Actions, Appendix B, see also
Removals and Early Actions Under
Remedial Authority, and Volume I,
Chapter I
Advice of Allowance (AOA) B-42
Budget and financial management B-41
Definitions B-55, 61, 63, 68, 70, 73, 77, 82
Early actions under remedial authority
B-4
Early actions performed by the Coast
Guard A-21
Internal measures B-56, 57, 58,59, 60, 64,
65,66,67,82,83,88, 89, 90,91
Obligating funds B-45
Operable unit coding guidance B-34
Priorities B-3
Public participation/community relations
B-5
Removal actions B-4
STARS/SCAP targets/measures B-55,60,
61,63,68, 70, 73, 77,89, 91
Early Action Decisions
Action Memorandum A-16
Cost estimate A-20, B-18
Enforcement C-16
Engineering Evaluation/Cost Analysis
A-14
Planning and reporting requirements A-14
Record of Decision A-17
Technical Information A-21, B-22
Early Actions Under Remedial Authority
Budget, Annual Regional B-41
Cost estimate B-18
Financial planning for the AOA B-43
October 1993
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OSWER Directive 9200.3-14-1
Planning and reporting requirements
B-15, 17
Priorities B-4
Reporting procedures B-17
Technical information B-22
Ecological Risk Assessment
Enforcement C-9
Planning and reporting requirements
A-37, C-9
Site screening and assessment C-14
Enforcement, Appendix C, see also Volume I,
Chapter I
Budget and financial management C-29
Cost recovery C-21
Definitions C-81
Early action activities C-16
Federal Facility D-ll
Initiatives C-2
Internal reporting measures C-81,82,83,
84, 86, 87, 89,90,93,94,95, 96, 97,98,
100
Long-term action activities C-18
Planning and reporting requirements C-9
Priorities C-l
Regional enforcement extramural budget
C-29
Regional enforcement extramural budget
coding and data entry instructions
C-50
Site screening and assessment activities
C-14
STARS/SCAP targets/measures C-75
Engineering Evaluation/Cost Analysis
(EE/CA)
Approval memorandum A-16
Information in an EE/CA A-15
Planning and reporting A-14
Environmental Indicators
Definition B-91
Information Management E-6
STARS/SCAP target/measure B-91
Event/Activity Lead Codes
Early and long-term actions B-25
Enforcement C-23
Planning and reporting requirements
A-26, B-25, C-23
Regional decisions A-26
Site screening and assessment A-26
Expanded Site Inspection (ESI)
Budget A-39, B-42
Funding strategy A-39, B-42
NPL caliber A-ll
Planning and reporting requirements A-ll
STARS/SCAP target /measure definition
A-51
Expedited Response Action
Federal Facility STARS/SCAP
definition D-29
Feasibility Study (FS)
Definitions A-61, 63, 65
Expanded Site Inspection/Remedial
Investigation/PS funding strategy
A-39, B-41
Federal Facilities Appendix D, see also
Volume I, Chapter I
Coding guidance D-8
Definitions D-33
Financial management responsibilities
under A-106 D-13
Initiatives D-l
Planning and reporting requirements D-7
Regional extramural budget process D-14
Resource distribution D-28
STARS/SCAP targets/measures D-29
Federal Facility Agreements/Interagency
Agreements
Definitions D-34
Dispute resolution, Definition D-35
Financial Reports/ see also Volume I,
Chapter III
Enforcement C-41
Federal Facility D-28
First and Subsequent Completions
Early and long-term actions B-29
Planning and reporting requirements
A-29, B-29
Regional decision A-29
Site screening and assessment A-29
First and Subsequent Starts
Early and long-term actions B-29
Planning and reporting requirements
A-29, B-29
Regional decision A-29
Site screening and assessment A-29
Five Year Reviews
Priorities B-10
STARS/SCAF target/measure definitions
B-89,90
Ground Water Monitoring
Definition B-88
Information Management
Overview
Program management initiatives A-6,
B-ll, C-6
Integrated Assessments
Site Assessment A-9
October 1993
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OSWER Directive 920C.3-14-1
Integrated Management Strategy, Federal
Facilities D-4
Interagency Agreements (lAGs)
Department of Justice C-45
Enforcement lAGs C-45
Federal Facility Agreement/IAG
Definitions D-34
Lead Changes
Early and long-term actions B-26
Enforcement C-23
Planning and reporting requirements
A-27, B-26, C-23
Site screening and assessment A-27
Links
Early and long-term actions B-36
Enforcement C-26
Operable units A-32, B-33
Planning and reporting requirements
A-35, B-36, C-9
Site screening and assessment A-35
Long-Term Actions, Appendix B, see also
Remedial Actions, and Volume I,
Chapter I
Advice of Allowance (AOA) B-43
Budget, Annual Regional B-42
Budget and financial management B-42
Cost estimate B-18
Definitions B-55,61,66, 68, 70, 73, 77, 82
Enforcement C-18
Federal Facility D-41
Financial planning for the AOA B-43
Flow chart B-92
Internal measures B-66,67,82
Obligating funds B-45
Operable unit coding guidance B-34
Planning and reporting requirements B-15
Priorities B-6
Reporting procedures B-17
STARS/SCAP targets/measures B-55,61,
68, 70, 73, 77
Technical information B-22
Long Term Response Action (LTRA)
Definition B-82
Mega-Sites
Budget A-37, C-13
Enforcement C-13
Planning and reporting requirements
A-37, C-13
Response A-37
Mixed Funding Settlements
Planning and reporting requirements C-9
Municipalities
Settlements with C-ll
National Priorities List (NPL) Caliber, see
also Volume I, Chapter I
Definition A-ll
Planning and reporting requirements A-ll
STARS/SCAP target/measure definitions
A-51, 54, 66, B-55, 61, 63, 68, 70, 77,
C-76
National Priorities List (NPL) Deletion
Definition B-90, D-46
Priorities B-9
National Priorities List-Publication
Assistance Database (NPL-PAD)
Negotiations, Potentially Responsible Party
(PRP)
Cleanup, STARS/SCAP definition C-88
Expanded Site Inspection/Remedial
Investigation/Feasibility Study,
Definition C-86
Priorities C-l
Remedial Design/Remedial Action,
Definition C-87
Notice Letters
General notice letters, Definition C-83
Special notice letters. Definition C-84
Notification, Potentially Responsible Party
(PRP)
Demand letter, Definition C-96
Early actions C-16
General notice letters, Definition C-83
Special notice letters, Definition C-84
Cm-Site Construction
STARS/SCAP target/measure definitions
B- 55,61,63,68, 70, 73, 77
Operable Units (OUs)
Coding guidance A-32, B-34, D-8
Definition of A-32, B-33, B-9
Early actions B-35
Federal Facilities D-9
Links A-35, B-36
Long-term actions B-36
Planning and reporting requirements
A-32, B-33, D-7
Project phasing. Federal Facility D-7
Project phasing. Response B-36
Project support A-34, B-35
Sequence Numbers A-34, B-34
Site screening and assessment A-32
Operation and Maintenance (O&M)
Definition B-89
Operational and Functional (O&F)
Definition B-82
Other Response
Advice of Allowance A-41, B-42
October 1993
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OSWER Directive 9200.3-14-1
Oversight, Potentially Responsible Party
(PRP)
Early action C-18
Potentially Responsible Parties (PRPs)
Demand letter, Definition C-96
General notice letters. Definition C-83
Lead cleanup actions, Definition C-94
Negotiations, Cleanup, Definition C-17
Negotiations, Early action C-17
Negotiations, Expanded Site
Inspection / Remedial
Investigation/Feasibility Study,
Definition C-86
Negotiations, Priorities C-17
Negotiations, Remedial
Design/Remedial Action, Definition
C-87
Notification, Early action C-17
Oversight, Early action C-18
Probability of PRP funded response
actions planning and reporting
requirements
B-29
Search, Early action C-16
Search, Definitions C-81
Search, Priorities C-16
Settlements, Early Action C-17
Special notice letters, Definition C-84
Preliminary Assessment (PA)
Budget A-40,
Definition A-9,
Planning and reporting requirements A-9
Regional Decision Team role in A-9
Program Management Initiatives
Early and long-term actions B-ll
Enforcement C-6
Site screening and assessment/Regional
decision A-6
Project phasing
Federal Facility D-7
Response B-36
Project Support
Budget A-42, B-35
Financial planning for the Advice of
Allowance (AOA) A-42, B-43
Operable units A-42, B-33
Planning and reporting requirements
A-42, B-15
Site screening and assessment A-42
Public Participation/Community
Involvement, see also Volume I,
Chapter I
Definition A-6, B-5, B-7
Early actions B-5
Federal Facility A-6
Program management initiatives A-6,
B-12, C-7
Regional Decision Team A-6,
Site screening and assessment A-6,
Record of Decision (ROD)
Changes to RODs A-17
Cost estimates A-20, B-18
Institutional control RODs B-73, B-77,
B-83
No further remediation RODs A-19, B-73,
B-77, B-83
Planning and reporting (general) A-17
SCAP/STARS targets/measures
definitions A-66, B-73, B-77, B-83
Technical information A-21, B-19
Regional Decision Appendix A
Definitions A-13, C-84
Planning and reporting requirements
A-13,
STARS/SCAP targets/measures A-66,
C-84
Regional Decision Team (RDT), see also
Volume I, Chapter I
Advanced assessment stage A-4
Definitions A-54
Early assessment stage A-4
Planning and reporting requirements A-13
Priorities A-3
Public participation/community
involvement A-4
STARS/SCAP target/measures A-51,
A-54, A-66
Regional Enforcement Extramural Budget
Process C-29
Advice of Allowance (AOA) utilization
C-38
Budget coding and data entry instructions
C-50
Budget execution C-34
Budget utilization C-38
Buy-in obligations C-36
Cash outs C-46
Disbursements C-40
Enforcement financial reports C-41
Final extramural budget distribution C-33
Generic obligations to cover Technical
Enforcement Support (TES) tasking
C-36
HQ/Regional adjustment C-40
Litigation support C-30
Obligations for other financial vehicles
C-36
October 1993
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OSWER Directive 9200.3-14-1
Preliminary extramural budget
allocation and distribution C-29
Program management obligations C-36
Regional planning against preliminary
budget C-30
Responsibilities C-41
TES contract obligations C-34
TES Work Assignment (WA) tasking
against generic obligations C-37
TES WA tasking for buy-ins C-38
Regional Federal Facility Extramural
Budget D-14
Advice of Allowance (AOA) utilization
D-21
Budget execution D-20
Budget utilization D-21
Contract obligations D-21
Contractor resources D-20
Disbursements D-22
Final extramural budget distribution
D-19
Financial reports D-28
HQ/Regional adjustments D-25
Obligations for other financial vehicles
D-21
Preliminary extramural budget
allocation and distribution D-14
Regional planning against preliminary
budget D-15
Responsibilities D-25
Remedial Action, see also Long-Term Action
Advice of Allowance (AOA) B-43
Contract award B-67
Definitions B-66, B-67. B-68, B-70
Financial planning for the AOA B-43
Technical information B-22
Remedial Design, see also Long-Term Action
Definitions B-64, B-65
Financial planning for the AOA B-43
Technical information B-22
Remedial Investigation (RI)
Budget A-39
Funding strategy A-39
NPL caliber A-ll
Planning and reporting requirements A-ll
STARS/SCAP target/measure definition
A-51, A-63 *
Remedial Investigation/Feasibility Study
(RI/FS), see also Remedial Investigation
(RI) and Feasibility Study (FS)
Definition A-63
Federal Facility, Definition D-36
Remedial Pipeline Project Management
(RP2M)E-8
Removal
Advice of Allowance A-41, B-44
Budget, Annual Regional B-41
Chemical information B-17
Federal Facility D-45
Financial planning for the AOA B-43
Planning and reporting requirements B-15
Priorities B-4
Reporting procedures B-16
STARS/SCAP target/measure definition
B-55, B-61, B-63, B-68, B-70, B-73,
B-77
Technology type information B-19
Removal Investigation
Planning and reporting requirements A-13
Removal Investigation
Planning and reporting requirements A-13
Residential Property Owners
Settlements with C-ll
Resource Conservation and Recovery Act
(RCRA) Corrective Actions
Federal Facility STARS/SCAP
definition D-45
Responsive Electronic Link and Access
Interface (RELAI)
Section 104(e)
Letters issued, Definition C-82
Orders, Definition C-83
Referrals, Definition C-83
Sequence Numbers
Early and long-term actions B-34
Operable units A-32, B-33
Planning and reporting requirements
A-34, B-15
Site screening and assessment A-34
Settlements
Case resolution, Definition C-95
Cash Out C-9
Cleanup Actions, STARS/SCAP
definition C-90
Cost recovery actions/decisions,
Definitions C-97
Early action C-17
De minimis C-10
De. minimis. STARS/SCAP definition
C-93
Mixed Funding C-9
Municipalities C-ll
Residential Property Owners C-ll
State Consent Decree for Remedial
Design/Remedial Action, Definition
C-90
October 1993
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OSWER Directive 9200.3-14-1
State Orders for Expanded Site
Inspection/Remedial
Investigation/Feasibility Study,
Definition C-89
Site Assessment
Federal Facility D-10
Site Characterization
Advice of Allowance A-41, B-42
Expanded Site Inspection (ESI) A-ll
Operable units A-32
Preliminary Assessment (PA) A-9
Remedial Investigation A-ll
Site Inspection (SI) A-9
STARS/SCAP target/measure definition
A-51
Site Completions
Definitions B-83
Site Discovery
STARS/SCAP target/measure definition
B-55
Site Evaluation Accomplished
Expanded Site Inspection
(ESI)/Remedial Investigation (RI)
A-ll
Preliminary Assessment (PA) A-9
Site Inspection (SI) A-9
STARS/SCAP target/measure definition
A-54, B-83
Site Inspection (SI)
Budget A-10
Definition A-9
NPL caliber A-ll
Planning and reporting A-9
Regional Decision Team role in A-3
Site Inspection Prioritization (SIP)
Budget A-10
Definition A-10
Planning and reporting A-10
Site Screening and Assessment Appendix A,
see also Volume I, Chapter I
Budget and financial management A-39
Definitions A-47
Enforcement activities C-14
Internal measures A-52, A-53, A-56, A-57,
A-58, A-59, A-61, A-63, A-65
Planning and reporting requirements A-9
Priorities A-l
STARS/SCAP targets/measures A-47
Site Screening and Assessment Decisions
Expanded Site Inspection
(ESI)/Remedial Investigation (RI)
A-ll
Preliminary Assessment (PA) A-9
Site Inspection (SI) A-9
STARS/SCAP target/measure definition
A-51, A-54, A-66
State
Enforcement C-13
State Consent Decree for Remedial
Design/Remedial Action, Definition
C-90
State Orders for Expanded Site
Inspection/Remedial
Investigation/Feasibility Study,
Definition C-89
Roles and responsibilities in early actions
B-8
Roles and responsibilities in long-term
actions B-8
Strategic Targeted Activities for Results
System (STARS)/Superfund
Comprehensive Accomplishments Plan
(SCAP) Targets and Measures, see
Superfund Comprehensive
Accomplishments Plan (SCAP)/Strategic
Targeted Activities for Results System
(STARS) Targets and Measures, see also
Volume I, Chapter I
Superfund Accelerated Cleanup Model
(SACM), see also Volume I, Chapter I
Early and long-term actions B-l
Enforcement C-2
Regional Decision Team A-3
Site screening and assessment A-l
Superfund Comprehensive Accomplishments
Plan (SCAP)/Strategic Targeted
Activities for Results System (STARS)
Targets and Measures, see also Volume I,
Chapter I
Definitions A-47, B-55, C-75, D-29
Development of A-48, B-50, C-76, D-29
Early and long-term actions B-49
Enforcement C-75
Environmental Indicators B-91
Federal Facilities D-29
Icons A-51, B-55, C-81, D-33
Overview of A-47, B-49, C-75, D-29
Regional decision A-47
Site screening and assessment A-47
Targets and measures A-48, B-55, C-81,
D-29
Superfund Comprehensive Accomplishments
Plan Management Reporting System
(SMRS)
Superfund Information Management Systems,
Appendix E, see also Volume I, Chapter
II
October 1993
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OSWER Directive 9200.3-14-1
Superfund Innovative Technology Evaluation
(SITE) Program
Definition B-59
Superfund Management and Reporting
Technology (SMARTech) E-10
Support Agency Assistance
Definition A-57, B-57
Technical Assistance
Definition A-58, B-57
Technical Assistance Grants
Advice of Allowance A-42
Budget development A-41
Definitions A-58, B-58
Targets/Measures Definitions, see Superfund
Comprehensive Accomplishments Flan
(SCAP)/Strategic Targeted Activities for
Results System (STARS) Targets and
Measures
Technical Enforcement Support (TES), see
also Contractor Resources and Regional
Enforcement Extramural Budget
Buy in obligations C-36
Contract management C-44
Contract obligations C-34
Entering work assignments C-51
Generic obligations to cover tasking C-36
Obligating funds to cover Regional TES 5+
Program Management Work
Assignments C-51
Program management obligations C-36
Tasking C-36
Work assignment tasking against generic
obligations C-37
Work assignment tasking for buy-ins C-38
To Be Determined (TBD) Sites
Early and long-term actions B-38
Planning and reporting requirements
A-35, B-38
Site screening and assessment A-35
Treatability Studies
Definition B-59
Superfund Innovative Technology
Evaluation (SITE) Program B-59
WasteLAN
CERCUS/WasteLAN tools E-8
CleanLANE-7
Data quality E-13
Data sponsors E-14
Enforcement extramural budget coding
and data entry instructions C-50
Environmental Indicators E-6
Federal Facility extramural budget
coding and data entry instructions
D-15
Federal Facility planning and reporting
D-8
National Priorities List-Publication
Assistance Database (NPL-PAD) E-9
Remedial Pipeline Project Management
(RP2M)E-8
Superfund Comprehensive
Accomplishments Plan Reporting
System (SMRS) E-ll
Superfund Management and Reporting
Technology (SMARTech) E-10
October 1993
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