United States
Environmental Protection
Agency
Office of
Solid Waste and
Emergency Response
EPA/540/R/04/011
OSWER 9200.3-14-1G-V
PB2003 100720-J
October 1,2010
Superfund
http://www.epa.gov/superfund/action/process/spiml 1 .htm
SEPA Superfund Program Implementation Manual
Fiscal Year 2011
Program Implementation Guidance for OSRTI, OSRE, FFRRO,
FFEO and OEM (Headquarters and Regional Offices)
Program Goals and Planning Requirements
Program Implementation Procedures
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. D.C. 20460
OCT -12010
OFFICE OF
SOLID WASTE AND EMERGENCY
RESPONSE
MEMORANDUM
SUBJECT: Final FY 2011 Electronic Superfiind Program Implementation Manual
/f
L^
FROM: Jp Robin H. Richardson, Director
Resources Management Division,
TO; Addressees
PURPOSE
This document announces the release of OSWER Directive 9200.3-14-1G-V, "Electronic
Superfund Program Implementation Manual (eSPIM)," Fiscal Year (FY) 2011.
DOCUMENT
The FY11 eSPIM was opened on-line for regional and headquarters review on May 10,2010
and comments were received by August 20,2010. Data Sponsors were responsible for making final
edits and responding to comments through the wiki by September 10,2010.
IMPACT ON CERCLIS
For a comprehensive summary of potential impacts resulting from the FY11 SPIM that may
affect CERCLIS or the SCAP reports, please see the attached Impact Analysis.
ACTION
The eSPIM is in an electronic format. If you have specific program questions, please contact
the Subject Matter Expert (SME) identified on the change log or the last page of each section of the
eSPIM. Please contact Renee Hamilton (703-603-9092) for general eSPIM questions. The FY11
eSPIM can be found at http://www.epa.gov/superfund/action/process/spiml 1 .htm.
Attachments
Recycled/Recyclable
Printed with Soy/Carwla Ink on paper that
contains at least 50% recycled fiber
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DISTRIBUTION LIST
Addressees
TO: Superfund Branch Chiefs (Regions I - X)
Regional Counsel Branch Chiefs (Regions I - X)
CC: Superfund National Policy Managers (Regions I - X)
Regional Counsels (Regions I - X)
Information Management Coordinators (Regions I - X)
Budget Coordinators (Regions I - X)
Financial Management Coordinators (Regions I - X)
Kathy Jones
James Woolford
Barnes Johnson
Elizabeth Southerland
Elliott Gilberg
OSRTI Division Directors and Branch Chiefs
Laura Milton
Charlotte Englert
David Hindin (2222A)
Gail Cooper
Dana Stalcup
SuePriftis(5I03)
Lance Elson (2261 A)
Randy Hippen
Marie Bell (5106P)
Terry Jeng
Richard Jeng
Tracy Hopkins
Karin Koslow
Pat Kennedy
Kevin Brittingham (2733R)
Randy Hippen
Patricia Gowland
Brendan Roache
Steven Blankenship
Deborah Dietrich
Kerron Weston
Monica Gardner
Tina van Pelt
Vincent Yelez
lantha Gilmore
Bernard Sehorle
Catherine Allen
Phyllis Anderson
Bill Finan
Armando Santiago
Mary Bell
Lisa Guarneiri
Eric French
Ann Pontius
Beckett Grealish
Debbie Bishop
Amy Vandenburg
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
Superfund Program Implementation Manual FY 11
Table of Contents
Impact Analysis
Managers' Schedule of Significant Events
Acronyms
Organizational Charts
Change Log
Chapter I: Introduction 1-1
LA Purpose 1-1
IB Superfund 1-2
I.B.I Introduction 1-2
I.E.2 Superfund and its History 1-3
I.B.3 "Principles for Superfund Cleanup in the 21st Century" 1-4
a. Superfund Targets Sites that Pose Significant Risks 1-4
b. Regions Consider Alternative Cleanup Program Options and Funding
Sources 1-5
c. Appropriate Sites are Listed on the NPL 1-5
d. Cleanup Decisions Consider Future Reuse of Sites 1-5
e. Cleanup Decisions are Based on Sound Science and Utilize Innovative
Technologies 1-5
f. Superfund Pursues "Enforcement First" 1-6
g. Mega-sites are Subdivided for Appropriate Management 1-6
h. New EPA Funding for Remedial Actions is Selected Based on
Prioritization Factors 1-6
i. Work Plans are Developed for Each Site in Construction 1-7
j. Superfund Addresses Long-Term Stewardship Needs 1-7
k. The Superfund Database Supports the Program and Meets a Broad
Range of Information Needs 1-7
I. The Superfund Program Actively Evaluates Whether its Program is
Operated Efficiently 1-8
m. Superfund is a Model of Public Outreach and Involvement. 1-8
n. Superfund Provides State-of-the-Art National Emergency Preparedness
and Response 1-9
I.B.4 Superfund Initiatives 1-9
a. Integrated Cleanup Initiative 1-9
b. Community Engagement Initiative 7-70
1C Subject Matter Experts 1-11
FY 11 SPIM TOC-1 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
Chapter II: Superfund Budget Planning Process and Financial
Management
II.A Introduction II-l
II.B Budget Development Process. II-l
II.B.l Budget Formulation (Outyear) II-l
II.B.2 Budget Review and Planning (Planning Year) II-2
II.B.3 Budget Execution (Current Year) II-2
II. C Superfund National Response Programs II-4
II.C.l Program Results Code (PRC) II-4
II.C.2 Superfund Program Goals and Priorities II-5
a. Superfund: Remedial (302DD2) II-6
b. Superfund Emergency Response and Removal (302DC6) II-6
c. Homeland Security: Preparedness, Response, and Recovery (302D 72) 77-7
d. Superfund Enforcement (501EC7) II-8
e. Federal Facilities Response Budget (302DC9) 77-9
/ Base Realignment and Closure (302D41 and 302D41B4) 77-9
g. Federal Facilities Enforcement (501EH2) 77-70
II.D Allocating Superfund Resources Among the Regions. 11-10
II.D.l Remedial Response Program Resources 11-11
a. Remedial Action SA 77-77
b. Pipeline Operations SA 77-72
II.D.2 Homeland Security/Removal Response Program Resources 11-13
II.D.3 Superfund Federal Facilities Response Program 11-13
II.D.4 Base Realignment and Closure (BRAC) 11-14
II.D.5 Enforcement Program 11-14
II.D.6 Federal Facilities Enforcement Program Resources 11-15
II.D.7 Deobligating Prior Year Funds 11-15
II.D.8 Budget Sources and Associated Action Codes 11-15
II.E Superfund Financial Management 11-24
II.E.l Financial Management Roles and Responsibilities 11-24
a. Regional Financial Management Office 11-24
b. Regional Administrator (unless delegated to Regional Program office).. 11-24
c. Regional Program Office 77-25
d. On-Scene Coordinator (OSC) 77-25
e. Remedial Project Manager (RPM) 11-26
f Regional Project Officer (RPO)/Deputy Project Officer (DPO) 11-26
g. Administrative Support Unit 11-26
h. Office of Financial Management (OFM)/Office of the Chief Financial
Officer 77-27
/'. Office of Acquisition Management (OAM) 77-27
/ Grants Administration Division (GAD)/Office of Administration 77-2 7
k. Budget Division/OCFO 77-27
/. Cincinnati Finance Center (CFC) Office of Financial Services 77-27
m. Research Triangle Park (RTF) Finance Center Office of Financial
Services 77-25
n. Las Vegas Finance Center (LVFC) 77-25
II.E.2 Financial Data Management Systems and Tools 11-28
II.F Regional Superfund Funding Process 11-30
II.F.l Funding Process 11-30
a. Approvals 11-30
October 1,2010 TOC-2 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
b. Commitments 11-31
c. Obligations 11-31
d. Payments (Outlays) 11-31
e. Deobligations 11-32
II. G Superfund Accounting Information and Treatment ofCERCLIS data 11-32
II.G.l Superfund Account Number 11-32
a. Fund/Appropriation Code 11-33
b. Site/Project Field. 11-34
II.G.2 Handling Financial Data in the CERCLIS Environment 11-35
a. Entering Response, Enforcement and Federal Facility Data into
CERCLIS 11-35
b. Correcting Financial Data 11-35
II.H Financial Vehicles 11-35
II.H.1 Contracts 11-36
a. Contracts for Site-Specific Work 11-36
b. Contracts for Non-Site Specific Work 11-36
c. General Site Support Contracts 11-36
d. Enforcement Support Services (ESS)/Zone Enforcement Support
Services (ZESS) 11-37
e. Mission Support Contracts 11-37
II.H.2 Other Financial Vehicles 11-38
a. InteragencyAgreements (lAG's) 11-38
b. Cooperative Agreements (CA) 11-38
c. Superfund State Contracts (SSC's) 11-39
II.I Cost Recovery Process 11-41
II.I.I Recovery Process 11-41
a. Initiation of Cost Recovery Process 11-41
b. Cost Documentation and Reconciliation 11-41
c. Work Performed Documentation and Reconciliation 11-42
d. Site File Maintenance 11-42
e. Superfund Indirect Costs 11-43
f. Annual Allocation 11-43
g. Cashout/Special Accounts 11-43
h. Department of Justice (DOJ) Involvement 11-43
II. J Superfund Financial Contact Information 11-44
II.J.l Regional Superfund Cost Recovery Contacts 11-44
II.J.2 Headquarters Superfund Cost Recovery Contacts 11-45
II.J.3 Regional Budget Coordinators 11-45
II.J.4 Subject Matter Experts 11-46
Chapter III: Program Planning and Reporting Requirements
III.A Introduction III-l
III.B Performance Goals and Measures III-l
III.C CERCLIS Planning and Accomplishment Data III-3
III.D The Planning and Reporting Cycle III-4
III.D.l Planning III-4
a. May/June III-4
b. July/August 111-4
III.D.2 Reporting III-5
FY 11 SPIM TOC-3 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
a. November/December III-5
b. April/May III-5
c. September/October/November 7/7-5
III.E Regional/Headquarters Roles and Responsibilities III-6
a. Information Management Coordinator III-6
b. Budget Coordinator 777-7
c. Data Sponsors 777-7
d. Data Owners 777-5
e. OSRTI Regional Support 777-5
III.F Program Performance Evaluation III-8
III. G Planning/Accomplishment and Management Reporting 7/7-9
III.G. 1 CERCLIS Reports for Planning/Target Setting and Accomplishment
Reporting III-9
III.G.2 Management Reports 111-10
777.77 Target Setting and Definition Change Requests III-ll
III.H.1 Setting Targets in CERCLIS III-ll
III.H.2 CERCLIS Target Change Requests 111-12
777.7 Special Reporting Topics 111-13
III.I.l Base Realignment and Closure Facilities 111-13
III.I.2 Mega-Sites 111-13
777.7 General Data Requirements/Protocols 111-14
III.J.l Change Control Requirements for this Manual 111-14
III.J.2 Data Lockout on Historical Accomplishments 111-14
III.J.3 Data Validation and Verification 111-15
III.J.4 Action Lead Codes 111-15
III.J.5 Lead Changes 111-17
III.J.6 Anomalies and Phased Projects 111-18
III.K CERCLIS Report Contacts and Subject Matter Experts 777-79
Appendix A: Site Assessment/NPL Listing Targets and Measures
A.A Information Systems A-l
A.A.I Site Assessment A-l
A.A.2 Site Assessment Backlogs A-2
A.A.3 Overview of FY 11 Site Assessment/NPL Listing Targets and Measures A-2
A.A.4 Site Assessment Measures A-2
A.A.5 Site Status Indicators A-4
A.A.6 Data Quality A-9
A.A.7 Action Qualifiers for Site Assessment Actions A-9
a. No Further Remedial Action Planned (NFRAP) A-9
b. Further Evaluation ^4-70
c. Perform a Removal ^4-70
d. Defer the Site to RCRA (Subtitle C) or the NRC A-10
e. Sites addressed as part of existing NPL sites ^4-77
/ Sites addressed as part of other existing non-NPL sites ^4-77
g. State Deferral Action Qualifiers ^4-72
h. Referred From RCRA Action Qualifier ^4-72
A.A.8 Special Initiatives A-12
A.A.9 Site Assessment Critical Indicators A-13
A.A.10 Pre-CERCLIS Screening Assessments A-13
October 1,2010
TOC-4
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
a. Definition of Accomplishment: A-14
b. Referred From RCRA A-16
c. Site Discovery ^4-77
d. Sites Archived A-18
e. Preliminary Assessments (PA) at Non-Federal Facility Sites ^4-27
/ Federal Facility Preliminary Assessment Reviews A-23
g. Site Inspections (SI) at Non-Federal Facility Sites A-23
h. Site Reassessment ^4-25
/'. Expanded Site Inspections (ESI) at Non-Federal Facility Sites ^4-27
/ Federal Facility SI Reviews A-28
k. Federal Facility ESI Reviews ^4-29
/. Integrated Expanded Site Inspection/Remedial Investigation (ESI/RI)
at Non-Federal Facility Sites ^4-29
m. State Deferral of Non-Federal Facility Sites ^4-37
n. Hazard Ranking System Package (HRS) ^4-32
o. NPL Listing A-34
p. Other Cleanup Activity (OCA) A-36
A.A.ll Tribal Inventory Information A-38
a. Native American Interest A-38
b. Associating site to an American Indian Tribe/Alaskan Native Entity A-38
A.B Subject Matter Experts A-39
Appendix B: Response Actions
B.A Current Program Priorities B-l
B.A.I Protect Human Health and the Environment B-l
a. Pipeline Management Review/RA Construction B-l
b. Construction Completion B-2
c. Superfund Alternative Approach (SAA) Settlements B-3
d. Agency for Toxic Substances and Disease Registry B-3
B.A.2 Maximize Program Effectiveness and Efficiency B-4
a. Remedial Action Project Completions at National Priority List Sites B-4
b. Innovative Technologies B-6
c. Effective Contract Management B-6
d. Superfund Redevelopment Initiative B-7
e. Cross-Program Revitalization Measure B-8
f Cross-Program Revitalization Measures (CPRM) Indicators B-9
B.B FY11 Response Targets and Measures B-12
B.B.I Remedial Action and Federal Facilities Response Action Target/Measures B-12
B.B.2 Response Action Definitions B-13
Parti. Remedy Selection B-13
a. Remedial Investigation (RI) Starts (NPL & Superfund Alternative) B-13
b. Feasibility Study (FS) Starts (NPL & Superfund Alternative) B-l 6
c. Combined RI/FS Start (NPL & Superfund Alternative) B-20
d. Treatability Studies B-23
e. Start of Public Comment Period (Proposed Plan to Public) (NPL &
Superfund Alternative) B-24
f. RI/FS Duration (NPL & Superfund Alternative) B-25
g. Engineering Evaluation/Cost Analysis (EE/CA) B-26
h. Decision Documents Developed. 5-27
/'. Final Remedy Selected B-32
FY 11 SPIM TOC-5 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
Part II. Remedial Implementation B-34
j. Removal Starts -Please see Appendix F B-34
k. Remedial Design (RD) Start (NPL & Superfund Alternative) B-34
I. RD Completion (NPL & Superfund Alternative) B-37
m. Remedial Action (RA) Start (NPL & PRP-lead Superfund Alternative) ... B-38
n. RA Contract Award (NPL & PRP-lead Superfund Alternative) B-46
o. Start ofOn-Site Construction B-47
p. Operational and Functional (O&F) B-50
q. Completion of a Response Action (NPL & PRP-lead Superfund
Alternative) B-52
r. Construction Completion (NPL & PRP-lead Superfund Alternative) B-55
Part III. Post Construction Completion B-56
s. Long-Term Response Action (LIRA and PRP LR) (NPL & PRP-lead
Superfund Alternative) B-56
t. Operation and Maintenance (O&M) B-59
u. Cleanup Goals Achieved B-61
v. Ground Water Monitoring B-62
w. NPL Site Completions B-64
x. Five Year Reviews B-65
y. Partial NPL Deletion B-68
z. Final NPL Deletion B-70
Part IV. Cross Program Revitalization Measures (CPRM) B-71
aa. Sitewide Ready for Anticipated Use 5-77
bb. Protective for People Under Current Conditions (PFP) B-73
cc. Ready for Anticipated Use (RAU) B-75
Part V. Environmental Indicators B-77
dd. Human Exposure Under Control 5-77
ee. Migration of Contaminated Ground Water Under Control B-83
ff. Populations Protected B-85
gg. Cleanup Volume B-86
Part VI. Support Activities B-87
hh. Support Agency Assistance B-87
ii. Technical Assistance B-88
B.C Subject Matter Experts B-89
Appendix C: Enforcement
C.A FY11 Enforcement C-l
C.A.I FY11 Targets and Measures for Enforcement C-l
a. New OECA GPRAMeasure C-l
b. Past Costs Addressed >$200,000 Via Settlements, Referrals,
Write-Offs, orClaims in Bankruptcy C-2
c. Pre-Remedial Enforcement Action at Superfund Sites C-4
C.A.2 Promoting the Superfund Enforcement Program C-6
C.A.3 Criteria for Credit of Enforcement Activities at Superfund Alternative Sites C-9
a. Potentially Responsible Party (PRP) Search Starts C-10
b. PRP Search Completions C-ll
c. Section 104(e) Referrals and Orders Issued C-12
d. Submittal ofPre-Referral Negotiation (PRN) Package to DOJfor
RD/RA Negotiations C-12
October 1,2010 TOC-6 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
e. Issuance of General Notice Letters (GNLs) C-13
f. Issuance of Special Notice Letters (SNLs) C-13
g. Expanded Site Inspection/Remedial Investigation/Feasibility Study
(ESI/RI/FS) Negotiation Starts C-14
h. Remedial Design/Remedial Action (RD/RA) Negotiation Starts
(NPL & Superfund Alternative) C-14
i. Completion or Termination of Negotiations for RD/RA (NPL &
Superfund Alternative) C-16
j. Completion or Termination of Negotiations for Cleanup (RD/RA,
Removals, and Other) (NPL & Superfund Alternative) C-17
k. Percentage of Remedial Action Starts Initiated by PRPs at Non-
Federal Facility NPL and Superfund Alternative Sites C-20
I. Total Response Commitments (Including Dollar Value) C-20
m. Total Amount of Response Commitments Secured through Financial
Assurance C-22
n. Minimis Settlements and Number of Parties C-23
o. Cashout Settlements C-25
p. Section 106, 106/107, 107 Case Resolution (Including Claim in
Bankruptcy) C-26
q. Issuance of Demand Letter C-27
r. Total Cost Recovery Settlements (Including Dollar Value) C-2 7
s. Recoverable Past Costs That Have Been Addressed by Program to
Date Via Settlements, Referrals, Write-Offs, or Claims in Bankruptcy.... C-28
t. Number and Amount of CERCLA Penalties Assessed C-30
u. Number and Amount of CERCLA Supplemental Environmental
Projects (SEPs) C-31
v. Number of Settlements Where EPA Settled Based on Ability-to-Pay
Determinations C-32
Bona Fide Prospective Purchaser Agreements C-33
Prospective Purchaser Agreements (PPAs) & Prospective Lessee
Agreements (PLAs) C-33
y. Issuance of Comfort/Status Letters C-35
z. Contiguous Property Owners (CPOs) C-35
aa. Windfall Lien Resolution - Finalized. C-36
bb. Orphan Share -EPA Offer and Compensation C-37
cc. Non-Exempt De Micromis Parties Settlements and Number of Parties.... C-39
dd. PRP Oversight Administration C-40
ee. Settlements Designating Funds for Deposit to Special Accounts C-41
ff. Deposits Into Special Accounts C-43
gg. Settlements Designating Funds for Disbursement from Special
Accounts to PRPs C-44
hh. Disbursements from Special Accounts for Response Actions C-45
ii. Closure of Special Accounts C-46
jj. Management of Special Accounts C-47
C.A.4 Institutional Controls and Site Revitalization C-49
a. Institutional Controls C-49
b. Site Revitalization C-50
C.B Subject Matter Experts C-51
FY 11 SPIM TOC-7 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
Appendix D: Federal Facility Response
D.A Federal Facilities Goals and Priorities D-l
D.A.I Overview D-l
D.A.2 Superfund Federal Facility Goals D-l
a. Strategic Federal Facility Goals D-l
b. Cross-Program Revitalization Measure Implementation D-3
c. Cross-Program Revitalization Measures (CPRM) Indicators D-3
d. Superfund Integrated Cleanup Initiative (ICI) D-6
D.A.3 EPA's Federal Facility Superfund Cleanup Principles D-6
D.A.4 Federal Facility Docket and Site Discovery/Site Assessment D-9
a. Overview D-9
b. Federal Facility Docket Process and the Federal Facilities Site
Discovery Process D-9
c. Federal Facility Site Assessment Process and Time Frames D-l 0
d. Authority for Conducting Federal Facility Site Assessments - E. O.
12580 D-ll
e. Federal Facility Site Assessment Reports & EPA Review andHRS
Evaluation D-l 2
f Tracking of Federal Facility Sites in CERCLIS D-l 3
D.A.5 BRAC Budget and Financial Guidance D-13
a. Resources and Tracking Mechanisms D-13
b. Accountability for Resources D-l 4
D.A.6 Cleanup Privatization at BRAC NPL Sites D-16
D.A.7 Military Munitions Response Program D-16
D.A.8 Stakeholder Involvement D-17
D.B Federal Facilities FY 08/09 Targets and Measures D-18
D.B.I Overview of FY 10/11 Federal Facilities Targets and Measures D-18
a. Reporting ofNon NPL Federal Facilities Data D-l 9
D.B.2 Federal Facilities Site Discovery/Site Assessment Definitions D-21
a. D.B.2.a. Site Discovery D-21
b. Federal Facility Preliminary Assessment Reviews D-22
c. Federal Facility SI Reviews D-24
d. Federal Facility ESI Reviews D-25
D.B.3 Federal Facilities Accomplishment Definitions D-26
a. Base Closure Decisions: Start and Completions D-26
b. Non-BRAC Property Actions D-27
c. Federal Facility Agreement (FFA)/Interagency Agreement (IAG) D-28
d. Federal Facility Dispute Resolution D-29
e. Use of Supplemental Environmental Projects (SEPs) D-30
f. Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility
Investigation (RFI) Starts D-30
g. Timespanfrom Final NPL Listing To RI/FS D-31
h. Decision Documents D-31
i. Final Remedy Selected D-32
j. ROD Amendments D-33
k. Explanation of Significant Differences (ESD) D-34
I. Remedial Design (RD) or RCRA Corrective Measure Design (CMD) D-34
m. Duration of ROD to IAG Negotiation Completion D-35
n. Remedial Action (RA) or RCRA Corrective Measure Implementation
(CMI) Starts D-35
October 1,2010 TOC-8 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
o. Time span from ROD Signature to RA Start D-36
p. RA or CMI Completions D-36
q. Removal or RCRA Interim/Stabilization Measure (ISM) Starts and
Completions D-39
r. Migration of Contaminated Ground Water Under Control D-40
s. Long-Term Human Health Protection Indicator D-42
t. Operation and Maintenance (O&M) D-44
u. Cleanup Objectives Achieved D-44
v. NPL Site Construction Completions D-45
w. Federal Facility Partial NPL Deletion D-47
x. Federal Facility Final NPL Deletion D-48
y. Federal Facility Five-Year Reviews D-49
D.B.4 Community Involvement Definitions D-52
a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards
(SSABs) D-52
b. Technical Assistance Grants (TAGs) D-53
D.B.5 Cross Program Revitalization Measures (CPRM) D-53
a. Sitewide Ready for Anticipated Use D-53
b. Protective for People Under Current Conditions (PFP) D-55
c. Ready for Anticipated Use (RAU) D-57
D.B.6 Cleanup Privatization at BRAC NPL Sites D-59
D. C Subject Matter Experts D-61
Appendix E: Information Systems
E.A Information Systems E-l
E.A.I Purpose of CRECLIS and SDMS E-l
a. Site Assessment E-l
b. Remedy Selection E-2
c. Federal Facilities E-2
d. Community Involvement E-3
e. Removal E-3
f Enforcement E-3
g. Project Management E-4
h. Program Management. E-5
E.A.2 Superfund Data Architecture E-6
E.A.3 Reporting Superfund Information E-7
a. Regional Users E-7
E.A.4 Applicability of the Freedom of Information Act E-8
a. Reports Releasable under Freedom of Information Act (FOIA) E-8
b. Sensitive Information Not Releasable under FOIA E-8
c. Ad Hoc Reporting E-ll
d. Accessing FOIA Information E-l 2
E.A.5 Data Owners/Sponsorship E-13
E.B Data Sponsors E-13
FY 11 SPIM TOC-9 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
Appendix F: Removal Targets and Measures
F.A Protect Human Health and the Environment. F-l
F.A.I Removal Actions F-l
F.A.2 Removal Initiation F-l
F.A.2 Homeland Security F-l
F.A.3 Overview of Removal Actions Target/Measures F-3
a. Removal Starts F-4
b. Removal Completions F-6
F.B Subject Matter Experts F-8
Appendix G: Government Performance and Results Act (GPRA)
G.A Government Performance and Results Act (GPRA) of 1993 G-l
G.A.I Strategic Plan Requirements G-l
a. Comprehensive Mission Statement G-l
b. General Goals and Objectives G-l
c. Description of How General Goals and Objectives Will Be Achieved. G-2
d. Relationship Between Goals in the Annual Performance Plan and in a
Strategic Plan G-2
e. Key Factors Affecting Achievement of General Goals and Objective G-2
f. Program Evaluations G-2
G.A.2 Annual Performance Plan G-2
a. Performance Goals G-2
b. Resources G-3
c. Performance Indicators G-3
d. Verification and Validation G-3
G.A.3 Performance and Accountability Report G-3
G.B Superfund GPRA Structure G-3
Appendix H: Community Involvement
H.A FY08/09 Targets and Measures H-l
H.A.I Overview of FY11 Community Involvement Target/Measures H-l
a. Community Advisory Groups (CAGs)/Restoration Advisory Boards
(RABs)/Site-Specific Advisory Boards (SSABs) H-l
b. Technical Assistance Grants (TAGs) H-2
c. Technical Assistance Services for Communities (TASC) H-3
H.B CIOB Data Sponsor Responsibilities H-3
H.B.I National Program Requirements and the Data Sponsor Role H-3
a. Program Goals and Objectives H-3
b. Statutory Mandates H-4
c. Regulatory and Policy Requirements H-4
d. Superfund Reforms H-4
e. Reauthorization, Congressional Inquiries, and Audits H-4
H.B.2 CIOB Headquarters and Regional Organization H-8
H.B.3 Program Monitoring and Reporting H-9
a. Data Quality H-9
b. Management Reports H-10
c. Coding Guide H-10
d. Modifications (since last update) H-10
H.C Subject Matter Experts H-10
October 1,2010 TOC-10 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
Appendix I: Superfund Documents
LA Record Definition 1-1
IB Records 1-1
l.C SDMS. 1-2
I.D Applicability to Superfund 1-2
Appendix J: American Recovery and Reinvestment Act (ARRA)
J.A General Information J-l
J.A.I Purpose, Contents, and Applicability J-l
a. Why is EPA issuing this guidance? J-l
b. What is in this guidance? J-l
c. To whom does this guidance apply to? J-2
J.A.2 Responsible Officials in the Superfund Program J-2
J.A.3 Ensuring Accountability for Recovery Act Implementation J-2
J.A.4 Roles and Responsibilities of Other EPA Offices J-2
J.A.5 EPA Governance and Risk Management Activities J-3
J.A.6 Inspector General Activities J-4
J.A.7 Links to Other Information J-5
J.B Superfund Remedial Program Provisions of the American Recovery and
Reinvestment Act 7-5
J.B.I Availability of Funds J-5
J.B.2 Objectives of the Recovery Act Funding for the Superfund Remedial
Program J-5
J.B.3 Comparison to Regular Appropriations J-6
J.B.4 Eligible Activities J-6
J.B.5 Distribution of Recovery Act Funds J-6
J.B.6 State Cost Share J-7
J.B.7 Monitoring and Evaluating Recovery Act Implementation J-7
J.C Superfund Recovery Act Communications and Reporting J-8
J.C.I Recovery Act Press Release Procedures J-8
J.C.2 Recovery Act Award Notification Procedures J-8
a. Monday Close of Business J-8
b. Tuesday Noon J-8
c. Thursday J-8
d. Friday J-9
J.C.3 Public Communication Procedures J-9
J.C.4 Recipient Reporting Requirements J-9
J.C.5 EPA Reporting Requirements J-10
J.C.6 Weekly Financial and Activity Reports J-10
J.C.7 Agency and Program-Specific Plans J-ll
J.C.8 Performance Measures J-ll
J.C.9 Reporting and Tracking Systems J-12
J.D Recovery Act Budget Execution Guidance for the Superfund Remedial Program J-14
J.D.I Budget Structure and Coding J-14
J.D.2 Allocating Recovery Act General Resources J-15
J.D.3 Allocating Recovery Act Management and Operation Resources J-15
J.D.4 Reprogramming of Recovery Act Funds J-16
J.D.5 CERCLIS Planning J-16
J.D.6 Projects that are Unable to Use Allocated Recovery Act Funds J-17
FY 11 SPIM TOO 11 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
J.D.7 Cost Recovery J-17
J.E Recovery Act Superfund Contracts, Interagency Agreements, and Cooperative
Agreements J-17
J.E.I Recovery Act Financial Award Vehicles J-17
J.E.2 Contracts J-18
J.E.3 Interagency Agreements and Interagency Assisted Acquisitions J-18
J.E.4 Best Interest Reviews for Assisted Acquisitions J-18
J.E.5 Direct Cite Programs J-19
J.E.6 Cooperative Agreements J-19
J.E.7 Superfund State Contract Payment Schedules J-19
J.E.8 Socio-Economic Goals J-20
J.E.9 Bona Fide Needs Rule J-20
J.E.10 Infrastructure and Buy American Provisions J-20
J.E. 11 Davis Bacon Act J-21
J.E. 12 Funds-In Interagency Agreements for Federal Facility Oversight J-22
October 1,2010 TOC-12 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
List of Exhibits
Exhibit I.C. Subject Matter Experts 1-11
Exhibit II. 1: Budget Timeline II-3
Exhibit II.2: Program Results Code (PRC) II-5
Exhibit II.3: Action Codes for Financial Transactions Sorted by CERCLIS Action Name
(Who pays for what) 11-16
Exhibit II.4: ACCOUNT NUMBER STRUCTURE 11-32
Exhibit II.6: EPA Forms Commonly Used for Superfund Procurements 11-37
Exhibit II.7: Regional Cost Recovery Contacts 11-44
Exhibit II.8: Headquarters Superfund Cost Recovery Contacts 11-45
Exhibit II.9: Regional Budget Coordinators 11-45
Exhibit 11.10: Headquarters Subject Matter Experts 11-46
Exhibit III.l. Regional/Headquarters CERCLIS Responsibilities III-6
Exhibit III.2. Evaluation Responsibilities III-9
Exhibit III.3. Action Lead Codes in CERCLIS 111-16
Exhibit III.4. Coding of Takeovers 111-18
Exhibit III.5. Remedial Events, Anomalies, and Project Phasing 111-19
Exhibit III.6. SCAP Report Contacts 111-19
Exhibit III.7. Subject Matter Experts 111-20
Exhibit A.I. Site Assessment/NPL Listing Activities A-4
Exhibit A.2. Site Assessment Action Qualifiers A-12
Exhibit A.3. Subject Matter Experts A-39
Exhibit B.I. Response Action Activities B-12
Exhibit B.2. Human Exposure Evaluation Flowchart B-81
Exhibit B.3. Superfund Migration of Contaminated Ground Water Under Control Worksheet B-84
Exhibit B.4. Subject Matter Experts B-89
Exhibit C.I Enforcement Activities C-7
Exhibit C.2 Subject Matter Experts C-51
Exhibit D.I. (1 of 3) Federal Facilites NPL Sites D-19
Exhibit D.I. (2 of 3) Federal Facilites BRAC Sites D-20
Exhibit D.I. (3 of 3) Federal Facilites Non-NPL Sites D-20
Exhibit D.2: Remedial Pipeline Flow Charts D-39
Exhibit D.3: Superfund Migration of Contaminated Ground Water Under Control Worksheet D-41
Exhibit D.4. Superfund Long-Term Human Health Protection Worksheet D-43
FY 11 SPIM TOC-13 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
Exhibit D.5. Subject Matter Experts D-61
Exhibit E.I: Superfund Data Architecture E-7
Exhibit E.2: Data Sponsors E-13
Exhibit G.I. Subject Matter Experts G-6
Exhibit H.I: Community Involvement Requirements H-5
Exhibit H.2: CIOB HQ and Regional Roles and Responsibilities H-9
Exhibit H.3: Subject Matter Experts H-10
Exhibit I.I. Core Superfund Documents 1-2
J.I. Appendix A Funding Award Notification Template J-23
J.2. Appendix B OMB Definition of Obligation and Outlay J-25
J.3. Appendix C Class Deviation Approval 3/9/09 J-27
October 1,2010 TOC-14 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
Superfund Program Implementation Manual FY 11
Impact Analysis
FY 11 SPIM October 1, 2010
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OSWER Directive 9200.3-14-1G-V
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October 1, 2010 FY 11 SPIM
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OSWER Directive 9200.3-14-1G-V
IMPACT ANALYSIS
The following are potential impacts resulting from the FY 11 SPIM that may affect
CERCLIS or the SCAP reports. In addition, changes to the SPIM may impact Data Quality
Objectives and Quick Reference Guides. The impacts identified are based on a limited review of
the data. Additional impacts may be identified once the requirements analysis is complete.
General
Edits to the Subject Matter Experts throughout the SPIM will require updates to the
Subject Matter Experts in the SCAP reports.
Appendix A
Added new GPRA measure Superfund Remedial Site Assessments. This change will
require updates to CERCLIS (Regional Planning screens) the SCAP-15 and SCAP-13 reports.
Added requirement that archive status of child site should match that of its parent site.
Revised language to disallow archival of a child site that is part of an NPL site since NPL sites
are not eligible for archiving. This change will require a CERCLIS change.
Added text stating HQ will update FAD and ERS Exclusion status indicators at child sites
of sites being proposed to the NPL. This will require a change to the NPL update script.
Added Type of Use Indicators to the Site Status Indicators section. This change may
require CERCLIS change to the Site Description/Operable Units Screen.
Appendix B
Added new Remedial Action Project Completion Measure. This change may require an
update to SCAP-14 and 15 reports.
Appendix C
Added a new measure, "Contiguous Property Owners (CPOs)" to Appendix C. This new
measure may require the addition of a new enforcement instrument category in CERCLIS and
may impact Enforcement and SCAP-14 reports.
Added a new measure, "Management of Special Accounts," to Appendix C. This new
measure will require the addition of a new Enforcement report.
Added a new measure, "Total Amount (Dollar Value) of Response Commitments
Secured through Financial Assurance," to Appendix C. This new measure may require a
CERCLIS change a may impact Enforcement and SCAP reports.
Changed name and updated measure, "Recoverable Past Costs That Have Been
Addressed Program to Date Via Settlements, Referrals, Write-Offs, or Claims in Bankruptcy
FY 11 SPIM 1 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
Proceedings". This change may require a change to CERCLIS and will require a change to
Enforcement reports.
Changed name and updated measure, "Past Costs Addressed greater than $200,000 via
settlements, referrals to DOJ, filing a claim in a bankruptcy proceeding, or where appropriate
write-off. This change may require an update to CERCLIS and a change to the SCAP-14 and
Enforcement reports.
Deleted the following measures/activities which may require changes to SCAP and
Enforcement reports:
• Use of Alternative Dispute Resolution (ADR),
• The total value of cost recovery settlements and judicial actions achieved, and past
costs considered recoverable,
• The number of enforcement actions taken at NPL sites to have PRPs conduct or
participate in response activities compared to the total number of sites on the NPL.
The percentage and estimated value of PRP commitments to response activities at
non-Federal facility sites on the NPL
• The total value of cost recovery settlements and judicial actions achieved, and past
costs considered recoverable
• The amount of money EPA has collected from PRPs compared to the total amount
achieved in cost recovery settlements and judicial actions
• The estimated amount of money PRPs have committed legally to site cleanup
compared to the total amount of funds expended by the Superfund enforcement
program
• Windfall Lien Filed
• Windfall Lien Resolution - Finalized
October 1,2010 2 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
Superfund Program Implementation Manual FY 11
Managers' Schedule of Significant Events
FY 11 SPIM Managers' Schedule -1 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
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October 1, 2010 Managers' Schedule-2 FY 11 SPIM
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OSWER Directive 9200.3-14-1G-V
MANAGERS' SCHEDULE OF SIGNIFICANT EVENTS
CERCLIS is the official repository for Superfund data. Data are expected to be kept complete,
current, and consistent in order to be readily available for routine, unexpected, and immediate
needs.
FY11
OCTOBER 2010 QUARTER 1 (FY 10)
7 HQ pulls 4th quarter FY 10 accomplishment and financial data from CERCLIS and provides
for:
1) Special program reports
2) Initial FY 10 end-of-year Program Assessment
7 HQ pulls 4th quarter FY 10 accomplishment data from CERCLIS for review of end of year
GPRA accomplishments and inclusion in EPA's FY 2010 Performance and Accountability
Report (PAR).
14 HQ pulls 4th quarter FY 10 final accomplishment and financial data from CERCLIS for non-
GPRA targets.
NOVEMBER 2010
TBD SF National Policy Managers Meeting
TBD AA/RA Priorities Meeting for FY 12
TBD Agency publishes Performance and Accountability Report for FY 10
TBD Regions revise CERCLIS to reflect GPRA performance goals, and program targets/measures
forFYll.
2-4 Superfund Focus Forum (SFF)
Mid- Late OMB passback of FY 12 budget request
Nov
Late Nov/ Agency appeal of the OMB FY 12 budget passback
Early Dec
FY 11 SPIM Managers' Schedule -3 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
Late Nov/
Early Dec
7
TBD
TBD
Late Jan/
Early Feb
On or
before the
first
Monday in
Feb
Mid
Late
Late
Late
DECEMBER 2010
OSRTI sets targets for national remedial pool deobligations.
JANUARY 2011 QUARTER 2 (FY 11)
SCAP Pull for 1st Quarter FY 11 accomplishments and financial data - 5th working day of
the month
Regions submit draft deobligation plans to OSRTI
OSRTI issues Pipeline operations Site Allowance resources to regions
HQ pulls 1st quarter data for Quarterly Management Report (QMR).
FEBRUARY 2011
President submits FY 12 budget request to Congress
NPMs issue draft National guidance for FY 2012
APRIL 2011 QUARTER 3 (FY 11)
OSRTI pulls 2nd quarter accomplishment and financial data from CERCLIS and provides
for:
1) Special program reports
2) Mid-Year Work Planning evaluation
NPMs issue National Program Guidance for FY 2012
MAY 2011
NPMs meet with the Administrator to review FY 12 program goals
OSRTI/OSRE send workplanning memorandum to regions on proposed budgets, GPRA
annual performance goals and program targets/measures
October 1,2010
Managers' Schedule-4
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
MAY 2012 (CONTINUED)
TBD Annual Goal Team Meetings with Deputy Administrator on FY 12 progress and FY 13
priorities.
TBD Superfund Focus Forum (technical)
JUNE 2011
1-30 Regions update schedules and financial information in CERCLIS for FY 12, FY 13, and FY
14 in preparation for workplanning meetings
TBD HQ presents FY 12 Superfund goals and priorities and FY 13 investments to the
Administrator and Regional Administrators
TBD Administrator and OC provide HQ program offices and regions with policy for FY 13
budget formulation
Late NPMs/Regions begin bidding process for FY12 accomplishments
JULY 2011 QUARTER 4 (FY 11)
2 Regions draft commitments due in BAS
9 OSRTI pulls planning information from CERCLIS:
1) to support FY 12 and FY 13 budget request
2) to prepare for FY 13 workplanning
3) Quarterly Management Report
9 OSRTI pulls 3rd quarter accomplishment and financial data from CERCLIS.
9 Enforcement provides:
1) Special program reports
2) 3rd quarter performance evaluations
TBD NPMs submit proposed FY 13 budgets to OCFO/Administrator
TBD HQ program offices and lead regions make presentation to Administrator/Deputy
Administrator on FY 13 program priorities [FY 13 Budget Forum]
TBD HQ/Regions begin work planning sessions on the final FY 12 GPRA annual performance
goals and program targets/measures and budget
TBD Administrator passback of FY 13 budget request
FY 11 SPIM Managers' Schedule -5 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
AUGUST 2011
TBD Agency develops FY 13 budget for submission to the Office of Management and Budget
(OMB)
5 HQ pulls CERCLIS data to assist in preparation of the FY 13 budget to OMB
TBD Agency develops strategy for presenting the FY 13 budget to OMB
TBD Final revisions to FY 13 APGs and APMs due to OCFO
Mid NPMs begin drafting FY2011 Annual Performance Report
SEPTEMBER 2011
TBD Agency submits FY 13 budget to OMB
TBD Final GPRA commitments due in BAS
FY12
OCTOBER 2011 QUARTER 1 (FY 12)
7 HQ pulls 4th quarter FY11 accomplishment and financial data from CERCLIS and provides
for:
1) Special program reports
2) Initial FY 11 end-of-year Program Assessment
3) Quarterly Management Report
7 HQ pulls 4th quarter FY 11 final accomplishment data from CERCLIS for review of end-of-
year GPRA accomplishments and inclusion in EPA's FY 2011 Performance and
Accountability Report
14 HQ pulls 4th quarter FY 11 final accomplishment data from CERCLIS for non-GPRA
targets.
TBD Superfund Focus Forum (SFF)
NOVEMBER 2011
TBD SF National Policy Managers Meeting
TBD Agency publishes Performance and Accountability Report for FY 11
TBD Regions revise CERCLIS to reflect GPRA performance goals and program targets/measures
for FY 12
October 1, 2010 Managers' Schedule-6 FY 11 SPIM
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OSWER Directive 9200.3-14-1G-V
TBD
TBD
Late Nov/
Early Dec
TBD
6
TBD
On or
before the
first
Monday in
Feb
Mid
NOVEMBER 2011 (CONTINUED)
OMB passback of FY 13 budget request
AA/RA Priorities Meeting for FY 13
DECEMBER 2011
Agency appeal of the OMB FY 13 budget passback
OSRTI sets targets for national remedial pool deobligations
JANUARY 2012 QUARTER 2 (FY 12)
Regions submit draft FY 12 deobligation plans to HQ
SCAP Pull for 1st Quarter FY 12 accomplishments and financial data - 5th working day of
the month
OSRTI issues Pipeline Operations Site Allowance resources to region
FEBRUARY 2012
President submits FY 12 budget request to Congress
Late
NPMs issue draft program guidance for FY12
APRIL 2012 QUARTER 3 (FY 12)
OSRTI pulls 2nd quarter accomplishment and financial data from CERCLIS and provides
for:
1) Special program reports
2) Mid-Year Work Planning evaluation
3) Quarterly Management Report
NPMs issue final national program guidance for FY 13
FY 11 SPIM
Managers' Schedule -7
October 1,2010
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OSWER Directive 9200.3-14-1G-V
MAY 2012
Late OSRTI/OSRE send workplanning memorandum to Regions on proposed budgets and GPRA
annual performance goals and program targets/measures
Late NPMs meet with the Administrator to review FY 13 program goals
TBD Annual Goal Team Meetings with Deputy Administrator on FY 12 progress and FY 14
priorities
TBD Superfund Focus Forum (technical)
JUNE 2012
1-30 Regions update schedules and financial information in CERCLIS for FY 13, FY 14, and FY
15 in preparation for workplanning meetings
TBD OSWER presents FY 13 Superfund goals and priorities and FY 14 investments to the
Administrator and Regional Administrators
TBD Administrators and OC provide HQ program offices and Regions with policy for FY 14
budget formulation
Late NPMs/Regions begin bidding process for FY13 accomplishments
JULY 2012 QUARTER 4 (FY 12)
6 Regions draft commitments due in BAS
13 OSRTI pulls planning information from CERCLIS:
1) to support FY 13 and FY 14 budget request
2) to prepare for FY 13 workplanning
13 OSRTI pulls 3rd quarter accomplishment and financial information from CERCLIS.
13 Enforcement provides:
1) Special program reports
2) 3rd quarter performance evaluations
TBD NPMs submit proposed FY 14 budgets to OCFO/Administrator
TBD HQ program offices and lead regions make presentations to Administrator/Deputy
Administrator on FY 14 program priorities [FY 14 Budget Forum]
October 1, 2010 Managers' Schedule-8 FY 11 SPIM
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OSWER Directive 9200.3-14-1G-V
JULY 2012 (CONTINUED)
TBD HQ/Regions begin work planning sessions on the final FY 13 GPRA annual performance
goals and program targets/measures and budget
TBD Administrator passback of FY 14 budget request
AUGUST 2012
7 Agency pulls CERCLIS data to assist in preparation of the FY 14 budget to OMB
TBD HQ develops FY 14 budget for submission to the Office of Management and Budget (OMB)
TBD Agency develops strategy for presenting the FY 14 budget to OMB
TBD Final revisions to FY 14 APGs and APMs due to OCFO
Mid NPMs begin drafting FY12 performance report
SEPTEMBER 2012
TBD Final GPRA commitments due in BAS
TBD Agency submits FY 14 budget to OMB
FY 11 SPIM Managers' Schedule -9 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
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October 1, 2010 Managers' Schedule-10 FY 11 SPIM
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OSWER Directive 9200.3-14-1G-V
Superfund Program Implementation Manual FY 11
Acronyms
FY 11 SPIM Acronyms-1 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
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October 1,2010 Acronyms-2 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
AA
AA OSWER
AA OECA
AAU
AC
ACP
ADCR
ADD
ADR
AES
AH/RC
AN
AO
ADA
AOC
AOG
APG
APM
AR
ARAR
ARCS
ARIP
ARM
ASF
AST
ASTM
ASTSWMO
ASTW
ASU
ATSDR
ATSDR HAZDAT
BAS
BC/AOA
BCT
BLM
BRAC
BTAG
BUREC
CA
CADD
CAG
CAS No.
Assistant Administrator
Assistant Administrator for the Office of Solid Waste and Emergency Response
Assistant Administrator for the Office of Enforcement and Compliance Assurance
Administrative Assistance Unit
Area Committee; Assistant Chief
Area Contingency Plan
Automated Document Control Register
Assistant Division Director
Alternative Dispute Resolution
Architect & Engineering Services
Allowance Holder/Responsibility Center
Account Number
Administrative Order
Advice of Allowance
Administrative Order on Consent
Agency Operating Guidance
Annual Performance Goal
Annual Performance Measure
Administrative Record
Applicable or Relevant and Appropriate Requirements
Alternative Remedial Contracting Strategy
Accidental Release Information Program
Administration and Resources Management
Above-ground Storage Facility
Above-ground Storage Tank
American Society for Testing and Materials
Association of State and Territorial Solid Waste Management Officials
Above-ground Storage Tank Workgroup
Administrative Support Unit
Agency for Toxic Substances and Diseases Registry
Agency for Toxic Substances and Diseases Registry Hazardous Data System
Budget Automation System
Budget Control/Advice of Allowance
Base Cleanup Team
Bureau of Land Management
Base Realignment and Closure
Biological Technical Assistance Group
Bureau of Reclamation
Cooperative Agreement
Corrective Action Decision Document
Community Advisory Group
Chemical Abstract Services Number
FY 11 SPIM
Acronyms-3
October 1,2010
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OSWER Directive 9200.3-14-1G-V
CBD
CD
CEPP
CEPPO (now OEM)
CERCLA
CERCLIS
CERFA
CFO
CI
CIAO
CIC
CIOC
CIP
CLP
CN
CO
COI
CPCA
CR
CRP
CWA
CWG
DA
DAS
DEC
DCN
DD
DNAPL
DOD
DoD
DOE
DOI
DOJ
DOPO
DOT
DPO
DRG
EBS
EE/CA
El
EMSL
Commerce Business Daily
Consent Decree
Chemical Emergency Preparedness and Prevention Program
Chemical Emergency Preparedness and Prevention Office (OSWER)
Comprehensive Environmental Response, Compensation, and Liability Act of
1980
Comprehensive Environmental Response, Compensation, and Liability
Information System
Community Environmental Response Facilitation Act
Chief Financial Officer
Community Involvement
Citizen Information and Access Offices
Community Involvement Coordinator
Community Involvement & Outreach Center (OSRTI)
Community Involvement Plan
Contract Laboratory Program
Commitment Notice
Contracting Officer
Conflict of Interest
Core Program Cooperative Agreement
Community Relations (Please see CI & CIP also)
Community Relations Plan (Please see CI & CIP also)
Clean Water Act
Community Work Groups
Deputy Administrator
Delivery of Analytical Services
Deputy Branch Chief
Document Control Number
Division Director
Dense Non-Aqueous Phase Liquid
Deputy Office Director
Department of Defense
Department of Energy
Department of the Interior
Department of Justice
Delivery Order Project Officer
Department of Transportation
Deputy Project Officer
District Response Group
Environmental Baseline Survey
Engineering Evaluation/Cost Analysis
Environmental Indicator
Environmental Monitoring Systems Laboratory
October 1,2010
Acronyms-4
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
ENRD
EPA
EPA-ACH
EPA ID
EPCRA
EPI
EPIC
EPS
ERA
ERCS
ERNS
ERRS
ERS
ERT
ESAT
ESD
ESF
ESI
ESI/RI
ESS
FAD
FAS
FCO
FCOR
FDW
FE
FEMA
FFFYR
FFA
FFCA
FFEO
FFRRO
FFIS
FFS
FMC-Ci
FMD
FMFIA
FMO
FOIA
FOSL
POST
FR
FRP
Environment and Natural Resources Division (DOJ)
Environmental Protection Agency
EPA Automated Clearing House
EPA Identification Number
Emergency Planning and Community Right to Know Act of 1986
Environmental Priorities Initiative
Environmental Photographic Interpretation Center
Environmental Protection Specialist
Expedited Response Action
Emergency Response Cleanup Services
Emergency Response Notification System
Emergency and Rapid Response Services
Eligible Response Sites
Environmental Response Team
Environmental Services Assistance Team
Explanation of Significant Differences
Emergency Support Function
Expanded Site Inspection
Expanded Site Inspection/Remedial Investigation
Enforcement Support Services
Final Assessment Decision
Field Analytical Sampling
Funds Certifying Officer
Final Close-Out Report
Financial Data Warehouse
Federal Enforcement
Federal Emergency Management Agency
Federal Facility Five Year Review
Federal Facility Agreement
Federal Facility Compliance Agreement
Federal Facilities Enforcement Office
Federal Facilities Restoration and Reuse Office
Federal Facilities Information System
Focused Feasibility Study
Financial Management Center - Cincinnati
Financial Management Division
Federal Managers Financial Integrity Act
Financial Management Office
Freedom of Information Act
Finding of Suitability to Lease
Finding of Suitability to Transfer
Federal Register
Facility Response Plan; Federal Response Plan
FY 11 SPIM
Acronyms-5
October 1,2010
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OSWER Directive 9200.3-14-1G-V
FS
FTE
FUDS
FY
FYR
FY/Q
GAD
GAO
GFO
GICS
GIS
GNL
GPRA
HAZDAT
HHS
HI
HQ
HRS
HSWA
HWC
IAG
ICIS
ICTS
IFMS
IG
IMC
1MB
IMS
IOTV
LAN
LEPC
LERP
LOG
LOE
LTCS
LIRA
MAD
MAG
MARS
MM/DD/YY
MMS
MOA
MOHR
Feasibility Study
Full-time Equivalent
Formerly Used Defense Sites
Fiscal Year
Five Year Review
Fiscal Year/Quarter
Grants Administration Division
General Accountability Office
Good Faith Offer
Grants Information Control System
Geographic Information System
General Notice Letter
Government Performance and Results Act
Hazardous Data System
Health and Human Services
Hazard Index
Headquarters
Hazard Ranking System
Hazardous and Solid Waste Amendments
Hazardous Waste Collection
Interagency Agreement
Integrated Compliance Information System
Institutional Control Tracking System
Integrated Financial Management System
Inspector General
Information Management Coordinator
Information Management Branch (OSRTI)
Integrated Management Strategy
Interoffice Transfer Voucher
Local Area Network
Local Emergency Planning Committee
Local Emergency Response Plan
Letter of Credit
Level of Effort
Long Term Contracting Strategy
Long Term Response Action
Method Accuracy and Description (MAD Code)
Management Advocacy Group
Management and Accounting Reporting System
Month/Day/Year
Minerals Management Service
Memorandum of Agreement
Magnitude of Hazard Reduction
October 1,2010
Acronyms-6
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
MORR
MOU
MSCA
NACEPT
NAPL
NEAR
NCP
NEPPS
NFFA
NFRAP
NOAA
NOS
NPL
NPM
NRC
NRS
NRT
NSEP
NSFCC
NIC
NTIS
NTSD
0AM
OARM
OBCR
OC
OCA
OCFO
OD
OECA
OEM
O&F
OGC
OIG
O&M
OMB
OPA
OPAC
ORC
ORD
OSC
OSRE
Magnitude of Risk Reduction
Memorandum of Understanding
Multi-Site Cooperative Agreement
National Advisory Committee on Environmental Policy and Technology
Non-Aqueous Phase Liquid
Non-Binding Allocation of Responsibility
National Oil and Hazardous Substances Pollution Contingency Plan aka National
Contingency Plan
National Environmental Performance Partnership System
No Further Federal Action
No Further Remedial Action Planned
National Oceanic and Atmospheric Administration
Not Otherwise Specified
National Priorities List
National Program Manager
National Response Center
National Response System
National Response Team
National Security Emergency Preparedness
National Strike Force Communication Center
Non-Time Critical
National Technical Information Services
National Technical Support Division
Office of Acquisition Management
Office of Administration and Resources Management
Office of Brownfields Cleanup and Redevelopment
Office of the Comptroller
Other Cleanup Activity
Office of the Chief Financial Officer
Office Director
Office of Enforcement and Compliance Assurance
Office of Emergency Management
Operational and Functional
Office of General Counsel
Office of the Inspector General
Operation and Maintenance
Office of Management and Budget
Oil Pollution Act of 1990
On-line Payment and Collections
Office of Regional Counsel
Office of Research and Development
On-Scene Coordinator
Office of Site Remediation and Enforcement (OECA)
FY 11 SPIM
Acronyms-7
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
OSRTI
OSW
OSWER
OU
OUST
PA
PAH
PC
PCB
PCOR
PECB
PNRS
PO
POS
PPED
PPG
PQOP
PR
PPA
PREP
PRP
PRSC
PSO
QA
QAPP
QAT
RA
RAC
RADS
RAGS
RCMS
RCP
RCRA
RCRC
RD
RD/RA
RDT
REMT
RESAT
RFP
RI
RI/FS
RME
Office of Superfund Remediation and Technology Innovation
Office of Solid Waste
Office of Solid Waste and Emergency Response
Operable Unit
Office of Underground Storage Tanks (OSWER)
Preliminary Assessment
Polyaromatic Hydrocarbons
Personal Computer
Polychlorinated biphenyl
Preliminary Close-Out Report
Program Evaluation & Coordination Branch (OSRE)
Preliminary Natural Resource Surveys
Project Officer POLREP Pollution Report
Program Operations Staff (OSRE)
Policy & Program Evaluation Division (OSRE)
Performance Partnership Grant
Pre-Qualified Officers Procurement
Procurement Request
Prospective Purchaser Agreement
Preparedness Response Exercise Program
Potentially Responsible Party
Post-Removal Site Controls
Program Support Office
Quality Assurance
Quality Assurance Project Plan
Quality Action Team
Remedial Action; Regional Administrator
Response Action Contract
Risk Assessment Data System
Risk Assessment Guidance for Superfund
Removal Cost Management System
Regional Contingency Plan
Resource Conservation and Recovery Act
Regional Cost Recovery Coordinator
Remedial Design
Remedial Design/Remedial Action
Regional Decision Team
Regional Emergency Preparedness Team
Regional Environmental Services Assistance Team
Request for Proposal
Remedial Investigation
Remedial Investigation/Feasibility Study
Reasonable Maximum Exposure
October 1,2010
Acronyms-8
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
RMP
ROC
ROD
RPM
RPO
RRT
RTF
SACA
SACM
SAM
SARA
SAS
SB/RTC
SCAP
SCORPIOS
SDMS
SEP
SERC
SERF
SFO
SI
SIBAC
SIP
SITE
SME
SMOA
SMP
SMSA
SNAP
SNL
SOL
SOW
SPCC
SPIM
SRA
SRIS
SRP
SSA
SSAB
SSC
SSID
SSP
START
Risk Management Plan
Remedial Oversight Contract
Record of Decision
Remedial Project Manager
Regional Project Officer
Regional Response Team
Research Triangle Park
Site Assessment Cooperative Agreement
Superfund Accelerated Cleanup Model
Site Assessment Manager
Superfund Amendments and Reauthorization Act of 1986
Special Analytical Services
Statement of Basis/Response to Comments
Superfund Comprehensive Accomplishments Plan
Superfund Cost Recovery Package and Image On-Line System
Superfund Document Management System
Supplemental Environmental Project
State Emergency Response Commission
State Emergency Response Plan
Servicing Finance Office
Site Inspection
Simplified Interagency Billing and Collection
Site Inspection Prioritization
Superfund Innovative Technology Evaluation
Subject Matter Expert
Superfund Memorandum of Agreement
Site Management Plan
Standard Metropolitan Statistical Area
Superfund National Assessment Program
Special Notice Letter
Statute of Limitations
Statement of Work
Spill Prevention, Control, and Countermeasure
Superfund Program Implementation Manual
Superfund Reform Act
Superfund Report Information System
Superfund Redevelopment Program
Site Screening and Assessment
Site-Specific Advisory Board
Superfund State Contract
Site/Spill Identification Number
Site Safety Plan
Superfund Technical Assistance and Response Team
FY 11 SPIM
Acronyms-9
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
STSI
TASC
TAG
TAT
TDD
TIFSD
TOSC
TOPO
TRC
TRW
TSCA
TSD
UAO
USCG
USAGE
USFWS
USGS
VRP
WA
WAM
WasteLAN
ZPO
State, Tribe, & Site Identification Branch (OSRTI)
Technical Assistance Service for Communities
Technical Assistance Grant
Technical Assistance Team
Technical Direction Document
Technology Innovation and Field Services Division (OSRTI)
Technical Outreach Services for Communities
Task Order Project Officer
Technical Review Committee
Technical Review Workgroup
Toxic Substances Control Act
Treatment, Storage, and Disposal Facility
Unilateral Administrative Order
United States Coast Guard
U.S. Army Corps of Engineers
United States Fish and Wildlife Service
United States Geological Survey
Vessel Response Plan
Work Assignment
Work Assignment Manager
Regional instance of CERCLIS (national) database
Zone Project Officer
October 1,2010
Acronyms-10
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
Superfund Program Implementation Manual FY 11
Organizational Charts
FY 11 SPIM Organizational Charts-1 October 1, 2010
-------
OSWER Directive 9200.3-14-1G-V
This Page Intentionally Left Blank
October 1, 2010 Organizational Charts -2 FY 11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
Federal Facilities
Restoration &
Reuse Office
John Reeder, Director
. Gail Cooper, Pep. Director J
Center for Program
Analysis
Brigid Lowery, Director
Innovation Partnership &
Communication Office
Marsha Winter, Director
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
IMMEDIATE OFFICE OF THE
ASSISTANT ADMINISTRATOR
Mathy Stanislaus, AA
Barry N, Breen, PDAA
Lisa Feldt, DAA
Organizational
Management &
Integrity Staff
Lora Culver, Director
PMO
Office of Program
Management
Renee Wynn, Dir.
SIO
Information Management
& Data Quality Staff
Stephen Schmitt, Director
I MO
Policy Analysis &
Regulatory
Management Staff
Barbara A. Hostage, Dir.
Acquisition & Resources
Management Staff
Sue Priftis, Director
SBO
Office of Superfund
Remediation &
Technology Innovation
Jim Woolford, Director
Barnes Johnson, Dap. Dir
Resources Management
Division
Robin H. Richardson Div. Dir.
Assessment & Remediation
Division
Elizabeth Southertand, Div. Dir.
Technology Innovation
& Field Services Division
Arnold Layne, Dry. Dir.
Office of Resource Conservation
& Recovery
Suzanne Rudzinski, Act. Director
Margaret Guerriiero, Act. Dep. Dir.
Office of Underground
Storage Tanks
Carolyn Hoskinson, Dir.
(Vacant) Deputy Dir.
Environmental Response Team
David Wright, Chief
Hany Compton, DBC (East) NJ
Dennisses Valdes, DBC (West) NV
Program Mgmt. Communications
& Analysis Office
Robert Hall, Act. Director
Materials Recovery &
Waste Management Div.
Robert De)lingerp Director
Resource Conservation &
Sustainability Div.
Betsy Smidinger, Director
Program Implementation
& Information Division
James Berlow, Director
\^
Policy & Standards
Division
Mark Baroto, Director
\
J
Implementation
Division
Adam Klinger, Director
J
Office of Brownfields
& Land Revitalization
David Lloyd, Director
Myra Blakely, Dep. Dir.
Office of Emergency
Management
Dana Tulis, Act. Dir.
MaryAnn Petrole, Act. Dep. Dir.
Homeland Security Laboratory |
Response Center
Schatzi Fitz-James, Team Leader)
Business Operations
Center
Dana Stalcup, Director
National Planning &
Preparedness Division
Mark Mjoness, Director
National
Decontamination Team
Scott Hudson, Act.Director
Program Operations &
Coordination Division
Gilberto Irizarry, Dir.
Evaluation &
Communications
Division
Kathleen Jones, Director
Regulation & Policy
Development Division
R.Craig Matthiessen, Dir.
Revised July 15,2010
FY11 SPIM
Organizational Charts-3
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
Office of Superfund Remediation and Technology Innovation
James VVcioIfortl, Director
Barnes Johnson, Deputy Director
Resources
Management Division
Robin H. Richardson, Director
Cheryl Upton, Associate Director
Human Resources Branch
Connie Andrews, Chief
Contracts Management Branch
Barbara McDonoiigh, Chief
information Management Branch
Patricia (lowland. Chief
Charles Sands, Associate Chief
Budget, Planning and Evaluation Branch
Art l-laks. Chief
Alan ^ miUeles, Associate Chief
Technology Innovation
and Field Services Division
Arnold K. Layne, Director
Jeff Heimerman, Associate Director
Analytical Services Branch
Mclanic Hofl", Acting Chief
Technology Integration and
Information Branch
Dan Powell, Chief
Technology Assessment Branch
James Cuinniin^s, Actin« Chief
Environmental Response Team
David Wri^hl, Chief
Harry Comptyn, Deputy Chief (KAST)
Dennisses Valdes, Deputy Chief (\\KST)
Assessment and
Remediation Division
Flt/abcth Sotitherland, Director
Bruce Means, Acting Associate Director-
Site Assessment and
Remedy Decisions Branch
s Aminoii, Chief
Community Involvement and
Program Initiatives Branch
Suzanne Wells, Chief
Larry itaragoza. Associate Chief
Construction and Post-Conslruction
Management Branch
David F.. Cooper, Chief
John J, Smith, Associate Chief
Science Policy Branch
Helen Daivson. Chief
8/24,'If)
October 1,2010
Organizational Charts -4
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
U.S. Environmental
Protection Agency
Office of Compliance
(OC)
Director: Lisa C. Lund
DOD: David A. Hindin
Agriculture Division (AgD)
Director: Al Havinga
Compliance Assessment
and Media Programs
Division (CAMPD)
Director (A): Rick Duffy
AD: Ken Gigliello
Compliance Assessment
and Sector Programs
Division (CASPD)
Director (A) Vacant
AD (A): Robbi Farrell
Enforcement Targeting
and Data Division
Director: John
Dombrowski
DD: Lucy Reed
National Enforcement
Training Institute Division
(NETI)
Director (A): Mike Walker
DD: Michael. Richardson
AD: Deb Hanlon
National Planning,
Measures and Analysis
Staff (NPMAS)
Director:
Christopher Knopes
DD: James Pendergast
Federal Facilities
Enforcement Office (FFEO)
Director: David Kling
DOD (A): Greg Snyder
Immediate Office
Assistant Administrator:
Cynthia Giles
PDAA: Catherine R. McCabe
DAA: Matthew Bogoshian
Office of Enforcement and
Compliance Assurance
(OECA)
Office of Environmental
Justice (OEJ)
Director: Charles Lee
DOD: Heather Case
AD: Kent Benjamin
Office of Civil
Enforcement I.OCE)
Director: Adam M.
Kushner
DOD: Pam Mazakas
Air Enforcement Division
(AED)
Director: Phillip Brooks
AD: Matthew W. Morrison
Special Litigation and
Projects Division (SLPD)
Director: Bernadette
Rappold
AD: Susan O'Keefe
Waste and Chemical
Enforcement Division
(WCED)
Director: Rosemarie
Kelley
AD: Don Lott
AD (A): Kenneth Schefski
Water Enforcement
Division (WED)
Director: Mark Pollins
AD: Kate Anderson
Office of Criminal
Enforcement,
Forensics and Training
JOCEFT)
Director: Fred Burnside
DOD (A): Jonathan S.
Cole
AD: Jonathan S. Cole
Criminal Investigation
Division (CID)
Director: Ella R. Barnes
DD (A): Daniel Morgan
Homeland Security Division
(HSD)
Director: Steven C. Drielak
DD: Ted J. Stanich
Legal Counsel Division
(LCD)
Director: Michael R. Fisher
DD: Thomas J. Seaton
National Enforcement
Investigations Center
(NEIC)
Director, Howard M. Cantor
DD: Tom Morris
Office of
Administration and
Policy (OAP)
Director (A): Mark
Badalamente
DOD (A): Doug Parker
Office of Site
Remediation
Enforcement (OSRE)
Director: Elliott Gilberg
DOD (A): Sandra Connors
Administration
Management Division
(AMD)
Director: Patricia Keitt
Budget and Financial
Management Division
(BFMD)
Director: David Swack
Information Technology
Division (ITD)
Director: Sara Roman
Policy and Legislative
Coordination Division
(PLCD)
Director: Caroline Ahearn
Policy and Program
Evaluation Division (PPED)
Director (A): Monica
Gardner
DD: Vacant
Regional Support Division
(RSD)
Director: Kenneth Patterson
DD: Karin Leff
Program Operation Staff
(POS)
Director: Laura Milton
Office of Federal
Activities (OFA)
Director: Susan Bromm
DOD: Kimbertey DePaul
AD: Cheryl Wasserman
International Compliance
Assurance Division (ICAD)
Director: Robert Heiss
NEPA Compliance Division
(NCD)
Director: Robert Hargrove
PDAA = Principal Deputy Assistant Administrator
DAA = Deputy Assistant Administrator
DOD = Deputy Office Director
AD = Associate Director
DD = Deputy Division Director
(A) = Acting
Revised September 9, 2010
FY11 SPIM
Organizational Charts-5
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
OFFICE OF EMERGENCY MANAGEMENT
Office of Emergency
Dana Ttiiis, Act. Dir.
Mary Ann Petrole, Act. Dep. D»r_
!(^_ ,^f
Ho me-Land Security Laboratory
R-espo-n.se Center
I Sch-afzi Fitz-J-ame-s. 'Tea^m i-e-ader
Gusirte-s-s Operations
Ce-nt-er
Stalcup, Director
National Planmimg &
P'repare-dmie'S s Division
Mark Mjon-ess.
Nation a I
Oeoontanriinatiori Team
tt Hudson. A.ct.Dia-e-ctow
Program O pe-rations &
Coordinait.iojT Division
Gilb-erto Iriziarry. O-ir.
Evaluation &
Com m>uni-cat:ici'.ns
Olvi-sion
Kat-l«=-e-n Jones, Girector
Re--gillation & Policy
De-velopmerit Division
R.Craig Matthiesser-i, Dir
October 1,2010
Organizational Charts -6
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
Superfund Program Implementation Manual FY 11
Change Log
FY 11 SPIM October 1, 2010
-------
OSWER Directive 9200.3-14-1G-V
This Page Intentionally Left Blank
October 1, 2010 FY 11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
CHANGE LOG
October 1, 2010
SPIM
Section
Comment
Provided By
Change Description
Chapter 1
1.B.4
I.C
Renee Hamilton
Subject Matter
Experts
Added new section: Superfund Initiatives
Updated list of Subject Matter Experts
Chapter 2
II.C
II.C.2
II.D.5
II.D.7
II.E.l.n
II.E.2
II.H.l.b
II.J
II.J.2
II.J.3
Alice Ludington
Alice Ludington
Alice Ludington
Alice Ludington
Alice Ludington
Alice Ludington
Eric French
Alice Ludington
Alice Ludington
Alice Ludington
First sentence -removed parentheses and the word including. It now reads
"...components of the Superfund Response and Enforcement programs,..."
2010 Program Project Description Book link has been added
In the 1st paragraph/3 rd sentence section in the parentheses now reads- (as
measured by expenditures for the current year to date and the preceding two
years)
2nd paragraph -change language to use the actual name of the guidance and
added a link to guidance - ...jointly issue the Deobligation Recertification
Guidance -Superfund/LUST/Oil Spill Response Resources.
Added new section: Las Vegas Finance Center (LVFC)
Added alternate name and updated list of systems
Added as last sentence - BAS does not contain reprogramming including
recertification.
Under "Enforcement Support Services (ESS)/Zone Enforcement Support
Services(ZESS):
Change the second bullet to: Regions issue task orders against the contracts
on a site-specific basis
Change the third bullet to: Site-specific task orders are not entered into
IFMS
Change the seventh bullet to RPOs and CORs may conduct concurrent
reviews
Region VIII - deleted Judy Lehmann and replaced with Ray Montenegro
301/312-6394 Region X - deleted Diane Norton and replaced with Carrie
Williams 206/553-1 194 and Scott Ryan 206/553-0285.
Deleted the column titled "Position" and then the replace the HQ Superfund
Cost Recovery Contacts
Updated Regional Budget Coordinators list
FY 11 SPIM
Change Log-1
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
SPIM
Section
II.J.4
Comment
Provided By
Alice Ludington
Renee Hamilton
Change Description
Updated Subject Matter Experts list
Chapter 3
III.B
III. G.I
III.G.2
III .H.I
III.7
Kerry Street
Alice Ludington
Brenda Haslett
Alice Ludington
Alice Ludington
Alice Ludington
Updated links
Added the following report: ENFR-66
Deleted references to SCAP 14F
Added the following report - ENFR 67
Deleted the last two bullets regarding de minimis settlements and PRP
oversight administration.
Deleted Alice Ludington and added Eric French for Enforcement - updated
Subject Matter Experts
Appendix A
A.A.1
A.A.2
A.A.3
A.A.4
Exhibit A.I
Exhibit A.I
A.A.5
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Deleted language: Listing a site on the NPL is one tool among many that
are available to EPA and State cleanup program managers to accomplish
the cleanup of contaminated waste sites. In light of current program
resource realities, Fund-financed remedial action at NPL sites has become
the tool of last resort.
Added language: Headquarters will measure regional progress on sites still
needing assessment with special emphasis on sites over one year old
without any assessment started, and sites over four years old without a
listing decision. A listing decision is defined as a site assessment with a
NFRAP decision, or with a decision to study /cleanup a site via the NPL or a
non-NPL cleanup approach. Regions should consider these assessment
workloads when planning FY1 1 assessment work; however, the primary
goal within the assessment program continues to be assessing worst sites
first.
Deleted text: Regions should continue to plan and report accomplishments
for FADs in CERCLIS
Updated section to include language on the new Superfund Remedial Site
Assessment Measure.
Updated the Site Assessment/NPL Listing Activities Chart to reflect
changes to the GPRA measures
Updated the Action Qualifiers Exhibit
Added definition for "Final Site Assessment Decisions." Deleted "The
number of FADs is a GPRA goal" from the FAD definition. Added
definitions for the "Type of Use" indicators.
October 1,2010
Change Log-2
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
SPIM
Section
AA.lO.d
A.A.10.0
A.A.10.p
Comment
Provided By
Randy Hippen
Randy Hippen
Randy Hippen
Change Description
Added sentence that archive status of child site should match that of its
parent site. Revised 5th bullet to disallow archival of a child site that is part
of an NPL site since NPL sites are not eligible or archiving.
Added text stating HQ will update FAD and ERS Exclusion status
indicators at child sites of sites being proposed to the NPL.
Deleted definition of OCA FADs.
Appendix B
B.a
B.b
B.A.2
B.A.2.a
B.B.2.h
B.B.2.0
B.B.2.V
B.B.2.dd
B.B.2.ee
B.B.2.ff
Exhibit B. 4
Jennifer Hovis
Jennifer Hovis
Jennifer Hovis
Jennifer Hovis
Randy Hippen
Jennifer Hovis
Jennifer Hovis
Ross Gilleland
Ross Gilleland
Ross Gilleland
Jennifer Hovis
Removed first sentence that was out of date.
Revised to remove old dates.
Revised to remove old dates.
Added new section for new RA Project Completion measure.
Revised language describing where decision documents (including action
memos) should be sent.
Removed mention of Limited RAs and GW monitoring, neither of which
were appropriate for this section
Added new section for Ground Water Monitoring
Added language to clarify that SDMS numbers are required for each
documented cited in support of the Human Exposure determination.
Added language to clarify that SDMS numbers are required for each
documented cited in support of the Migration of Contaminated
Groundwater determination.
Clarified that there exist an SDMS Source Document for "populations
protected."
Updated Subject Matter Experts
Appendix C
C.A.a
C.A.b
C.A.b
Eric French
Eric French
Eric French
Added new section: New OECA GPRA Measure
Renamed and renumbered from C.A.a to C.A.b: Past Costs Addressed >
$200,000 Via Settlements, Referrals, Write-Offs, or Claims in Bankruptcy
Added language: Credit for past costs addressed via a Claim in
Bankruptcy Proceedings was previously given based on the date the
bankruptcy strategy package was prepared or on the date of the first
creditor committee meeting. These dates are reported in CERCLIS
as Sub Actions to the Claim in Bankruptcy Proceedings Action.
Beginning in FY 2010, only the Claim in Bankruptcy Proceedings
Action actual start date is required to receive credit for addressing
past costs via a claim in bankruptcy.
FY 11 SPIM
Change Log-3
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
SPIM
Section
C.A.b
C.A.2
Exhibit
C.I.
C.A.2.h
C.A.2.1
C.A.2.m.
Comment
Provided By
Eric French
Eric French
Eric French
Eric French
Eric French
Eric French
Change Description
Updated measure to reflect changes to receiving credit for Claims in
Bankruptcy.
Updated to address changes to Past Costs Addressed > $200,000
Updated table to include new measures: Total Amount (Dollar Value) of
Response Commitments Secured through Financial Assurance and
Contiguous Property Owners (CPOs).
Updated table to delete the following measures: Enforcement
Settlements/Instruments for RD/RA/Long Term Response (LR) (Including
Dollar Value), Use of Alternative Dispute Resolution (ADR), Total Amount
of Response Commitments Secured through Financial Assurance, Windfall
Lien Filed
Updated table to rename the following measures: Windfall Lien Resolution
- Finalized to Windfall Lien Resolution Agreements, Recoverable Past
Costs That Have Been Addressed by Program to Date Via Settlements,
Write-Offs, or Referrals to Recoverable Past Costs That Have Been
Addressed by Program to Date Via Settlements, Referrals, Write-offs, or
Claims in Bankruptcy, and Bona Fide Prospective Purchaser Agreements
(Removal) to Bona Fide Prospective Purchaser Agreements
Updated Special Planning and Reporting Requirements to add the
following: If a Site-Specific Exception Plan has been approved by HQ, the
date of the plan was approved should be reported in CERCLIS as a
SubAction to the negotiations (SubAction Name = Site-Specific Exception).
Updated Special Planning and Reporting Requirements to add/modify the
following: Settlement credit will be given for an AOC or CA with a
Prospective Purchaser (PPA), Prospective Lessee (PLA), Bona Fine
Prospective Purchaser (BFPP), Contiguous Property Owner (CPO) or
Windfall Lien Resolution (WL) Agreement with BFPP if PPA, PLA,
BFPP,, CPO, or WL is the selected enforcement instrument category. The
appropriate Site Lead Action Qualifier of MF (Multi-Site- First Site) or MS
(Multi-Site Subsequent) should be entered into CERCLIS on the
Enforcement schedule for a single settlement covering multiple sites in
order to apportion the dollars correctly across individual sites without
double counting the settlement.
Added new measure: Total Amount of Response Commitments Secured
through Financial Assurance
October 1,2010
Change Log-4
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
SPIM
Section
C.A.2.S.
C.A.2.1
C.A.2.W
C.A.2.Z.
Comment
Provided By
Eric French
Eric French
Eric French
Eric French
Change Description
Updated Definition of Accomplishment to include Bankruptcy Filing -
Credit is given based on the date the Claim in Bankruptcy Proceedings is
transmitted to DOJ (Action Name = Claim in Bankruptcy Proceedings).
This date is reporting in CERCLIS as the actual start date (Actual Start).
For each Claim in Bankruptcy, the "Federal Costs Sought - Past" must be
entered into CERCLIS.
Updated Changes in Definition FY10 - FY1 1 to read:
Credit for past costs addressed via a Claim in Bankruptcy was previously
given based on the date the bankruptcy strategy package was prepared or on
the date of the first creditor committee meeting. These dates are reported in
CERCLIS as SubActions to the Claim in Bankruptcy Proceedings Action.
Beginning in FY 2010, only the claim in Bankruptcy Proceedings Action
actual start date is required to receive credit for addressing past costs via a
claim in bankruptcy.
Updated Special Planning/Reporting Requirements to read:
This a program measure. The "Federal Costs Settled - Past" must be
entered info CERCLIS. The appropriate Site Lead Action Qualifier of MF
(Multi-Site-First Site) or MS (Multi-Site-Subsequent Site) should be
entered in CERCLIS on the Enforcement Schedule for a single settlement
covering multiple sites in order to apportion the dollars correctly across
individual sites without double counting the settlement. This measure will
be reported in the ENFR-03 report. The "Federal Costs Settled - Past" (i.e.,
the value of costs recovered) will be reported for GPRA.
Modified Special Planning/Reporting Requirements adding in the following
sentence: Official end of year numbers and values for Stipulated Penalties
are reported by the Office of Enforcement and Compliance Assurance using
information from the Integrated Compliance Information System (ICIS).
Updated first sentence of Special Planning/Reporting Requirements to read:
Regions should select the enforcement instrument category Bona Fide
Prospective Purchaser (BFPP) work agreement (Enforcement Instrument
Categories Selected = BFPP Work Agreement) in CERCLIS and associate
the appropriate response action.
Added new measure: Contiguous Property Owners (CPOs)
Appendix D
D.A.1
D.A.2.a
D.A.2.d
D.A.3.
Brenda Haslett
Amanda Sutton
Amanda Sutton
Amanda Sutton
Updated text to ensure consistency with the capitalization of Federal
facilities.
Revised language under : Strategic Federal Facility Goals."
Added section: "Superfund Integrated Cleanup Initiative."
Added language on "Green remediation."
FY 11 SPIM
Change Log-5
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
SPIM
Section
D.A.4.b
D.A.4.d
D.A.4.e
D.A.5.a
Exhibit D.I
D.A.7
D.B.S.h
D.B.S.i
D.B.S.m
D.B.S.r
D.B.S.v
D.B.S.y
D.B.S.a
D.C
Comment
Provided By
Monica
Lindeman
Amanda Sutton
Monica
Lindeman
Amanda Sutton
Amanda Sutton
Amanda Sutton
Amanda Sutton
Amanda Sutton
Amanda Sutton
Amanda Sutton
Amanda Sutton
Amanda Sutton
Amanda Sutton
Amanda Sutton
Change Description
Added the following "authority": "Other" has been added as a reporting
mechanism to indicate those Federal facilities that otherwise have been
identified to have releases or threat of releases of hazardous substances.
EPA's National Contingency Plan (NCP), (40 CFR 300.405) further
addresses the discovery or notification and outlines what constitutes
discovery of a hazardous substance release, and states that a release may be
discovered in several ways.
Added language on the "Federal Agency Owner" field in the docket.
Modified text for consistency.
Revised language under "Resources and Tracking Mechanisms."
Updated Exhibit D.I.
Revised language under "Military Munitions Response Program."
Revised "Special Planning/Reporting Requirements section for "Decision
Documents."
Updated definition of "Final Remedy Selected."
Updated Special Planning/Reporting Requirements section for "Duration of
ROD to IAG Negotiation Completion."
Added language to definition of "Migration of Contaminated Groundwater
Under Control."
Updated Special Planning/Reporting Requirements section for
"Construction Completions."
Added language to the definition of "Federal Facility Five-Year Reviews."
Updated Definition of Accomplishment for "Sitewide Ready for
Anticipated Use."
Revised Subject Matter Expert table.
Appendix E
E.A.1
E.A.1. g
E.A.1. h
E.B
Ross Gilleland
Renee Hamilton
Brenda Haslett
Brenda Haslett
Brenda Haslett
Updated language to remove sentence: "The document collections in SDMS
are managed regionally and documents are selected regionally for their
collection."
Updated language to change end of pipeline activities to post construction
Update bullet to read: Track allowance change requests by viewing existing
change request data used to issue/reprogram an allowance and generate a
new change request online
Updated data sponsors to remove Janet Weiner and Changed Amy
Vandenburg, GPRA (OSRTI) to Ellen Treimel.
October 1,2010
Change Log-6
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SPIM
Section
Comment
Provided By
Change Description
Appendix F
F.A.2
Randy Hippen
Added language for removal initiation
Appendix G
GA.3.
Exhibit G.I
Ellen Treimel
Ellen Treimel
Added language for the 2010 Agency Financial Report.
Replaced Janet Weiner with Amanda Sutton as SME for Federal
Response.
Facility
Appendix I
I.
Holly Inglis
Grammatical changes have been made throughout Appendix I.
Appendix J
J
Renee Hamilton
Added new appendix: American Recovery and Reinvestment Act (ARRA)
FY 11 SPIM
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Superfund Program Implementation Manual FY 11
Chapter I: Introduction
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CHAPTER I: Introduction
Table of Contents
LA Purpose 1-1
IB Superfund 1-2
I.B.I Introduction 1-2
I.B.2 Superfund and its History 1-3
I.E.3 "Principles for Superfund Cleanup in the 21st Century" 1-4
a. Superfund Targets Sites that Pose Significant Risks 1-4
b. Regions Consider Alternative Cleanup Program Options and Funding Sources 1-5
c. Appropriate Sites are Listed on the NPL 1-5
d. Cleanup Decisions Consider Future Reuse of Sites 1-5
e. Cleanup Decisions are Based on Sound Science and Utilize Innovative
Technologies 1-5
f. Superfund Pursues "Enforcement First" 1-6
g. Mega-sites are Subdivided for Appropriate Management 1-6
h. New EPA Funding for Remedial Actions is Selected Based on Prioritization
Factors 1-6
i. Work Plans are Developed for Each Site in Construction 1-7
j. Superfund Addresses Long-Term Stewardship Needs 1-7
k. The Superfund Database Supports the Program and Meets a Broad Range of
Information Needs 1-7
I. The Superfund Program Actively Evaluates Whether its Program is Operated
Efficiently 1-8
m. Superfund is a Model of Public Outreach and Involvement 1-8
n. Superfund Provides State-of-the-Art National Emergency Preparedness and
Response 1-9
I.E.4 Superfund Initiatives 1-9
a. Integrated Cleanup Initiative 1-9
b. Community Engagement Initiative 1-10
I.C Subject Matter Experts. 1-11
List of Exhibits
Exhibit I.C. Subject Matter Experts 1-11
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CHAPTER I: INTRODUCTION
LA PURPOSE
EPA, working in collaboration with other federal agencies, the states, Indian tribes, local
governments and affected community members, manages programs designed to clean up priority
hazardous waste sites and releases. These programs include Superfund, Resource Conservation
and Recovery Act (RCRA) Corrective Action, and Underground Storage Tanks (UST). The
focus of these programs is to maximize the protection of human health and the environment.
The Superfund Program Implementation Manual (SPIM) is a planning document that
defines program management priorities, procedures, and practices for the Superfund program
(including response, enforcement, and Federal facilities). The SPIM provides the link between
the Government Performance and Results Act (GPRA), EPA's Strategic Plan, and the Superfund
internal processes for setting priorities, meeting program goals, and tracking performance. It
establishes the process to track overall program progress through program targets and measures.
GPRA holds federal agencies accountable for using resources wisely and achieving
program results. GPRA requires agencies to develop plans for what they intend to accomplish,
measure how well they are doing, make appropriate decisions based on the information they
have gathered, and communicate information about their performance to Congress and to the
public. GPRA requires agencies to develop a five-year Strategic Plan, including a mission
statement and long-term goals and objectives. EPA's Strategic Plan is divided into five goals on
the following topics: clean air, water, land, communities and ecosystems, and compliance and
environmental stewardship. The Superfund program contributes to the goal of preserving and
restoring the land. GPRA also requires agencies to develop Annual Performance Plans, which
provide annual performance commitments toward achieving the goals and objectives presented
in the Strategic Plan, and Annual Performance Reports, which evaluate an agency's progress
toward achieving performance commitments.
The SPIM provides standardized and common definitions for the Superfund program, and
it is part of EPA's internal control structure. As required by the Comptroller General of the
United States, through generally accepted accounting principles (GAAP) and auditing standards,
this document defines program scope and schedule in relation to budget, and is used for audits
and inspections by the Government Accountability Office (GAO) and the Office of the Inspector
General (OIG). The SPIM is developed on an annual basis, and this document provides
information for the period covering FY 2011. Revisions to the SPEVI are issued during the annual
cycle as needed.
The SPIM contains three chapters and a number of appendices. Chapter 1 provides a brief
summary of the Superfund program and summarizes key program priorities and initiatives.
Chapter 2 describes the budget process and financial management requirements. Chapter 3
describes program planning and reporting requirements and processes. Appendices A through H
highlight program priorities and initiatives and provide detailed programmatic information,
including Annual Targets for GPRA performance measures, and targets for Programmatic
Measures.
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I.B SUPERFUND
LB.l Introduction
The Superfund program addresses contamination from uncontrolled releases at Superfund
hazardous waste sites that threaten human health and the environment. The Superfund program is
comprehensive, yet flexible and innovative. Its mission is both immediate and long-range. Its
focus is specific enough to handle individual site cleanup with precision, yet broad enough to
encourage advances in a relatively new scientific and technical field. Today the hazardous waste
problem in the United States remains large, complex and long-term.
The overarching goals of the Superfund program are ensuring the protection of human
health and the environment, and maximizing the involvement of potentially responsible parties
(PRP's) in conducting cleanups at sites, also known as "enforcement first." EPA will continue to
generally address the worst sites first, while balancing the need to complete response actions at
all contaminated sites.
To protect human health and the environment and address potential barriers to
redevelopment, EPA works with other federal agencies, states, local governments, Indian tribes,
and affected communities to:
• Assess sites and determine whether they meet the criteria for federal Superfund
response actions;
• Prevent, minimize, or mitigate significant threats at Superfund sites through removal
actions;
• Generate risk assessments that consider the future use of the site and prepare accurate
cost-performance data as the technical foundation for environmental cleanup
decisions;
• Complete remedial cleanup construction at sites listed on the National Priorities List
(NPL);
• Control human exposure to contaminants and control the migration of contaminated
groundwater at NPL sites;
• Develop technologies for cost-effective site characterization and remediation;
• Ensure long-term protectiveness of remedies by overseeing operation and
maintenance and conducting five-year reviews;
• Enhance the role of states, local governments, and Indian tribes in the implementation
of the Superfund program;
• Pursue "enforcement first" throughout the Superfund cleanup process;
• Work with communities surrounding Superfund sites to improve their direct
involvement in every phase of the cleanup process and their understanding of
potential site risk;
• Continue the progress of cleanups while increasing consistency with other EPA
cleanup programs; and
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• Promote reuse and redevelopment of sites being addressed under Superfund authority.
I.B.2 Superfund and its History
Congress passed the Comprehensive Environmental Response, Compensation, and
Liability Act (CERCLA), commonly called Superfund, in 1980. Prior to this, there was no
authority for direct federal response to hazards posed by abandoned and uncontrolled hazardous
waste sites. Existing environmental laws, such as the Resource Conservation and Recovery Act
(RCRA), provided regulatory requirements to address present activities and prevent future
catastrophes, but lacked authority to allow federal emergency and long-term responses to past
disposal problems.
CERCLA is unique in that it provided the first federal response authority to address the
problem of uncontrolled hazardous waste sites. CERCLA, for the first time, required EPA to step
beyond its traditional regulatory role and provide response authority to clean up hazardous waste
sites.
In October 1986, Congress reauthorized CERCLA by enacting the Superfund
Amendments and Reauthorization Act (SARA). SARA included Title III, a freestanding statute
that created the Emergency Planning and Community Right-to-Know Act (EPCRA). EPCRA is
designed to help communities prepare to respond in the event of a chemical emergency, and to
increase the public's knowledge of the presence and threat of hazardous chemicals. SARA also
included the Defense Environmental Response Program (DERP) which authorized the
Department of Defense to create a response program similar to EPA's Superfund Remedial
Program.
The National Oil and Hazardous Substances Pollution Contingency Plan (NCP) is the
major regulatory framework that guides the Superfund response effort. The NCP outlines a step-
by-step process for implementing Superfund responses and defines the roles and responsibilities
of EPA, other federal agencies, states, tribes, private parties, and the communities in response to
situations in which hazardous substances are released into the environment.
The Omnibus Reconciliation Act of 1990, which extended Superfund authority, expired
in 1994. Since 1994, many Congressional bills have been advanced to reauthorize the program,
but none have been enacted. Many aspects of the program that have been subject to
reauthorization proposals have been addressed through Superfund administrative reform.
Through the act of appropriations, SARA authority for the Superfund program has been extended
annually. During the 1990s, through various Defense Authorization Acts, Congress has modified
provisions of Section 120, particularly those related to transfer of contaminated properties.
On January 11, 2002, President Bush signed into law the Small Business Liability Relief
and Brownfield's Revitalization Act (Public Law 107-188; H.R. 2869). The law provides a new
definition of Brownfield's as real property, the expansion, redevelopment, or reuse of which may
be complicated by the presence or potential presence of a hazardous substance, pollutant, or
contaminant. The law expands potential financial and technical assistance for Brownfield's
cleanup and revitalization, including grants for assessment, cleanup, and job training. In addition,
the law provides limited liability relief to certain contiguous property owners and prospective
purchasers of contaminated properties, and clarifies the innocent landowner defense to encourage
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Brownfield's cleanup and redevelopment. The law also enhances the roles and funding for state
and tribal response programs.
EPA and Superfund stakeholders have worked since the inception of the program to
reduce risks posed by abandoned and uncontrolled hazardous waste sites and make the program
more effective. As of the end of FY 2007, EPA has finished remedial assessment work at over
47,000 sites, conducted more than 9,600 removals, and completed construction at 1030 of 1,569
sites on the NPL in an effort to protect human health and the environment. Final remedies have
been selected at more than 1,263 sites, and design and implementation of the remedies is
underway.
I.B.3 "Principles for Superfund Cleanup in the 21st Century"
The Superfund remedial program has been in existence for 28 years (December 11, 2005,
marked the 25th anniversary of the passage of CERCLA). The reforms begun in 1993 to make
the program faster, fairer, and more effective are fully implemented and are being further
refined. The program has matured, and is being further influenced by several factors.
• Construction is complete at many sites, requiring a new emphasis on long-term
stewardship at these sites.
• Superfund cleanup processes now explicitly consider and ultimately support future
site use and community land revitalization goals in ways that help ensure protection
of human health and the environment.
• Alternative federal and state remediation programs such as the Brownfield's program
and state voluntary cleanup programs have matured and now handle many
contaminated sites that previously would have been referred to the Superfund
program, resulting in more complex, expensive sites coming to Superfund.
• Recent external evaluations of the program emphasize the need to put more of EPA's
Superfund appropriation towards site cleanups.
In light of these factors the document, "Principles for Superfund Cleanup in the 21st
Century, (http://www.epa.gov/superfund/action/120day/pdfs/principles.pdf) establishes
principles for Superfund cleanups in the 21st century, for regions to apply as they address sites at
all stages of the cleanup process. Currently, regions are implementing many of these principles,
to varying degrees. The purpose of this document is to emphasize that for every non-federal site
considered by the Superfund Remedial Program, regions must apply comprehensive planning to
ensure that these principles are applied at appropriate stages.
a. Superfund Targets Sites that Pose Significant Risks
EPA must consider the scope of contaminated sites nationwide, understand what states
are doing to address these sites, and ensure that EPA's activities complement state
efforts. The Superfund program works with states to locate and address contaminated
sites with the most serious human health and ecological risks. Regions, states, and other
federal agencies conduct preliminary assessments (PA's) and site inspections (Si's) at
sites that are considered for Superfund cleanup to determine whether a response action is
necessary and whether the site poses immediate potential risks to public health. The
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Superfund removal program addresses immediate risks to the public regardless of
whether the site is placed on the National Priorities List (NPL). At sites requiring further
investigation, Superfund will employ a variety of tools and strategies to complete the site
characterization process.
b. Regions Consider Alternative Cleanup Program Options and Funding Sources
For all identified high-risk EPA-lead sites, EPA regions will select the most appropriate
cleanup program to ensure timely and protective cleanup and, if compatible, future
beneficial uses of the site. Regional programs should consider the potential for innovative
applications of other federal agency, state, and tribal authorities and resources, other EPA
program authorities and resources, as well as potentially responsible party (PRP)
resources. The region determines whether Superfund remediation is appropriate or
whether another authority should address the site, e.g., Superfund Removal, Superfund
Alternative Sites, state remediation, other federal agencies, RCRA Corrective Action,
Brownfield's, Leaking Underground Storage Tank (UST), Clean Water Act, Great Lakes
Legacy Act, Toxic Substances Control Act, and Safe Drinking Water Act. Superfund
coordinates effectively with these programs, and maintains systems to ensure that
referred sites are addressed in a timely and appropriate manner.
c. Appropriate Sites are Listed on the NPL
Sites continue to be listed on the National Priorities List (NPL). EPA primarily uses the
Hazard Ranking System (HRS) to determine which sites to propose for addition to the
NPL. For sites with an FIRS score of 28.5 or above, EPA proposes those sites for which
the NPL is the most appropriate tool for site remediation. Some factors EPA considers
when determining which sites to propose for addition to the NPL include the relative
threat to human health and the environment, need for urgent response, maintenance of a
strong enforcement program, leverage of other cleanup programs, support for listing from
a state, Indian tribe, and affected communities, and program management considerations.
d. Cleanup Decisions Consider Future Reuse of Sites
At every site being addressed through CERCLA authority, regions should work with its
partners to fully explore and consider future land use assumptions in cleanup decisions.
While cleaning up sites and making them protective of human health and the
environment, regions should continue to employ processes, tools, and information
systems that better enable communities to communicate their future land use preferences
and plans. Integrating realistic assumptions of future land use into Superfund response
actions is an important step toward facilitating the beneficial reuse and revitalization of
sites following cleanup.
e. Cleanup Decisions are Based on Sound Science and Utilize Innovative
Technologies
Superfund continues to be in the forefront in developing new science and technology.
Superfund risk assessment and risk management decisions utilize the most current peer-
reviewed science. Use of innovative technologies is facilitated through cost and
performance information made available from Superfund and other federal, state, and
private sector clean up efforts. The program also works closely with its science partners
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(Office of Research and Development (ORD), National Institute of Environmental Health
Sciences (NIEHS), Agency for Toxic Substances and Disease Registry (ATSDR), and the
Hazardous Substance Research Centers) to ensure all the research activities funded by
Superfund are focused on priority removal/remediation needs, are well coordinated
among all the groups, and utilized in the field as soon as possible. The National
Decontamination Team will be responsible for resolving the difficult technical issues
involved in decontamination of buildings, public infrastructures, and environmental
media in the aftermath of a weapons of mass destruction event or other nationally
significant event.
f. Superfund Pursues "Enforcement First"
Superfund continues to emphasize an "enforcement first" strategy and aggressively uses
all its enforcement tools, including Unilateral Administrative Orders, Administrative
Orders, and Consent Decrees. EPA will look for PRP's throughout the removal and
remedial processes, and pursue PRP's identified later in the process for an appropriate
portion of the site work or costs. EPA actively pursues liable, viable PRP's for
performance of work and cost recovery and establishes and manages special accounts
throughout the cleanup process to minimize the need for Fund money at the site. EPA's
financial assurance arrangements protect against the risk of default by a highly liable
party on closure or cleanup obligations. EPA monitors compliance with financial
assurance requirements in CERCLA cleanup obligations and ensures, where appropriate,
financial assurance provisions are included in new enforcement agreements requiring
CERCLA cleanup work.
g. Mega-sites are Subdivided for Appropriate Management
Mega-sites (large, complex and costly sites in which total cleanup costs are expected to
equal or exceed $50 million) are subdivided for effective management. The best approach
for delineating each subdivision is determined by a number of factors, including type and
severity of risk, other programs that might contribute to the cleanup, and anticipated
operable units. As in the case of less complex sites, potential reuse and cleanup options
factor into systematic planning and field activities that may have a role in subdividing the
sites. Such planning takes place before the site or a portion of the site are considered for
NPL listing, and enables EPA to refer to the NPL those portions of the site that must be
handled by Superfund. Coordination of multiple cleanup programs operating at such
mega-sites is handled by an oversight group with local, state, and federal agency
representatives. Assistance grants are available to the communities to help them
participate meaningfully. The use of consistent performance measures by the Superfund,
RCRA Corrective Action, UST and Brownfield's programs facilitates monitoring the
progress in each of their portions of the mega-site. The Superfund Prioritization Panel,
which makes funding recommendations for EPA funded remedial actions, will annually
review funding going towards mega-sites for potential cost saving measures.
h. New EPA Funding for Remedial Actions is Selected Based on Prioritization
Factors
The Superfund Program reviews sites that are ready for construction using criteria based
primarily on risk. While high risk sites will always receive immediate attention, the
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program will continue to monitor and evaluate sites that do not receive funding, and look
for alternative approaches to address these sites. EPA will make public its funding
decisions implementing cleanups.
i. Work Plans are Developed for Each Site in Construction
A multi-year work plan is developed for sites in construction in consultation with the
community. The plan identifies each major remedial action that needs to take place on
each operable unit, the time necessary to complete that action, and the estimated cost.
The plan should address anticipated costs through construction of the final remedy to
post-construction monitoring, O & M, and the first 5 year review. In site planning, EPA
has non-cost considerations as well, such as site redevelopment potential and innovative
technology deployment which may be relevant as the site progresses through the
investigative and cleanup phases.
j. Superfund Addresses Long-Term Stewardship Needs
The Superfund Program of the 21st century supports a vigorous post construction
completion program to ensure that remedial actions provide for the long-term protection
of human health and the environment and return sites to beneficial uses. Regions
periodically review remedies involving long-term operations (e.g., caps on waste and
ground water restoration) using an Environmental Management Systems (EMS) approach
involving a continuous cycle of planning, implementing, reviewing, and improving
practices at each site. As a result of these periodic reviews, regions improve performance
and reduce operating costs of remedies while assuring continued protectiveness. Regions
continue to document the performance and protectiveness of remedies in the five-year
reviews conducted at every site in which contamination was left in place. Regions also
monitor institutional controls implemented by state and local governments as part of the
remedy.
k. The Superfund Database Supports the Program and Meets a Broad Range of
Information Needs
The Comprehensive Environmental Response, Compensation and Liability Information
System (CERCLIS) is fully modernized to report all essential information on program
and enforcement performance, including the new measures designed for consistency
among all site cleanup programs. These new measures report on interim milestones such
as site assessment, remedy selection, human exposures and groundwater under control, as
well as cleanup completed and acres of land ready for reuse. The measures also track
certain enforcement milestones as well as site cleanup work performed by PRP's and by
using Fund money. Regions keep CERCLIS up-to-date and accurate to support program
planning and accomplishments reporting, and so that most Congressional and press
inquiries can be answered using CERCLIS. CERCLIS is appropriate for meeting
additional remedial and removal program requests, such as the Office of Management
and Budget's (OMB) PART review.
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1. The Superfund Program Actively Evaluates Whether its Program is Operated
Efficiently
The Superfund Program ensures that all its resources are efficiently and effectively
utilized. Periodic reviews of Superfund dollars and Full-Time Equivalent (FTE)
employees will ensure Superfund's focus on protection of human health and the
environment. Annual deobligation of unneeded project funds from EPA contracts and
agreements with other federal agencies and states, innovative contracting approaches for
Fund-lead cleanups, and close monitoring of reimbursable funds from state Superfund
contracts and PRP special accounts provide additional resources to fund new start
remedial actions.
The Superfund Program Offices (OSRTI, OECA, OEM, FFEO, and FFRRO) maintain a
robust program evaluation function designed to assess removal and remedial program
performance to ensure that critical program goals, outputs and outcomes are achieved in
an effective and efficient manner. Strategic trends evaluation is used to identify emerging
environmental problems and workforce needs, and to advise all the OSWER cleanup
programs on appropriate programmatic or policy responses.
m. Superfund is a Model of Public Outreach and Involvement
Superfund takes seriously its responsibility to proactively engage stakeholders at each
site in an early and meaningful way that is sensitive to each community's unique
character. Stakeholder involvement is an integral part of cleanup planning and
implementation, as directed and managed by the site's Community Involvement Plan.
Access to the cleanup decision-making process is sustained throughout all stages of site
work, not just CERCLA-mandated milestones. Superfund provides Community
Involvement Coordinators (CIC's) to work directly with communities, and encourages
the formation of stakeholder forums called Community Advisory Groups. Superfund uses
public meetings, fact sheets and local information repositories to share site-related
information in person, through the mail and through the Web, and encourages public
feedback. To help the public understand the technical aspects of Superfund's cleanup
proposals and site work, Superfund provides Technical Assistance Grants at NPL sites
and funds Technical Outreach Services for Communities at non-NPL sites. Superfund
staff provide responses to public inquiries about site work. In particular, Superfund staff
ensure that public participation documents, like the Proposed Plan, are of the highest
quality in terms of clarity, completeness, ease of use and plain language. At the national
level, Superfund provides information on program progress, measures of success, and
profiles of each site. In the absence of CIC's, Superfund Remedial Project Managers
manage the community involvement process. Planning, training and exercises are
conducted by EPA in close coordination with state and local partners. Where Federal
facilities have the lead for cleanup, they follow the full suite of Superfund public
involvement activities listed above, except that the Department of Defense's stakeholder
forum is called the Restoration Advisory Board (RAB), and the Department of Energy's
stakeholder forum is called a Site-specific Advisory Board (SSAB).
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n. Superfund Provides State-of-the-Art National Emergency Preparedness and
Response
EPA's core emergency response program responds quickly and effectively to chemical,
oil, biological, and radiological releases. Established coordination mechanisms enable
timely and effective response to simultaneous, large-scale national emergencies. All of
EPA's preparedness and response programs in the regions consistently implement the
Agency's National Approach to Response. EPA's On-Scene Coordinators are equipped
with state-of-the-art equipment and training, and use the latest scientific methods for
detection, analysis and response. Agency emergency response will manage large volumes
of data actively and consistently using consistent crisis and information management
systems.
I.B.4 Superfund Initiatives
The Superfund Program is currently involved with two initiatives: 1) The Integrated
Cleanup Initiative (ICI) and 2) The Community Engagement Initiative (CEI), and both initiatives
originated from, and will be implemented by EPA's Office of Solid Waste and Emergency
Response (OSWER) and Office of Enforcement and Compliance Assistance (OECA). Each
initiative has objectives and discrete actions to be completed, which are examples of work being
done to improve the way EPA conducts its business, performs its technical work, and engages its
stakeholders.
a. Integrated Cleanup Initiative
EPA's Office of Solid Waste and Emergency Response (OSWER) in partnership with the
Office of Enforcement and Compliance Assurance (OECA) has launched a three-year
strategy, the Integrated Cleanup Initiative (ICI or the Initiative), to identify and
implement improvements to the Agency's land cleanup programs. The goal of the
Initiative is to better use the Agency's land cleanup authorities to accelerate cleanups
where possible, address a greater number of contaminated sites, and put these sites back
into productive use while protecting human health and the environment. This Initiative
reflects the continued evolution of the nation's land cleanup programs which began in the
1980s.
EPA and its key state, tribal, and local partners, including affected communities, have
matured in our collaborative approaches to identifying and cleaning up these sites. They
also want to maximize opportunities to spur cleanup by anticipating how the site could
best be reused (an approach that has evolved during the last several decades). Integrating
approaches and leveraging best practices across the full spectrum of contaminated sites
(Superfund, Brownfield's, Resource Conservation and Recovery Act (RCRA) corrective
action, federal facilities, and underground storage tanks) is a critical part of this Initiative.
The Initiative Plan identifies 25 specific actions that EPA's OSWER and OECA will
undertake in order to meet the goal and objectives of the Initiative.
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b. Community Engagement Initiative
In December 2009, EPA's Office of Solid Waste and Emergency Response (OSWER)
introduced the Community Engagement Initiative (CEI) and released a proposed Action
Plan for comment by community stakeholders and the general public. The CEI is
designed to enhance OSWER and regional offices' engagement with local communities
and stakeholders (e.g., state and local governments, tribes, academia, private industry,
other federal agencies, non-profit organizations), to help them meaningfully participate in
government decisions on land cleanup, emergency preparedness and response, and the
management of hazardous substances and waste.
In May 2010, based on comments received on the proposed Action Plan, OSWER
released an Implementation Plan. The Implementation Plan lays out specific actions that
OSWER and the Office of Enforcement and Compliance Assistance (OECA) program
offices will implement to achieve the goals and objectives of the Action Plan, and in so
doing, will help EPA conduct timely decisions and actions that are reliably informed by
the broad diversity of voices and interests in the communities we serve. Specific actions
under the Implementation Plan are as follows:
- Action 1 - Evaluate and Revise Critical Decision-Making Processes and Guidance
- Action 2 - Review and Support Community Engagement Processes of
Underground Storage Tank (UST) Programs Implemented by State Agencies and
UST Programs in Indian Country Implemented by EPA
- Action 3 - Sustain a Dialogue with EPA Regions and State RCRA Delegated
Programs to Identify and Promote Best Community Engagement Practices
- Action 4 - Pilot Methods of Engaging Communities in OSWER Regulation and
Guidance Development
- Action 5 - Review Community Engagement Policies and Activities Associated
with Enforcement Activities
- Action 6 - Promote Community Engagement Associated with CERCLA
Enforcement Involving Federal Facilities
- Action 7 - Evaluate and Improve EPA Technical Assistance Processes
- Action 8 - Broaden Awareness and Support for the Community Action for a
Renewed Environment (CARE) Program Principles in OSWER Programs
- Action 9 - Launch the Brownfield's Area-Wide Planning Pilot Program
- Action 10 - Collaborate with Federal Agencies to Provide Public Health
Information on OSWER Projects
- Action 11 - Evaluate Risk Communication Processes and Develop a
Comprehensive Education Program
- Action 12 - Improve Communication of Sampling and Testing Results
- Action 13 - Evaluate and Improve Delivery of Information
- Action 14 - Develop an OSWER-Wide/Regional Community Engagement
Training Program for EPA OSWER and Regional Employees
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Action 15 - Develop Measures on the Effectiveness of Community Engagement
Activities and Report Annually on CEI
Action 16 - Create an Environmental Workforce Development and Job Training
Program
For more information on the CEI see: http://www.epa.gov/oswer/engagementinitiative/
/. C SUBJECT MA TTER EXPERTS
The following exhibit identifies the subject matter experts for Chapter I Introduction.
EXHIBIT I.C. SUBJECT MATTER EXPERTS
Subject
Matter
Expert
Renee
Hamilton
Eric French
Art Flaks
Vince Velez
Brendan
Roache
Lance Elson
Amanda
Sutton
Art Flaks
Patricia
Kennedy
Bill Finan
Robin H.
Richardson
Kevin
Brittingham
Subject Area
SPDVI/SCAP
Coordinator
Enforcement
Coordinator
Budget, Planning &
Evaluation Branch
(BPEB)
Enforcement
Federal facility
Response (FF)
Federal facility
Enforcement
Federal facility
Measures
Superfund Remedial
GPRA measures
GPRA (OSRE)
OEM/Removal
Resource Management
Superfund Financial
Management
Phone #
(703) 603-9092
(202)564-0051
(703) 603-9088
(202) 564-4972
(703) 603-8704
(202) 564-2577
703-603-0055
(703) 603-9088
(202) 564-6061
(202) 564-7981
(703) 603-9048
(202) 564-4941
Email
mailto:hamilton.renee@,epa.sov">hamilton.renee(@,epa.so
V
mailto:french.eric(S>,epa.sov">french.eric(2>epa.sov
mailto:flaks.art(@,epa.sov">flaks.art(3),epa.sov
mailto :velez.vincent(2>,epa.sov">velez.vincent(S!epa.sov
mailto :roache .brendanS>epa. sov">roache .brendantSiepa. so
V
mailto:elson.lance(3),epa.sov">elson.lance(3),epa.sov
mailto:amanda.sutton(S>epa.sov">amanda.sutton(S>epa.sov
mailto:flaks.art(3),epa.sov">flaks.art(@,epa.sov
mailto:kennedv.patricia(@,epa.sov">kennedv.patricia(@,epa.
gov
mailto:finan.bill(3),epa.sov">finan.bill(@,epa.sov
mailto:richardson.robinh(@,epa.sov">richardson.robinh(S>e
pa.gov
mailto :brittinsham.kevin(S>epa. sov">brittinsham.kevin(®,e
pa.gov
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Superfund Program Implementation Manual FY 11
Chapter II: Superfund Budget Planning Process and Financial
Management
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OSWER Directive 9200.3-14-1G-V
CHAPTER II: Superfund Budget Planning Process and Financial
Management
Table of Contents
II.A Introduction II-l
II.B Budget Development Process. II-l
II.B.l Budget Formulation (Outyear) II-l
II.B.2 Budget Review and Planning (Planning Year) II-2
II.B.3 Budget Execution (Current Year) II-2
II. C Superfund National Response Programs II-4
II.C.l Program Results Code (PRC) II-4
II.C.2 Superfund Program Goals and Priorities II-5
a. Superfund: Remedial (302DD2) II-6
b. Superfund Emergency Response and Removal (302DC6) II-6
c. Homeland Security: Preparedness, Response, and Recovery (302D72) 77-7
d. Superfund Enforcement (501EC7) II-8
e. Federal Facilities Response Budget (302DC9) 77-9
/ Base Realignment and Closure (302D41 and 302D41B4) 77-9
g. Federal Facilities Enforcement (501EH2) 77-70
II.D Allocating Superfund Resources Among the Regions 11-10
II.D.l Remedial Response Program Resources 11-11
a. Remedial Action SA 77-77
b. Pipeline Operations SA 77-72
II.D.2 Homeland Security/Removal Response Program Resources 11-13
II.D.3 Superfund Federal Facilities Response Program 11-13
II.D.4 Base Realignment and Closure (BRAC) 11-14
II.D.5 Enforcement Program 11-14
II.D.6 Federal Facilities Enforcement Program Resources 11-15
II.D.7 Deobligating Prior Year Funds 11-15
II.D.8 Budget Sources and Associated Action Codes 11-15
II.E Superfund Financial Management 11-24
II.E.l Financial Management Roles and Responsibilities 11-24
a. Regional Financial Management Office 77-24
b. Regional Administrator (unless delegated to Regional Program office) 77-24
c. Regional Program Office 77-25
d. On-Scene Coordinator (OSC) 77-25
e. Remedial Project Manager (RPM) 11-26
f. Regional Project Officer (RPO)/Deputy Project Officer (DPO) 11-26
g. Administrative Support Unit 11-26
h. Office of Financial Management (OFM)/Office of the Chief Financial Officer.... 77-2 7
i. Office of Acquisition Management (OAM) 77-27
/ Grants Administration Division (GAD)/Offtce of Administration 77-27
k. Budget Division/OCFO 77-27
/. Cincinnati Finance Center (CFC) Office of Financial Services 77-2 7
m. Research Triangle Park (RTF) Finance Center Office of Financial Services 77-25
n. Las Vegas Finance Center (LVFC) 77-25
II.E.2 Financial Data Management Systems and Tools 11-28
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OSWER Directive 9200.3-14-1G-V
II.F Regional Superfund Funding Process 11-30
II.F.l Funding Process 11-30
a. Approvals 11-30
b. Commitments 11-31
c. Obligations 11-31
d. Payments (Outlays) 11-31
e. Deobligations 11-32
II.G Superfund Accounting Information and Treatment ofCERCLIS data 11-32
II.G.l Superfund Account Number 11-32
a. Fund/Appropriation Code 11-33
b. Site/Project Field. 11-34
II.G.2 Handling Financial Data in the CERCLIS Environment 11-35
a. Entering Response, Enforcement and Federal Facility Data into CERCLIS. 11-35
b. Correcting Financial Data 11-35
II.H Financial Vehicles 11-35
II.H.1 Contracts 11-36
a. Contracts for Site-Specific Work 11-36
b. Contracts for Non-Site Specific Work 11-36
c. General Site Support Contracts 11-36
d. Enforcement Support Services (ESS)/Zone Enforcement Support Services (ZESS)II-37
e. Mission Support Contracts 11-37
II.H.2 Other Financial Vehicles 11-38
a. InteragencyAgreements (lAG's) 11-38
b. Cooperative Agreements (CA) 11-38
c. Superfund State Contracts (SSC's) 11-39
II.I Cost Recovery Process 11-41
II.I.l Recovery Process 11-41
a. Initiation of Cost Recovery Process 11-41
b. Cost Documentation and Reconciliation 11-41
c. Work Performed Documentation and Reconciliation 11-42
d. Site File Maintenance 11-42
e. Superfund Indirect Costs 11-43
f. Annual Allocation 11-43
g. Cashout/Special Accounts 11-43
h. Department of Justice (DOJ) Involvement 11-43
II. J Superfund Financial Contact Information 11-44
II.J.l Regional Superfund Cost Recovery Contacts 11-44
II.J.2 Headquarters Superfund Cost Recovery Contacts 11-45
II.J.3 Regional Budget Coordinators 11-45
II.J.4 Subject Matter Experts 11-46
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List of Exhibits
Exhibit II. 1: Budget Timeline II-3
Exhibit II.2: Program Results Code (PRC) II-5
Exhibt II.3: Action Codes for Financial Transactions Sorted by CERCLIS Action Name
(Who pays for what) 11-16
Exhibit II.4: ACCOUNT NUMBER STRUCTURE 11-32
Exhibit II.6: EPA Forms Commonly Used for Superfund Procurements 11-37
Exhibit II.7: Regional Cost Recovery Contacts 11-44
Exhibit II.8: Headquarters Superfund Cost Recovery Contacts 11-45
Exhibit II.9: Regional Budget Coordinators 11-45
Exhibit II. 10: Headquarters Subject Matter Experts 11-46
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CHAPTER II: SUPERFUND BUDGET PLANNING PROCESS
AND FINANCIAL MANAGEMENT
ILA INTRODUCTION
This chapter and its eight sections describes the Superfund budget planning process,
resource allocation to the Regions through the Site Allowances (SA's), and financial
management terms and processes pertinent to the Superfund program. The first section of this
chapter includes an outline of the development of the outyear, planning year, and current year
budgets. The second section identifies priorities of the response and enforcement program
components of the Superfund program as distinguished through the Agency's program goals,
objectives, and program/projects. The third section provides information on the processes by
which program offices issue resources to the regions to implement the Superfund program,
including a comprehensive list of CERCLIS actions that may be used to conduct financial
transactions. The fourth section outlines financial management roles and responsibilities of
headquarters and regional offices and positions as well as a description of financial management
systems and tracking tools. The fifth section outlines the regional Superfund funding process.
The sixth section describes Superfund account codes and the treatment of financial data in
CERCLIS. Section seven identifies financial vehicles (e.g., contracts, lAG's, cooperative
agreements) used by the Superfund program and section eight describes the Superfund cost
recovery process. The ninth and final section of the chapter provides listings of the Superfund
contacts in both headquarters and the regions for various aspects of the budgeting and financial
management process.
ILB BUDGET DEVELOPMENT PROCESS
The budget process is ongoing, and, in any given month, activities may be taking place
for several budget years at the same time. In any given year, the Agency is concurrently
formulating the President's request for the outyear budget, planning the upcoming year's budget,
and implementing (executing) the current year budget.
II.B.l Budget Formulation (Outyear)
The outyear GPRA annual performance plan and budget formulation process begins in
the spring, eighteen months prior to the start of the FY for which the budget is being prepared.
Budget formulation is guided by the Agency's Strategic Plan, the GPRA annual performance
plan, Administration initiatives, and other emerging priorities. The GPRA annual performance
plan includes objective, results-oriented, quantifiable, and measurable performance goals;
resources necessary to meet goals; performance indicators to assess outputs, services, and
outcomes; and verification and validation procedures. Development of the budget includes
identification of major program issues, analysis of program costs, and alignment of resources
among competing priorities. The plan, initiatives, priorities, and the budget are defined through a
series of executive level planning and decision meetings, which take place in the late spring and
early summer.
EPA program offices generally submit budget formulation proposals to OCFO in the late
spring. CERCLIS outyear planning data are used to inform senior managers of resource trends
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OSWER Directive 9200.3-14-1G-V
and highlight opportunities to invest or disinvest in specific initiatives. As such, high quality site
planning data are essential. Once the proposals pass through an internal review process, the
Agency submits its proposal to OMB in the late summer. After the late fall OMB passback,
during which time other revisions to EPA's proposals may be made, the President submits a final
budget (Annual Performance Plan and Congressional Justification) to Congress by the first
Monday in February for the new fiscal year beginning on October 1.
II.B.2 Budget Review and Planning (Planning Year)
The second component of the budgeting process begins the summer before the upcoming
fiscal year and involves revising the budget in anticipation of enactment of an appropriation and
determining the allocation of funds for the regions for the new fiscal year. During Phase I of
operating plan development, OCFO sets preliminary targets, based on the President's budget
request, for the national programs to use to develop initial resource allocations for regional
budgets by budget object class (BOC) and other categories. OCFO pre-calculates the regional
targets for some of these categories, such as budgets for non-site travel, working capital fund,
workforce support, and payroll. The Superfund national program offices have responsibility for
allocating the other categories of resources, including contracts and interagency agreements,
grants and cooperative agreements, and site travel to the regions, primarily through Site
Allowances (SA's). However, at this stage of operating plan development, program offices are
not required to distinguish among these BOC's. Some headquarters program offices (the
remedial program in particular) assign resources to a Regional Reserve, which does not identify
the specific amounts that individual regions will receive in the upcoming year. Rather, during
annual workplanning meetings that start in the summer, headquarters program offices review and
analyze regional Superfund implementation and funding plans (based on CERCLIS data) and
develop preliminary budgets for the regions for the upcoming year. The financial management
components of this manual focus on the use of resources issued to the regions through the Site
Allowances.
II.B.3 Budget Execution (Current Year)
Phase II of operating plan development advances the planning year into the budget
execution year as the new fiscal year begins and the appropriation is enacted by Congress.
Enacted operating plans for headquarters and regional offices are finalized in the Agency's
Budget Automated System (BAS) by object classification, and initial resources are issued to the
programs by OCFO through the Agency's Integrated Financial Management System (IFMS).
Headquarters program offices issue the balance of Regional Reserve resources to individual
regions throughout the course of the year in Site Allowances (SA's) according to site-specific
allocation methodologies or formulas (program-specific details are provided in the section on
Site Allowances).
In some years, an appropriation is not enacted by the start of the fiscal year, and Congress
passes one or more Continuing Resolutions (CR's) to fund the government until a final
appropriation is enacted. OCFO issues special guidance to address funding issues under the CR,
and any increases, reductions or mandated redirections are reflected in the Agency's final
operating plan.
Regions are expected to work within the annual regional budgets established at the start
of the year, although shifts in resource use or allocations may occur throughout the year on an ad
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OSWER Directive 9200.3-14-1G-V
hoc basis as long as they are consistent with specific program office and OCFO policies
regarding the shifting of resources. Headquarters program offices also use a more formal mid-
year evaluation/review process to assess progress in meeting performance targets and to realign
resources in the current FY. Current year resource adjustments focus on changes needed due to
cost and project schedule modifications. Changes may result in shifts within program areas and
among regions, and revised annual funding levels.
Exhibit ILL provides a timeline for the formulation, planning, and execution processes.
Timing for some activities is dependent on the completion of other actions; e.g., occasions when
Congress does not pass an appropriation by the beginning of the fiscal year.
EXHIBIT II.1: BUDGET TIMELINE
Month
Outyear Budget
(FY 2010)
Planning Year Budget
(FY 2009)
Current Year Budget
(FY 2008)
October
Congress appropriates dollars to the
Agency in the form of an annual
appropriation or continuing resolution.
EPA submits Agency Operating Plan
and OCFO loads resources into IFMS,
including 60% of Pipeline S A
resources to Regions.
OSWER finalizes preliminary ongoing
remedial action funding plan and issues
1st quarter RA SA resources to regions.
OECA and OC approve allocation of
the initial technical enforcement SA
and the full year SA for the legal case
budget
November
OMB passback of budget request
(outyear budget process)
OCFO issues prior year carryover
December
Revision to the Agency
Strategic Plan begins.
HQ appeal of the OMB budget
passback (outyear budget process)
December 31 is the end of the 1st
quarter.
January
OSWER issues 2nd quarter RA S A
resources to regions
February
President submits budget request
to Congress (outyear budget
process)
March
Congressional Appropriation
Hearing on President's Budget
(outyear budget process)
3r quarter response SA's and
remaining call memo for enforcement
SA issued
March 31 is the end of the 2nd quarter.
April
Annual national goal
meetings are held
OSWER pulls programs
and financial planning
information from
CERCLIS to assist
OSWER managers in
developing proposals
Mid-year assessment held to evaluate
regional progress and utilization of
regional programmatic budgets
O SWER issues 3rd quarter RA SA
resources and second Pipeline SA
allocation to regions
HQ summarizes resource distribution
by function and statutes
OECA issues second allocation of
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OSWER Directive 9200.3-14-1G-V
Month
May
June
July
August
September
Outyear Budget
(FY 2010)
National planning
meetings are held and
NPMs submit
investment/disinvestment
proposals
OMB sets budget targets
and OCFO issues policy
for budget formulation
OCFO begins review
process of national
program proposals,
develops a straw budget,
and conducts a budget
forum
Agency leadership makes
budget decisions and EPA
submits proposed budget
to OMB
(Go to beginning of
Planning Year Budget)
Planning Year Budget
(FY 2009)
Regions submit and OSWER
pulls program and financial
planning information from
CERCLIS (planning year budget
process)
OSWER reviews and analyzes
regional budget estimates
Phase I operating plan
development data are entered into
BAS
OSWER/OECA/Regions hold
work planning meetings to
establish budget/targets for
planning year
OSWER develops initial ongoing
RA funding plan
(Go to beginning of Planning
Year Budget)
Current Year Budget
(FY 2008)
enforcement SA resources
OSWER generally begins to approve
recertification requests of deobligated
resources (may occur earlier)
4th quarter response SA's calculated
June 30 is the end of the 3rd quarter.
OSWER issues 4th quarter RA SA
resources and final allocation of
Pipeline resources
HQ pulls target/accomplishment and
financial data from CERCLIS for
analysis of program accomplishments
and obligation/commitment rate
OSWER/OECA continues to pull
target/accomplishment and financial
data from CERCLIS for analysis of
program accomplishments and regional
obligation/ commitment rate
September 30 is the end of the 4th
quarter and end of the fiscal year.
// C SUPERFUND NA TIONAL RESPONSE PROGRAMS
This manual describes programmatic and financial management components of the
Superfund Response and Enforcement programs, and focuses on resources that are allocated by
the national program offices to regional program offices and activities that are tracked through
the CERCLIS database. The manual does not address Superfund resources and activities that are
not tracked through CERCLIS, including payroll and other resources as well as support program
program/projects.
II.C.1 Program Results Code (PRC)
The Agency financial strategic architecture is designed to reflect the Agency Strategic
Plan and annual commitments made under the Government Performance and Results Act
(GPRA). The Program Results Code (PRC) is a nine character field within the Agency financial
management system account number that identifies the goal, objective, National Program
Manager (NPM), Program/Project, and Agency Activity associated with the resources that are
allocated, obligated, or disbursed:
• As of FY 2011, resources for Superfund cleanup and response activities are found
under Goal 3, Objective 03 (the first 3 positions of the PRC) and the Superfund civil
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OSWER Directive 9200.3-14-1G-V
enforcement and Federal facilities enforcement resources are found under Goal 5,
Objective 1.
• The most common NPM's (4th position of the PRC) associated with Superfund are
OSWER (NPM ) and OECA (NPM E)
• Program/Projects (5th and 6th positions of the PRC) within the Superfund program
further distinguish the nature of the work within each program office (Homeland
Security 72", Emergency Response and Removal C6", Enforcement C7", Federal
facilities C9", Remedial D2", and Federal facility Enforcement H2").
• The 7th position of the PRC identifies the Agency Activity that must be assigned to
each financial transaction. Within the Superfund program the codes most frequently
used are Environmental Program Implementation C, Financial Assistance to Non-
Governmental Organizations , and Financial Transfer to Governmental Organizations
E.
• The 8th and 9th positions of the PRC are reserved for special use.
Exhibit II.2 shows PRC's that support key Superfund response program areas for which
national program offices allocate resources to regional program offices primarily through Site
Allowances. The exhibit also identifies the special tracking codes of the Site Allowances (SA)
that the Response program uses to allocate resources to the regions. See Section II.C.2.
EXHIBIT II.2: PROGRAM RESULTS CODE (PRC)
Program
Program Results Code
Special Tracking Code (SA Code)
Remedial Program
Remedial Action
Pipeline Operations
302DD2
302DD2
R
P
Removal Program
Removal Actions
Removal Support
Homeland Security
Federal facility Response
BRAC (non-site)
BRAC (site-specific)
Enforcement - Technical and Legal
Federal facility Enforcement
302DC6
302DC6
302D72
302DC9
302D41
302D41B4
302EC7
302EH2
E
S
C
F
none
none
none
none
II.C.2 Superfund Program Goals and Priorities
The Superfund budget reflects a continued commitment to implementing GPRA with
emphasis on completing construction at contaminated waste sites and maximizing PRP
involvement in site cleanup. Each Superfund Program/Project addresses a different set of goals
and priorities to achieve these aims. The following descriptions are adapted from the Agency FY
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OSWER Directive 9200.3-14-1G-V
2010 Program Project Description Book, http://intranet.epa.gov/ocfo/budget/2010-arch-
docs/fy 1 Oppdbook.pdf
a. Superfund: Remedial (302DD2)
The Superfund Remedial program implements numerous processes to determine the need
for and to conduct response actions. These processes include collecting data on sites to
determine the need for CERCLA response, conducting or overseeing investigations and
studies to select remedies, designing and constructing or overseeing construction of
remedies and post-construction activities at non Federal Facility sites. The Remedial
program also includes technical and administrative support activities, redevelopment
functions, participation of States, Tribes, and communities in cleanups, and enhancement
of response capabilities of States and Tribes. Major responsibilities are to:
Investigate and assess sites to determine the cleanup needs based upon the
contaminants found, the severity of the pollution, and the threats to human health
and the environment;
List sites on the NPL;
- Establish Records of Decision (remedy selection);
- Encourage public involvement in selecting the proper remedy at a site;
- Commit to long-term actions to clean up hazardous waste sites listed on the NPL;
- Return affected sites to productive use;
- Consider all appropriate cleanup alternatives;
- Ensure that affected communities and other stakeholders are provided meaningful
opportunities for involvement;
Perform remedial action once the remedial design and construction or other work
is approved;
Work with the United States Army Corps of Engineers and the Bureau of
Reclamation in implementing most high-cost, Trust Fund-financed remedial
actions;
- Provide on-site technical expertise;
- Provide Federal EPA oversight of post-remedial cleanup activities performed by
potentially responsible parties;
Perform five-year performance reviews to ensure the continued protectiveness of
the remedy; and
Quickly mitigate immediate threats to public health and the environment, develop
and implement effective cleanup decisions, and eventually remove sites from the
NPL.
b. Superfund Emergency Response and Removal (302DC6)
The purpose of the Superfund Emergency Response and Removal Program/Project is to
ensure all releases of hazardous substances and oil in the inland zone are appropriately
addressed; evaluate all release notifications received from the National Response Center
and other sources; provide technical and other support to local, state, and other federal
responders; conduct responses to hazardous substance releases, including radiation
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OSWER Directive 9200.3-14-1G-V
cleanups, and oil spills when necessary and/or appropriate; direct or monitor responses by
responsible parties or other agencies; and remove or arrange for removal of hazardous
substances and oil for the protection of human health and the environment. Major
responsibilities are to:
- Take action to prevent, reduce or mitigate threats posed by releases or potential
releases of hazardous pollutants in emergency and non-emergency situations;
Employ removal response actions at:
• emergency incidents where response is necessary within a matter of hours
(e.g., threats of fire or explosion);
• time-critical removals at NPL sites to make these sites safe from immediate
threats while they await remedial action;
• time-critical removals at non-NPL sites posing major public health and
environmental threats; and
• non-time critical removals at both NPL and non-NPL sites to promote quicker
and less costly cleanup.
- Prioritize and provide services to sites known to pose the greatest actual or
potential risk to public health and the environment; and
Provide oversight of removal work conducted by other Federal Agencies.
Examples of activities carried out at private and Federal sites under the EPA major
program activities listed above include, but are not limited to: 1) conducting
engineering/technical analysis, 2) providing response management, 3) conducting
community relations efforts, 4) conducting environmental justice analysis 5) providing
support to tribes, 6) providing support for state programs, 7) coordinating Regional
decision teams, 8) managing cleanup contracts, 9) conducting technology innovation
activities, 10) developing site safety and early action work plans, 11) evaluating of
disposal technology options, 12) providing on-scene oversight, 13) providing technical
assistance to and managing regional response activities of the National Response Team
and the Regional Response Teams (NRT/RRT's), 14) promoting reuse and
redevelopment of removal sites, and 15) coordinating with other federal agencies.
c. Homeland Security: Preparedness, Response, and Recovery (302D72)
The purpose of the Homeland Security: Preparedness, Response, and Recovery program
is to develop plans, procedures and standards to respond to major hazardous substance
and oil releases caused by weapons of mass destruction (WMD) or nationally significant
terrorist incidents; ensure readiness of EPA preparedness and response personnel through
planning, training, and exercises; and coordinate Homeland Security activities with the
Department of Homeland Security and other Federal agencies to ensure consistency with
the National Response Plan. Major responsibilities are to:
Develop and implement EPA emergency preparedness and response policies to
meet Homeland Security requirements;
- Develop and implement strategies and work plans to implement EPA's national
approach to the response management system to ensure the efficient and effective
utilization of EPA assets;
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OSWER Directive 9200.3-14-1G-V
- Develop and implement National Incident Coordination Team (NICT) and
Regional Incident Coordination Team (RICT) policies and activities to address
multi-program policy and resource coordination, information sharing and issue
resolution;
- Establish, operate and maintain EPA's Emergency Operations Center (EOC) and
Regional Response Centers (RRC's) to ensure effective and efficient response
operations;
Represent EPA and participate in Department of Homeland Security and
interagency committees, task forces and workgroups;
Procure, test, maintain and store detection, monitoring, response and personal
protection equipment and gear to address the use of WMD (chemical, biological,
radiological or nuclear) agents, or multiple large-scale incidents;
- Plan, conduct or participate in training and exercises related to WMD substances.
Includes EPA, national, regional or state and local sponsored training and
exercises;
Provide support for the Incident Management Assistance Team (IMAT) which
assists EPA's responders during terrorist and other major incidents;
Enhance Environmental Response Team (ERT) capabilities (Edison, Cincinnati
and Las Vegas) to support EPA's response to WMD events;
Develop and implement an emergency information management system across
the Agency to coordinate EPA's response with key federal, state and local
partners. Includes training for preparedness and response staff; and
Develop a lab support network to support sampling and analysis activities during
a response.
d. Superfund Enforcement (501EC7)
The Superfund Enforcement program emphasizes "Enforcement First" to ensure that sites
for which there are viable responsible parties are cleaned up by those parties. In tandem
with this approach, the Superfund enforcement program strives to ensure fairness, reduce
transaction costs, and promote economic redevelopment. EPA negotiates remedial
design/remedial action clean-up agreements and completes removal agreements at
hazardous waste sites. Where negotiations fail, the Agency either takes unilateral
enforcement actions to require a potentially responsible party (PRP) cleanup or uses
Superfund Trust Fund dollars to remediate sites. When Trust Fund dollars are used to
remediate sites, cost recovery actions are taken against PRP's to recoup expenditures.
The following is a description of the program's mandates and a list of activities that are
executed by EPA Headquarters and/ or Regional offices under this program/project.
• Promote early and comprehensive potentially responsible party (PRP) searches;
• Maximize PRP participation in removal and remedial actions including remedial
investigation and feasibility studies by entering into settlements or issuing unilateral
orders to all appropriate parties;
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OSWER Directive 9200.3-14-1G-V
• Monitor and ensure PRP compliance with performance or payment obligations for
long-term remedial and short-term response actions to ensure timely and protective
cleanup at Superfund sites;
• Assure fairness in settlements by using, where appropriate, de minimis and de
micromis settlements, orphan share determinations and compensation, settlements
with municipalities, and settlements with parties with limited ability to pay;
• Address all cost recovery cases where Trust Fund dollars have been used to clean up
sites and pursue cases in excess of $200,000 where the statute of limitations may
expire during or within six months of the budget year; and
• Conduct activities to ensure timely billings and collections.
e. Federal Facilities Response Budget (302DC9)
The Agency's Superfund Federal Facilities Response Program provides technical and
regulatory oversight at Federal facilities, including formerly used Defense sites (FUDS),
to ensure protection of human health and the environment, effective program
implementation, and meaningful public involvement, while facilitating restoration and
reuse of the properties. Major responsibilities include:
- Facilitate cleanup and property reuse at Federal facilities; and
- Provide oversight of removal, remedial, and post-remedial work conducted by
other Federal agencies; this may include technical assistance, document review,
and stakeholder involvement assistance to other Federal agencies when their
facilities are on the NPL.
Examples of activities carried out at private and Federal sites under the EPA major
program activities listed above include, but are not limited to: 1) conducting
engineering/technical analysis, 2) providing response management, 3) conducting
community relations efforts, 4) conducting environmental justice analysis 5) providing
support to tribes, 6) providing support for state programs, 7) coordinating Regional
decision teams, 8) managing cleanup contracts, 9) conducting technology innovation
activities, 10) developing site safety and early action work plans, 11) evaluating of
disposal technology options, 12) providing on-scene oversight, 13) providing technical
assistance to and managing regional response activities of the National Response Team
and the Regional Response Teams (NRT/RRTs), 14) promoting reuse and redevelopment
of removal sites, and 15) coordinating with other federal agencies.
f. Base Realignment and Closure (302D41 and 302D41B4)
Base Realignment and Closure (BRAC) is an EPA/Department of Defense (DOD)
supported reimbursable program. DOD provides reimbursement to EPA on an annual
basis to fund EPA work years (FTEs) for the Agency's participation at selected DOD
BRAC installations. EPA's role is to ensure protection of human health, effective
program implementation, and meaningful public involvement while facilitating
restoration and reuse of DOD's excess properties.
FY 11 SPIM H-9 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
- The BRAC program supports the Department of Defense (DOD) in carrying out
the accelerated cleanup program at selected BRAC sites with the ultimate goal of
providing for rapid economic conversion and redevelopment for the local
communities affected by base closure. Specifically, EPA works with DOD and
the states as part of the Base Closure Team (BCT) in the following ways:
Accepting the identification of clean parcels under the Community Environmental
Response Facilitation Act (CERFA) Development of BRAC Cleanup Plans;
Promoting community involvement in restoration and reuse decision making;
Supporting up-front planning and scoping;
Preparing and reviewing documents on an accelerated basis (for example, 1)
concurrent review of draft and final Environmental Baselines Studies (EBS)
documents, 2) work with the military on the Remedial Investigation/Feasibility
Study (RI/FS), Remedial Design (RD), and Remedial Action (RA) study and
sampling data); and
Expediting the review of environmental documentation relating to deeds and
leases to accelerate economic revitalization through reuse.
g. Federal Facilities Enforcement (501EH2)
The Federal Facilities Enforcement Office as well as the Federal Facilities Regional
Programs ensures that Federal agencies who own sites currently listed on the NPL have
an IAG in place to ensure clean up and compliance with Federal environmental statutes
and regulations. lAG's are also referred to as Federal Facilities Agreements (FFA's). The
following is a detailed list of activities supporting this program/project and indicating
whether the activity is conducted in the headquarters or regional offices, or both.
Developing CERCLA guidance and policies for the Federal Facilities
Enforcement program;
Negotiating FFA's /lAG's with Federal agencies whose sites are listed on the
NPL;
Monitoring milestones provided in the FFA's/IAG's to ensure full
implementation;
- Using dispute resolution to ensure full implementation of FFA/IAG; and
- Using stipulated penalties and supplemental environmental projects when
appropriate.
ILD ALLOCA TING SUPERFUND RESOURCES AMONG THE
REGIONS
Each Superfund national program office has specific procedures for allocating resources
among the regions. This section focuses on resources that the national program offices allocate to
the regions in specific budget object classes through the Site Allowances (formerly known as
Advices of Allowance). The budget object classes (BOC's) include Administrative expenses
(BOC 36), Contracts and Interagency Agreements (BOC 37), and Grants and Cooperative
Agreements (BOC 41). The national program offices have various methodologies to allocate to
October 1,2010 II-10 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
the regions resources for site-specific travel (BOC 28), but these resources are not planned in
CERCLIS and their distribution is not addressed in this manual.
Regions are required to plan obligations in CERCLIS by Site Allowance (SA) and/or
program project. Regions plan obligations in CERCLIS, either site-, project-, Operable Unit-, or
non-site specifically within each SA. Some planned obligations are associated with specific site
activities, while other planned obligations are estimates of total funding required for an activity
within a region (i.e., contract bulk funding). The CERCLIS database has been designed to
accommodate site- and non-site specific planning, although regions should plan obligations site-
specifically to the maximum extent practicable. Regions should also be certain all their
programmatic funding needs are reflected in CERCLIS and that they correspond with the
appropriate program SA.
Regions are responsible for managing the funds issued in each SA, and for operating
within budget ceilings, floors, and other restrictions. Additionally regions must follow Agency
reprogramming guidelines issued annually by OCFO to shift resources among program/project
codes or Budget Object Classes (BOC's). The Agency's Integrated Financial Management
System (IFMS) tracks commitments, obligations, and expenditures and downloads these data
into CERCLIS on a nightly basis. To the extent practicable, the regional budget for each SA
must balance at all times with the sum of actual obligations, open commitments to date, and
remaining planned approved (discussed below) obligations in CERCLIS. Planned and actual
obligations of funds recertified to the regions should be included in the "approved" regional
budget. Regions should also enter planned obligations in CERCLIS for reimbursable account
resources (i.e., settlement and state cost share resources) as "approved," using the appropriate SA
codes.
II.D.l Remedial Response Program Resources
The Remedial Response program budget includes two SA's, Remedial Action and
Pipeline Operations, which are managed by the Office of Superfund Remediation and
Technology Innovation (OSRTI). Each year, headquarters determines the amount of resources to
allocate these SA's based on the process for developing the Agency's annual budget.
a. Remedial Action SA
Regions are required to enter all planned obligations site-specifically in CERCLIS within
the Remedial Action SA (SA account code R), which includes Fund-financed remedial
actions, mixed funding and mixed work projects, and non-time-critical removals at NPL
sites (collectively called "construction") as well as long-term response actions, and five-
year reviews.
Through the annual work planning process, OSRTI works with the regions to develop
funding plans for the upcoming year for ongoing construction projects, including long-
term response actions and five-year reviews. During the workplanning process, OSRTI
relies on planned obligation data from CERCLIS, ongoing discussions with the regions,
and projections of the availability of funds to develop an initial ongoing construction
funding plan. Until the plan is issued, all planned obligations in CERCLIS must be
assigned as "alternate" (or "contingency") on the Funding Status dropdown list on the
Budget Allowance Detail Backup screen. Once headquarters issues the plan, regions must
FY 11 SPIM II-H October 1, 2010
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OSWER Directive 9200.3-14-1G-V
switch the funding status designation in CERCLIS to "approved" in accordance with the
funding plan. Those planned obligations that maintain the "alternate" designation should
include only the activities the region would conduct if additional resources become
available in the current fiscal year and will form the basis for additional funding
decisions.
Once an appropriation is enacted and funds are allocated to the national program offices
through the operating plan, headquarters will issue funds to the regions based on the
ongoing construction funding plan. If the fiscal year begins without an enacted
appropriation, headquarters will allocate available resources to each region on a case-
specific basis until an appropriation is enacted and the Operating Plan is approved.
Headquarters and regions will continuously work together to update the plan based on
site-specific cost estimate adjustments that occur throughout the year. Regions must also
regularly update planned "approved" and "alternate" obligations in CERCLIS to reflect
accurately the current years expected use of RA SA resources and to identify additional
funding needs.
Regions are required to obtain OSRTI approval of any proposed changes to the funding
plan greater than $100,000, (e.g., shift resources among sites or activities within the
Remedial Action SA) and record all changes to planned obligations in CERCLIS.
Because of the changing needs of the regions during the course of the year, OSRTI will
continually monitor regional obligation rates and usage of the Remedial Action SA
resources. Based on mid-year regional reviews as well as contact throughout the year,
OSRTI will update the Remedial Action SA funding plan to reflect changes in regions'
resource needs as well as additional resources that may be come available (e.g., through
deobligations). Unless otherwise directed by OSRTI, and except for deviations of
$100,000 or less, regions are required to return to headquarters, through the
reprogramming process, allocated resources that will not be used according to the
funding plan. OSRTI will include these resources in a national resource pool from which
it will fund remaining program priorities. Regions may not shift resources into or out of
the Remedial Action SA without prior OSRTI approval.
b. Pipeline Operations SA
Headquarters distributes Pipeline Operations SA (SA account code P) resources among
the regions based on the Pipeline Allocation Model. The model allocates a portion of the
budget based on historical allocations and the remaining portion using a work-based
scoring system. At the initiation of the annual work planning process OSRTI will provide
general guidance regarding its projections of the funding that will be available to the
regions through the Pipeline Operations SA. Using this information, each region will
develop its Pipeline Operations SA plan and enter its planned obligations and
accomplishments into CERCLIS. Pursuant to work planning discussions with
headquarters and refined resource allocation projections based on the Pipeline Allocation
Model, regions will finalize their program operating plans in CERCLIS. OSRTI will then
finalize the Pipeline Operation SA allocation using the Pipeline Allocation Model.
Planned obligations for regional activities within this SA must fall within the total
identified level, and should be shown in CERCLIS by selecting "approved" from the
October 1,2010 II-12 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
Funding Status drop down list on the Budget Allowance Detail Backup screen. Funding
needs above the headquarters proposed total budget level must be designated as
"alternate."
At the beginning of the fiscal year headquarters will issue 60% of the Pipeline Operations
SA among the regions. Headquarters will issue 20% of the SA at the beginning of each of
the 3rd and 4th quarters. If a region's commitment/obligation rate is less than 50% at the
end of the second quarter, headquarters may delay the remaining allocation to the region
and renegotiate the region's program allocation for the remainder of the year, which could
result in a reduction in the region's budget. If the fiscal year begins without an enacted
appropriation, headquarters will allocate an equivalent share of the available resources to
each region until an appropriation is enacted and the Operating Plan is approved. Funds
from the Pipeline Operations SA may not be moved to any other SA without prior OSRTI
approval.
II.D.2 Homeland Security/Removal Response Program Resources
The Office of Emergency Management (OEM) manages the Removal response and
Homeland Security program budget. Removal resources are allocated under two SA's: the
Removal Site Allowance which supports emergency response and site-specific removal actions;
and the Removal Support Allowance which provides resources for activities such as removal
assessments, site management, equipment procurement and OSC training and exercises.
Resource distribution under the Removal Site Allowance is based upon a historical allocation
methodology as well as the annual obligation of resources. Distribution under the Removal
Support Allowance is based upon allocation decisions made by headquarters and regional
management at the time the SA was established in FY 2004.
Following enactment of the annual appropriations and establishment of the Agency's
operating plan, headquarters issues funding to the regions in two increments. The first increment
is distributed during the first quarter of the fiscal year and the second at the beginning of the third
quarter.
Headquarters also retains a small regional reserve for emergencies or removal actions that
may exceed a region's annual resource allocation. Regions may request access to these funds at
any point during the year by submitting a request along with a justification to the Office of
Emergency Management Director. If the reserve remains unobligated by August of each year,
headquarters will issue a call to the regions to identify and submit a list of critical sites that
require additional resources. Sites selected for funding will be determined by the type of release
a site poses; i.e., potential for a significant fire, explosion or the threat of a catastrophic release.
Homeland Security resources are allocated under the Site Allowance code "C." Resources
are distributed through the operating plan and are allocated equally across the regions to
implement core Homeland Security preparedness programs and activities.
II.D.3 Superfund Federal Facilities Response Program
Regional Superfund Federal facilities Response budgets (SA account code F) are
determined during the annual workplanning sessions. If the Agency has an enacted budget, each
region will receive 50% of its portion of the approved budget during the 1st quarter and will
FY 11 SPIM H-13 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
receive the remainder during the 3rd quarter. If a region has a low obligation rate, discussions
will be held prior to third quarter distribution as to whether there is a need for the remainder of
the funds. To request additional funds, a region should contact FFRRO and provide a description
of the amount needed and a justification for the funds. Funds may not be moved out of the
Federal facilities SA without the FFRRO office director's prior approval.
II.D.4 Base Realignment and Closure (BRAC)
To assist the Department of Defense (DoD) with cleaning up and transferring selected
BRAC I-IV properties, DoD provides resources to EPA to cover the cost for those employees
working in the BRAC program. Upon receiving transfer authority, the U.S. Army transfers
BRAC resources to EPA via a Military Interdepartmental Purchase Request (MIPR). Once the
Headquarters Grants Administration Division has processed a fully executed Interagency
Agreement (IAG), and Cincinnati finance posts the information, FFRRO distributes the
resources via a reprogramming to the various Allowance Holders. Although resources are not
loaded into IFMS on an installation-specific basis, DoD provides the funding to the Agency site-
specifically. To increase or decrease the funding level for any BRAC installation, regions must
receive prior approval from headquarters.
II.D.5 Enforcement Program
The Enforcement program budget includes the program/project 302EC7 Superfund
Enforcement technical and legal resources that are managed by the Office of Site Remediation
Enforcement (OSRE) in OECA, and program/project 302JC7 Superfund Enforcement financial
management resources that are managed by OCFO. The resources for these programs have not
been assigned a Site Allowance code and are identified in financial management databases by
program/project. The initial operating budget for technical enforcement is allocated based on
each region share of the usage rate (as measured by expenditures for the current year to date and
the preceding two years) for enforcement activities. Headquarters allocates 60% of the President
budget request (if there has been congressional appropriation committee mark-up, it will be the
lesser of the two) in the early phases of the Operating Plan. This initial allocation will be made
available in the Interim Operating Plan for spending as soon as the appropriation is passed by
Congress and signed by the President.
An additional allocation will be made in the third quarter of the fiscal year. OSRE will
issue a call to the regions late in the second quarter for requests for additional funding. Emphasis
will be placed on funding program priorities which will be outlined in the call. The call will
consider all sources of funding not previously allocated, including the remaining new obligating
authority not allocated in the Interim Operating Plan, carryover of funds from the previous year,
projected reprogramming, and a projection of regional resources to be deobligated and
recertified. This second allocation of funds will be distributed in the third quarter.
Funds must not move into or out of the Superfund Enforcement program/project
(302EC7) without Agency and, if necessary, Congressional approval. Funds may be redirected
within the Enforcement SA to other BOCs and to other regions or headquarters offices.
October 1,2010 II-14 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
II.D.6 Federal Facilities Enforcement Program Resources
The Federal facilities Enforcement program budget consists of two components, an EPM
appropriation and a Superfund appropriation, which are managed by the Federal facilities
Enforcement Office (FFEO). At the beginning of the fiscal year, FFEO informs the regional
Federal facility Program Managers the amount each region is allocated. The regions are
requested to provide FFEO with prioritized requests for resources, not to exceed the allocated
amount. The resources consist of New Obligating Authority (NO A), and carryover of prior year
funds. The funds are disbursed by project, and monitored by headquarters. The resources for this
program have not been assigned a Site Allowance code and are identified in financial
management databases by program/project.
Funds may not move into or out of the Enforcement function without Congressional
approval. Funds may be redirected within the Federal facility Enforcement SA and to other
regions or headquarters offices.
II.D.7 Deobligating Prior Year Funds
Obligations made in prior years where all payments have been made, the obligation is
inactive, and there remains an unneeded, unliquidated balance may be deobligated and reused for
current year purposes. As a no-year appropriation, Superfund resources that are obligated before
the end of a given fiscal year and deobligated in a subsequent year may be recovered by the
Agency and obligated again in that same year. These funds are reapportioned to the Agency by
OMB and reissued to the Allowance Holders through a process called recertification. All
recertified funds must be obligated within the fiscal year of deobligation. The deobligation of
prior year funds is a good fiscal management practice and helps offset shortfalls in the current
year Superfund budget.
Each year, the Annual Planning and Budget Division in the Office of the Chief Financial
Officer, OSRTI, OSRE, and OEM jointly issue the Deobligation Recertification Guidance -
Superfund/LUST/Oil Spill Response Resources.
http://intranet.epa.gov/ocfo/budget/budmemo/2010/Jy2010_deobligation_recertification_guidance.pdf
It explains the general procedures for deobligation of funds and the specific procedures as
required by the National Program Manager (NPM) for the recertification of funds.
II.D.8 Budget Sources and Associated Action Codes
Exhibit II.3 identifies the major actions and the appropriate budget source (depending on
the project/action lead) for planned obligations, as well as the SA category under which each
action falls.
FY 11 SPIM H-15 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
EXHIBIT II.3: ACTION CODES FOR FINANCIAL TRANSACTIONS SORTED BY CERCLIS ACTION NAME
(WHO PAYS FOR WHAT)
Superfund Programmatic Action Codes to Be Used for Financial Transactions,
Sorted by CERCLIS Action Name
Action Name
Administrative Records
Aerial Survey
Alternative Dispute Resolution
Bulk Funding
(Outlays must not be charged to the WQ code, and
with the exception of Core Program funding, must be
action- and site-specific)
CERCLA Criminal Litigation
Claim in Bankruptcy Proceedings
Combined PA/SI
Combined RI/FS
Community Involvement (Non-Federal facility)
(Regions may plan using the ' WQ' SSID but must
obligate site-specifically)
Compliance Enforcement
Action
Code
AR
AS
AD
WQ
CC
CB
NX
CO
CR
uz
PRC
302DC6&
302DC9&
302DD2&
302EC7&
302DC6&
302DC9&
302DD2&
302DD2&
302EC7&
302DC6&
302DC9&
302DD2&
302EC7&
302EC7&
501E52&
302EC7&
SAs
S
FF
P
E
S
FF
P
P
E
S
FF
P
E
E
E
E
Site Des.
S
S
S
S
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ
E
S
S
Lead
CG, F, S, TR
FF
CG, F, S, TR
FE, SE
CG, F, S, TR, RP, PS, MR
FF
CG, F, S, TR, RP, PS, MR
CG, F, S, TR, PS
FE, SE
F
FF
F
FE
HQ only may use 302EC7&
Not in CERCLIS
FE
Not Available-Use Generic PA/SI (QB)
302DD2&
302DC6&
302DD2&
302EC7&
P
S
P
E
S
S
S
S
F, S, TR, SA, SS, ST
F, S, TR, RP, PS, MR
F, S, TR, RP, PS, MR
FE, SE
October 1,2010
11-16
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
Superfund Programmatic Action Codes to Be Used for Financial Transactions,
Sorted by CERCLIS Action Name
Action Name
Contract Management
Contract Program Management (Administrative)
Cost Recovery Decision Document
Cost Recovery Negotiation
Deletion from NPL
Design Assistance
Ecological Risk Assessment
Enforcement Contract Management
Engineering Evaluation/Cost Analysis (EE/CA)
ESI/RI
Expanded Site Inspection (ESI)
Feasibility Study
Federal Facility and BRAC General Support and
Management
FF Community Involvement
FF Docket
FF ESI Review
FF Five Year Review
FFFS
Action
Code
JU
QC
DD
NE
ND
DA
JF
TM
EE
SS
ES
FS
TX
LZ
GA
TZ
VY
NI
PRC
302DC6&
302DC9&
302DD2&
302EC7&
SAs
S
FF
P
E
Site Des.
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
Lead
F
FF
F
FE
Not Available-Use Contract Management (JU)
Not Available-Use NPL PRP Search (NS) or Non-NPL PRP Search (RP)
302EC7&
E
S
FE, SE
Not Available-Use Administrative Records (AR)
302DD2&
P
S
F, S, TR, RP, PS, MR
Not Available-Use Risk/Health Assessment (ED)
Not Available-Use Contract Management (JU)
302DC6&
302DC9&
302DD2&
302DD2&
302DD2&
302DD2&
302DC9&
302D41&
302DC9&
S
FF
P
P
P
P
FF
FF
FF
S
S
S
S
S
S
00
00
S
CG, F, S, TR, RP, PS, MR, SA, SS, ST
FF
CG, F, S, TR, RP, PS, MR, SA, SS, ST
F, S, TR
F, S, TR
F, S, TR, SA, SS, ST
FF
FF
FF
Not Available-Use Records Management (S)
302DD2&
P
S, WQ, ZZ
F, S, TR
Not Available-Use FF Oversight (OX)
Not Available-Use FF Oversight (OX)
FY11 SPIM
11-17
October 1,2010
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OSWER Directive 9200.3-14-1G-V
Superfund Programmatic Action Codes to Be Used for Financial Transactions,
Sorted by CERCLIS Action Name
Action Name
FFLR
FF Oversight
(Site Specific BRAC Costs)
FF PA Review
FFRA
FFRD
FF Removal
FFRI
FFRI/FS
FF SI Review
Final Listing on NPL
Five- Year Review
(Regions may bulk fund this action using the 'FE'
action code and the 'WQ' SSID but outlays also must
be site-specific)
Forward Planning/ Redevelopment/ Reuse
General Support and Management
General Enforcement
Generic PA/SI
Geophysical Support/ Mapping
Groundwater Monitoring (Post-ROD)
Health Assessment
Action
Code
MZ
OX
RX
LY
LX
LV
NH
LW
TY
NF
FE
FM
BM
GE
QB
GS
GM
HA
PRC
SAs
Site Des.
Lead
Not Available-Use FF Oversight (OX)
302DC9&
302D41CB4
302DD2&
FF
FF
P
S
S
S, WQ, ZZ
FF
FF
F, S, TR
Not Available-Use FF Oversight (OX)
Not Available-Use FF Oversight (OX)
Not Available-Use FF Oversight (OX)
Not Available-Use FF Oversight (OX)
Not Available-Use FF Oversight (OX)
302DD2&
P
S, WQ,ZZ
F, S, TR
Not Available-Use Administrative Records (AR)
302DD2&
302DD2&
302DD2&
302DC6&
302DD2&
302EH2&
302EC7&
302DD2&
P
RA
P
S
P
FFE
E
P
S, WQ
S,WQ
S
00
00
00
00
S, WQ,ZZ
RP, PS, SA
F, S, SA, TR
F
F
F
FE
FE
F, S, TR
Not Available-Use Technical Assistance (TA)
302DC9&
302DD2&
FF
P
S
S
FF
F, S, TR, RP, PS, MR
Not Available-Use Risk/Health Assessment (ED)
October 1,2010
11-18
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
Superfund Programmatic Action Codes to Be Used for Financial Transactions,
Sorted by CERCLIS Action Name
Action Name
HRS Package
Human Health Risk Assessment
Hydro/Geological Support
IAG Negotiation
Information Management Support
Integrated Assessment
Integrated ESI
Integrated ESI
Integrated HRS Package
Integrated PA/SI
Integrated SI
Interviews
Laboratory Support
Litigation - Generic
Local Government Reimbursement (Evacuation
State/Local)
Long-Term Response Action (LTRA)
Management Assistance
Multi-Site Cooperative Agreement
Action
Code
HR
ED
HG
IN
IJ
EA
OY
OV
OZ
ou
QJ
HV
LA
LT
EV
LR
MA
MS
PRC
302DD2&
SAs
P
Site Des.
S
Lead
F, S, TR
Renamed-See Risk/Health Assessment (ED)
Not Available-Use Technical Assistance (TA)
Not Available-Use Negotiation - Generic (NG)
302DC6&
302DC9&
302DD2&
302EC7&
302DD2&
S
FF
P
E
P
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ
F
FF
F
FE
F, S, TR
Not Available-Use Generic PA/SI (QB)
Not Available-Use Generic PA/SI (QB)
Not Available-Use Generic PA/SI (QB)
Not Available-Use Generic PA/SI (QB)
Not Available-Use Generic PA/SI (QB)
Not Available-Use NPL PRP Search (NS) or Non-NPL PRP Search (RP)
302DC6&
302DC9&
302DD2&
302EC7&
302EC7&
302DD2&
302DD2&
S
FF
P
E
E
P
RA
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S
S
S
F
FF
F
FE
FE, SE
F
F, S, TR, SA, SS, ST
Renamed-See State Support Agency Cooperative Agreement (MA)
Not Available-Use State Support Agency Cooperative Agreement (MA), Generic PA/SI
(QB), or Bulk Funding (WQ), as appropriate
FY11 SPIM
11-19
October 1,2010
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OSWER Directive 9200.3-14-1G-V
Superfund Programmatic Action Codes to Be Used for Financial Transactions,
Sorted by CERCLIS Action Name
Action Name
Negotiation - Generic
Non-NPL PRP Search
NPL RP Search
Operations and Maintenance
(For EPA-conducted O&M, use only reimbursable
resources only)
Partial Deletion from NPL
PPA Assessment
Pre-CERCLIS Screening
Pre-Remedial/Remedial Aerial Survey
Preliminary Assessment (PA)
Preparation of Cost Documentation
Proposal to NPL
PRPFS
PRPLR
PRP Community Involvement
PRPRA
PRPRD
PRP Removal
PRPRI
PRPRI/FS
RCRA Facility Assessment
Action
Code
NG
RP
NS
OM
GR
QX
HX
AS
PA
PC
NP
NK
ME
EL
BF
BE
BB
NA
BD
AA
PRC
302EC7&
302EH2&
302EC7&
302EC7&
302DC9&
302DD2&
SAs
E
FFE
E
E
FF
P
Site Des.
S
S
S, WQ, ZZ
S, WQ
S
S
Lead
FE, SE
FE, SE
FE, SE
FE, SE
FF
RP, PS, MR, SA, SS, ST
Not Available-Use Administrative Records (AR)
302EC7&
302DD2&
E
P
S
S, WQ, ZZ
FE
F, S, TR
Renamed-See Aerial Survey (AS)
302DD2&
302EC7&
302JC7&
P
E
S, WQ, ZZ
S
S
F, S, TR
FE, SE
Not Available-Use Administrative Records (AR)
302DD2&
302DD2&
P
P
S
S
RP, PS, MR
RP, PS, MR
Not Available-Use Community Involvement (CR)
302DD2&
302DD2&
302DC6&
302DD2&
302DD2&
P
P
RV
P
P
S
S
S
S
S
RP, PS, MR
RP, PS, MR
RP, PS, MR
RP, PS, MR
RP, PS, MR
Not Available-Use Generic PA/SI (QB)
October 1,2010
11-20
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
Superfund Programmatic Action Codes to Be Used for Financial Transactions,
Sorted by CERCLIS Action Name
Action Name
RD/RA Negotiation
Real Property Acquisition
Records Management
Remedial Action
Remedial Community Involvement
Remedial Contract Management
Remedial Design
Remedial Investigation
Remedial Support and Management
Removal (Regions may plan using the ' WQ' SSID but
must obligate site- specifically)
(RA SA for Remedial Program Projects only)
Removal/Remedial Contract Management
Removal Aerial Survey
Removal Assessment
Removal Community Involvement
Removal Contract Management
Removal Negotiation
Removal Support and Management
Removed from Proposed NPL
Research and Development
Action
Code
AN
RL
SW
RA
CR
JU
RD
RI
BO
RV
JT
AY
RS
RC
EZ
RN
BN
NR
BG
PRC
302EC7&
302DD2&
302DC6&
302DC9&
302DD2&
302EC7&
302EH2&
302DD2&
SAs
E
P
S
FF
P
E
FFE
RA
Site Des.
S
S
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S
Lead
FE, SE
F, S, TR
F
FF
F
FE
FE
F, S, TR, SA, SS, ST
Renamed-See Community Involvement (CR)
Renamed-See Contract Management (JU)
302DD2&
302DD2&
P
P
S
S
F, S, TR, SA, SS, ST
F, S, TR, SA, SS, ST
Not Available-Use General Support and Management (BM)
302DC6&
302DD2&
RV
RA
S
S
CG, F, S, TR, SA, SS, ST, SG
F, S, TR
Not Available-See Contract Management (JU
Not Available-See Aerial Survey (AS)
302DC6&
S
S, WQ, ZZ
CG, F, S, TR, RP, PS, MR
Not Available-See Community Involvement (CR)
Not Available-See Contract Management (JU)
302EC7&
E
S
FE
Not Available-Use General Support and Management (BM)
Not Available-Use Administrative Records (AR)
302DD2&
P
S, WQ, ZZ
F, S, TR
FY11 SPIM
11-21
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
Superfund Programmatic Action Codes to Be Used for Financial Transactions,
Sorted by CERCLIS Action Name
Action Name
RI/FS Negotiation
Risk/Health Assessment
Section 104(E) Referral Litigation
Section 106 Litigation
Section 106/107 Litigation
Section 107 Litigation
SEE Program
Site Inspection (SI)
Site Reassessment
Site Security and Maintenance
State Core Program
State Enforcement Management Assistance
State Support Agency Cooperative Agreement
Technical Assistance
Technical Assistance Grant
(Regions may plan using the ' WQ' SSID but must
obligate site-specifically)
Topographical Mapping
Action
Code
FN
ED
SF
sx
CL
sv
SM
SI
00
PD
SK
EM
MA
TA
TG
TO
PRC
302EC7&
302DC9&
302DD2&
302EC7&
302EC7&
302EC7&
302EC7&
302DC6&
302DC9&
302DD2&
302EC7&
302DD2&
SAs
E
FF
P
E
E
E
E
S
FF
P
E
P
Site Des.
S
s,zz
s,zz
S
S
S
S
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ
Lead
FE, SE
FF
F, S, TR, RP, PS, MR
FE, SE
FE, SE
FE, SE
FE, SE
F
FF
F
FE
F, S, TR
Not Available-Use Generic PA/SI (QB)
302DD2&
302DD2&
P
P
S
00
F, S, TR
F
Not Available-Use State Support Agency Cooperative Agreement (MA)
302DC9&
302DD2&
302EC7&
302DC6&
302DC9&
302DD2&
302DC9&
302DD2&
FF
P
E
S
FF
P
FF
P
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ
S
S
FF
F
F
F, S, TR, RP, PS, MR
FF
F, S, TR, RP, PS, MR
FF
F
Not Available-Use Technical Assistance (TA)
October 1,2010
11-22
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
Superfund Programmatic Action Codes to Be Used for Financial Transactions,
Sorted by CERCLIS
Action Name
Training
Treatability Study
Tribal Core Program
Tribal Pilot Projects
Tribal Support Agency Cooperative Agreement
Action
Code
TH
TS
TK
TJ
TJ
PRC
302DC6&
302DD2&
302EC7&
302DD2&
302DD2&
Action Name
SAs
S
P
E
P
P
Site Des.
00
00
00
S
00
Lead
F
F
FE
F,S, TR, RP, PS, MR, SA, SS, ST
F
Renamed-See Tribal Support Agency Cooperative Agreement (TJ)
302DC9&
302DD2&
302EC7&
Key to Leads:
CG = Coast Guard
EP = EPA in-house
F = EPA Fund- Financed
FE = Federal Enforcement
FF = Federal Facilities Response
MR = Mixed Funding Federal/RP
PS = PRP Response under State
RP = Responsible Party
S = State, Fund Financed
SA = PRP-Financed Action From a Special Account Performed by EPA
SD = State Deferral
SE = State Enforcement
SG = PRP-Financed Action From a Special Account Performed by USCG
SN = State, no Fund money
SR = PRP lead under State
SS = PRP-Financed Action From a Special Account Performed by State
ST = PRP-Financed Action From a Special Account Performed by Tribal Government
TR = Tribal Lead, Fund Financed
FF
P
E
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ
FF
F
F
Key to Site Designators:
S =
WQ =
ZZ =
00 =
Site-specific obligation
Unspecified-Site Obligation; Site-specific Outlay
site-related (ZZ) Obligation
Non-site (oo) Obligation
Key to SPIM Site Allowances (SAs) (formerly AOAs):
E =
FFE =
FF =
RV =
S =
P =
RA =
Enforcement
Federal Facilities Enforcement
Federal Facilities Response
Removal
Removal Support
Pipeline Operations
Remedial Action
FY11 SPIM
11-23
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
ILE SUPERFUND FINANCIAL MAN A CEMENT
This section outlines responsibilities of various offices and positions within the Agency
in managing and administering Superfund resources. It also briefly discusses the financial
management tools and systems used by headquarters and the regions to enter and track financial
information.
II.E.I Financial Management Roles and Responsibilities
Due to the complexities of the Superfund program, numerous organizational units within
the regional EPA offices have responsibility for Superfund financial management. As described
in this document, the regional Management Division is the organization in which financial
management, budgetary, accounting, planning and assistance agreements, and administration
functions are carried out. The Regional Servicing Finance Office (SFO), the Grants Officer, and
the Contracting Officers (CO) for the Response Action Contract (RAC), Superfund Technical
Assessment and Response Team (START), Regional Oversight Contract (ROC) and Emergency
and Rapid Response Services (ERRS) contracts are considered a part of this division. Please see
Section II. J.I for a list of Regional Superfund Cost Recovery Contacts. This section first lists the
primary regional offices with Superfund-related financial management responsibilities and the
duties for which each office has responsibility or authority to perform. The next section lists the
financial management roles and responsibilities of several staff positions.
a. Regional Financial Management Office
Participates with the Regional Program Office to Assign Account Number,
Document Control Number, and Cooperative Agreement identification numbers;
- Enters quarterly SA into IFMS, controls regional allowance;
Sets up regional account numbers in IFMS;
- Processes Procurement Requests (PR's), Interagency Agreements (lAG's), and
Cooperative Agreements (CA's);
- Enters commitments, obligations, and drawdowns into IFMS;
- Reviews invoices, monthly financial reports, and payment requests;
- Commits funds under regional contracts and modifications;
- Assists regional program office in the pre-application phases of the CA
development;
Maintains Superfund document files on regional costs and supports the
preparation of documentation for cost recovery;
Maintains accounts receivable for cost recovery, cash outs, Superfund State
Contracts (SSC) cost share, and oversight billings, and maintains billing and
collection system; and
- Provides regional program office with financial data.
b. Regional Administrator (unless delegated to Regional Program office)
Approves cleanup actions under removal authority;
October 1,2010 H-24 FY11SPIM
-------
OSWER Directive 9200.3-14-1G-V
Approves consistency exemptions at NPL sites where the removal costs are more
than $2 million;
Awards CAs, lAGs, and Technical Assistance Grants (TAGs);
- Enters into SSC's;
Initiates response planning activities; and
Ensures reimbursable BRAC costs are accurate and appropriate (1996 BRAC
Guidance, Section 3.2.1).
c. Regional Program Office
Assigns the Account Number;
- Provides technical support to the Contracting Officer (CO);
- Reviews vouchers and/or financial reports;
- Manages CAs and TAG's;
- Issues S/SIDs;
- Prepares Commitment Notices (CN's) and PR's;
- Develops SSC's;
- Approves Request for Proposals (RFP's) or Request for Bids and contracts
developed by the states;
- Monitors the transfer of financial data on contracts, lAG's, and CAs into
CERCLIS;
Maintains Superfund document files on regional work performed;
Submits change requests; and
Initiates and manages obligations.
d. On-Scene Coordinator (OSC)
Is an employee of EPA or U.S. Coast Guard (USCG);
Reacts to hazardous substance spills and releases, or threats of release;
Initiates and manages cleanup actions under removal authority;
Aware of, in control of, and responsible for site charges;
Ensures costs are reasonable and necessary;
Prepares site budgets and contract action requests;
Completes Action Memoranda;
Prepares delivery orders and PR's;
Initiates PR's, Work Assignments (WA's), CA's, lAG's, and contracts;
Approves site-specific IAG invoices;
Establishes and maintains official site file;
Reviews and approves cleanup contractors charges on a daily basis;
Tracks site costs against the established site ceiling;
Approves contractor invoices; and
Acquires services using warrant for up to $250,000.
FY 11 SPIM H-25 October 1, 2010
-------
OSWER Directive 9200.3-14-1G-V
In some cases, an OSC may have a written "Delegation of Procurement Authority" signed
by a Senior Procurement Manager (also called "Warrant Authority") and thus becomes an
Ordering Officer.
e. Remedial Project Manager (RPM)
- Is an employee of EPA;
- Initiates and manages removal actions and remedial actions;
- Manages enforcement costs and activities;
- Aware of, in control of, and responsible for site charges;
- Ensures costs are reasonable and necessary;
- Reviews contractor invoices and financial reports;
Establishes and maintains official site files in coordination with the Records
Center;
- Initiates PR's, WA's, CA's, lAG's, and contracts; and
- Approves site-specific IAG invoices.
f. Regional Project Officer (RPO)/Deputy Project Officer (DPO)
Is an employee of EPA;
Manages remedial, enforcement, removal, and general site support contracts;
Evaluates and designates contractor award fees;
Monitors contractors activities;
Reviews monthly contractor reports and site- specific attachments;
- Initiates PR's, WA' s, CA's, IAG's, and contracts;
Approves site-specific IAG invoices;
Identifies regional and site-specific contract requirements;
Reviews invoices; and
Provides general contract management support.
g. Administrative Support Unit
- . Established in each regional program office;
- . Staffed with EPA staff (the non-government functions may be performed by a
contractor);
- . Provides administrative support to the OSC/RPM;
Provides liaison between OSC/RPM and other groups involved in administrative
matters;
- . Provides support to regional program management;
- . Assists in developing removal site budgets and Action Memoranda;
- . Maintains the Removal Cost Management System (RCMS);
- . Sets up and maintains active site files;
- . Completes PR's and CN's; and
Reviews IFMS 'reports.
October 1,2010 H-26 FY11SPIM
-------
OSWER Directive 9200.3-14-1G-V
Selected program offices in HQ also have Superfund Financial Management
responsibilities. The main point of contact for technical program area specific financial
management issues is the applicable OSRTI regional center. Contact Headquarters
Budget Planning & Evaluation Branch (BPEB), Program Evaluation & Compliance
Branch (PECB), Federal facilities Enforcement Office (FFEO), or Federal facilities
Restoration and Reuse Office (FFRRO) with any issues pertaining to the SA or overall
budget resources. The next section lists the responsibilities of the HQ management
offices.
h. Office of Financial Management (OFM)/Office of the Chief Financial Officer
- Collects HQs Superfund cost documentation for cost recovery;
- Oversees annual site-specific reporting process;
- Issues financial policies and procedures;
- Provides general accounting support;
- Records transfer allocations;
- Notifies Trust Fund to invest cost recoveries, fines, and penalties; and
- Establishes Superfund account numbers in IFMS.
i. Office of Acquisition Management (OAM)
Conducts Superfund contracting program;
Negotiates, awards, monitors, modifies, and terminates contracts;
Provides technical guidance on contract administration; and
Provides cost and price analysis.
j. Grants Administration Division (GAD)/Office of Administration
Issues policies, regulations, and guidance for processing, awarding, and managing
financial assistance agreements and lAG's;
- Issues identification numbers for all lAG's; and
- Processes and awards HQ IAG' s.
k. Budget Division/OCFO
- Allocates Superfund allowances among HQ and regions;
- Approves regional allowances;
- Monitors obligations against regular and site allowances;
- Processes transfer allocations;
- Processes change requests; and
- Reprogram allowances.
1. Cincinnati Finance Center (CFC) Office of Financial Services
- . Provides accounting support for all Superfund lAG's;
- . Processes disbursement requests from other agencies;
- . Processes billings for reimbursable activities; and
FY 11 SPIM H-27 October 1, 2010
-------
OSWER Directive 9200.3-14-1G-V
Enters TAG obligations and disbursements into IFMS.
m. Research Triangle Park (RTF) Finance Center Office of Financial Services
- . Provides accounting support for all Superfund contracts;
- . Enters contract award and obligation data into IFMS;
- . Processes contractor invoices;
- . Enters payments into IFMS via the Contract Payment System;
- . Conducts distributions to various sites as requested by approving official once
invoices are paid;
- . Scans Superfund documents into SCORPIOS; and
- . Completes corrections on contracts and simplified acquisitions.
n. Las Vegas Finance Center (LVFC)
- Provides support of Grant Payments and financial closeout of Assistance
Agreements for all of the 11 Grant Award Offices.
Processes payments under EPA's Local Government Reimbursement (LGR)
program for hazardous substance, pollutant, or contaminant threat response.
Provides consolidation and certification of EPA's daily grant, vendor, and travel
payments through the Treasury's Secure Payment System.
II.E.2 Financial Data Management Systems and Tools
The following data management systems and tools are used to plan and track the use of
programmatic resources:
• CERCLIS is a Superfund specific database that houses site- and non-site specific data
including the financial planning data used for generating SCAP 04 reports. CERCLIS
is the system each region uses to enter region-specific data that is integrated into a
national database.
• CERCLIS financial information is used for management purposes only and is not an
official representation of Superfund incurred costs. The Integrated Financial
Management System (IFMS) is the Agency official source of financial costs incurred
by the Agency.
• SCAP Reports are standardized reports generated from CERCLIS that support
program planning and performance. The SCAP reports used by HQ to track the
regional financial planning and execution are the SCAP 4 reports including: SCAP
4R for the Response budget; SCAP 4E for the Enforcement budget; and SCAP 4F for
the Federal facilities budget.
• Budget Automated System (BAS) is the central Agency system used to integrate
strategic planning, annual planning, budgeting, and financial management. The
system contains resource (dollars and FTE), planning, and performance data. BAS is
an Agency-wide application; registered users have desktop access across a variety of
platforms in all HQ and regional offices. The system supports budget formulation,
annual planning, and operating plan development. BAS also delivers automated
October 1,2010 H-28 FY11SPIM
-------
OSWER Directive 9200.3-14-1G-V
budget tools (e.g., payroll forecasts), automated links to IFMS for comparison reports
(operating plan and actual obligations/outlays), and automated links to accountability.
BAS also supports regional commitments of performance targets within the Agency
and project-based planning/resource allocations within Offices. BAS does not contain
reprogrammings including recertification's.
• IFMS is the Agency core financial system that supports the general ledger, budget
execution, funds control, accounts payable, disbursements, accounts receivable and
collections, travel, project cost accounting, fixed assets and standard reporting
functions. IFMS interfaces with a number of Agency "mixed" (financial and
nonfmancial) systems that are primarily for administrative purposes but contain
limited financial data. An interface has been established between IFMS and
CERCLIS to download actual financial data into CERCLIS. An interface also exists
between IFMS and BAS. IFMS is maintained by the Administrative Systems Division
of the Office of Information Resources Management.
• OCFO Reporting and Business Intelligence Tool (ORBIT) is a reporting application
that provides a corporate approach to the Agency various financial reporting and
information needs. ORBIT also has the ability to integrate critical financial,
administrative and program performance information useful for monitoring Agency
operating activity, conducting trend analysis, and developing program strategy. The
ad hoc reporting capability allows advance user groups to create custom reports
useful to their organization and reporting needs
• Financial Data Warehouse (FDW), also called the Administrative Data Warehouse, is
an official Agency reporting tool that contains a collection of data in an Oracle
database from the following information systems: IFMS, Contract Payment System
(CPS), PeoplePlus, Consolidated Payroll Reporting System (Historical) CPARS,
Grant Information and Control System (GICS), EPA Purchase Card System
BANKCARD, EPA Travel Document System Travel Manager, and EPA Travel
Cards Travel Cards. The data that is stored in FDW is available to EPA users via the
intranet at "intranet.epa.gov/fdw" and by direct desktop access through Lotus
Approach, Impromptu, MS Access (a User ID, password, and database host name
must be established). IFMS data in FDW is refreshed at least twice a day.
• Superfund Cost Recovery Package and Image On-Line System (SCORPIOS)
organizes cost information and produces reports that summarize the costs for a
specific Superfund site. The SCORPIOS report is combined with images of
supporting cost and technical documentation to yield a complete cost recovery
package. The system also provides calculations for oversight billing and tracking,
charging of indirect costs, and the charging of annual allocation.
• PeoplePlus (PPL), the Agency integrated Human Resources, Benefits, Payroll, Time,
and Labor Management System, is a time recording system as well as a labor
distribution system. With PPL, both the time card and time sheet functions are
combined. The user must record and attest all site charges that are entered in PPL
each pay period. PeoplePlus electronically records this information and attributes it to
the appropriate accounts by site. The information is then automatically passed into the
FY 11 SPIM H-29 October 1, 2010
-------
OSWER Directive 9200.3-14-1G-V
IFMS, EPA accounting system, and then to the SCORPIOS which is used for cost
recovery.
ILF REGIONAL SUPERFUND FUNDING PROCESS
The process by which Superfund resources are funded is accomplished in distinct but
interrelated steps. Approvals, commitments, and obligations result in directing funds to a project
and/or supplier. In addition, the payment and deobligation processes result in drawdowns from
obligated funds.
II.F.l Funding Process
a. Approvals
An approval by the AA's, Regional Administrator or official designee is authorization to
undertake a CERCLA-funded response action.
Removal Actions:
- Regional Administrator (RA) approves actions costing up to $6 million, approves
removals costing up to $6 million based on the emergency waiver, grants
exemptions to the twelve months and $2 million statutory limits based on
consistency with the long-term action. The RA may also re-delegate to the OSC
the authority to approve actions costing up to $250,000 in emergency situations
and up to $50,000 in non-emergency situations.
- Before taking action, an Action Memorandum must be approved, except in
emergency situations where verbal approval by the Regional Administrator is
sufficient. The Action Memorandum documents whether the release meets the
criteria of CERCLA and the National Oil and Hazardous Substances Pollution
Contingency Plan (NCP), and includes an estimated total project ceiling. The
OSC uses the estimate of duration and cost in order to determine the proper
approval authority.
In extreme emergencies, the OSC may initiate activities without preparing the
necessary documentation in advance. The OSC must document the decision
within 24 hours of initiating the response.
RI/FS, RD, RA, Site Screening and Assessment, Enforcement, and Federal facilities:
- Planned obligations are entered into CERCLIS. Funds should not be committed or
obligated unless the project is reflected in CERCLIS.
- Obligations are planned and executed on an action-specific (identified in the
Superfund account number by a combination of SSID and action code in the
Site/Project field, and the Action Sequence Number in the cost organization
field).
- A Record of Decision (ROD) is required for all remedial actions. The ROD is
signed by the Regional Administrator or designee, or the OSWER AA. A ROD
provides the justification for the remedial action (e.g., treatment, containment,
institutional controls) chosen at a Superfund site. It also contains site history, site
description, site characteristics, community participation, enforcement activities,
October 1,2010 H-30 FY11SPIM
-------
OSWER Directive 9200.3-14-1G-V
past and present activities, contaminated media, the contaminants present, scope
and role of response action and the remedy selected for cleanup.
b. Commitments
Commitments are a reservation of funds but not a legal promise to pay a supplier.
Once the regional Funds Certifying Officer (FCO) certifies the availability of
funds, a spending action becomes a commitment. Funds that are committed but
not obligated are called open commitments.
There are two types of commitment documents: Procurement Requests (PR's) and
Commitment Notices (CN's). PR's commit funds for contracts; CN's commit
funds for CA's and reimbursable lAG's.
- Open commitments expire at the conclusion of the Budget Fiscal Year (BFY).
Each commitment is assigned a Document Control Number (DCN). The DCN is a
6-digit code assigned by the regional Superfund Financial Office (SFO) to PR's
and CN's. This same number is carried over from the PR or CN to the obligating
document. It identifies the spending action in IFMS, just as a check number
identifies a check.
- When IFMS transfers an obligation, each obligation is accompanied with a
matching decommitment.
- Obligating Document Number (ODN) represents a specific contract. More than
one actual obligation could fund a contract. Similarly, more than one DCN can be
associated with one contract number/ODN.
c. Obligations
- Obligations legally bind the government to pay a supplier for goods or services.
Obligated funds can no longer be used for any other purpose.
- A contractor, another federal agency, or state cannot start work until funds have
been obligated. Funds can be used only for the purpose for which they were
obligated.
Obligating documents must be processed in accordance with guidance issued by
Office of Acquisition Management (OAM), Grants Administrative Division
(GAD), and Office of Financial Management (OFM). Some contracts are awarded
by OAM and entered into IFMS by the SFO/RTP; others are handled by the
regions. Obligations for CA's are entered into IFMS by the regions; lAG's are
entered by the Cincinnati Finance Center (CFC)/OFS.
A CA is considered obligated when it is signed by the Regional Administrator. An
IAG is considered obligated when it is signed by the other agency. Contracts are
considered obligated when the CO signs the obligating document, or in the case of
an ESS WA, when the CO signs the WA.
d. Payments (Outlays)
Regions are responsible for reviewing and recommending payment of the
invoice/voucher.
FY 11 SPIM H-31 October 1, 2010
-------
OSWER Directive 9200.3-14-1G-V
e.
- Invoices from contractors/suppliers are submitted to the proper SFO for payment.
Before payment, there must be an obligating document and a receiving report to
verify that the work was completed, or that the goods received were satisfactory.
Unpaid obligations remain in IFMS until paid, or until the allowance holder or
obligating official notifies the SFO that no further payments will be made. When
financial records are transferred from IFMS, each payment is accompanied with a
matching deobligation.
If the obligation was generic and the invoice is site-specific, IFMS shows the
funds deobligated from the generic account and obligated and disbursed from the
site-specific account.
Deobligations
Regions should regularly review the status of all contracts, lAG's, CA's, and
grants. If all activities have been completed, remaining funds should be
deobligated immediately to make them available for other activities. Regions
should hold a small portion of contract obligations to fund site closeout activities.
// G SUPERFUND ACCOUNTING INFORMA TIONAND TREA TMENT
OF CERCLISDA TA
Where EPA incurs costs that can be identified as solely benefiting Superfund, the
Superfund Appropriation is to be directly charged through the Agency's account number
structure. The account number structure is used for planning, entering, and tracking financial
transaction data within the CERCLIS database and for interfacing with financial information in
IFMS.
II.G.l Superfund Account Number
The account number structure is comprised of six fields of data elements that identify the
specific nature of the expense. These fields are: the budget fiscal year; fund (or appropriation);
organization; program results code; site project and cost organization. Exhibit II.4 provides
specifics and an example of how to fill out the account number. Other subsections here describe
in specific details of select fields of the account code (PRC's were already described in a
previous section).
EXHIBIT II.4: ACCOUNT NUMBER STRUCTURE
Budget Fiscal
Year
Fund
(Appropriations)
Organization
Program Results
Code
Site Project
Cost/Org
2I°I°I8I
7IAI°I°IPI
3I°I2IDIDI2I
C 0 0 2
Data Element Field Name
Definition
Sample Entry
Budget Fiscal Year
(8 characters)
The first four positions in this field identify the budget fiscal year
(e.g., 2008'). The last four positions in this field identify the
ending fiscal year, but these positions are not used by the
Superfund program, and should be left blank.
2008
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Data Element Field Name
Definition
Sample Entry
Fund (Appropriation)
(6 characters)
The type of appropriation is entered in this field with up to first
four characters indicating appropriations accounts and sub-
actions (e.g., TR). If the appropriation is billed or received (for
cost recovery), valid entries can be up to 4 characters in length
(e.g., HSCR), with the last two positions left blank.
Budget Organization
(7 characters)
The Budget Organization field is the Allowance Holder/
Responsibility Center (AHRC) code (e.g., 07H). The AHRC code
can be between 3 and 6 characters in length. For instance, the
first two characters represent the allowance holder (e.g. Region 7
may be represented as 07 or 7A); the 3rd character is an alpha
character which designates the responsibility center within the
region (see the region's budget office for a list of these codes).
The last three digits represent the Superfund SA Code and a local
option or congressional add-on (e.g., CUD - counter-terrorism
response).
7A OOP
Program Results Code
(9 characters)
The first 7 characters identify the PRC as discussed earlier in this
chapter in Section II.B.2 and in Exhibit II.2. The remaining
positions should be left blank.
302DD2
Site/Project
(8 characters) - consists of
S/SID, Action code, and
Operable Unit
The first four digits are comprised of the site/spill identifier
(SSID). The SSID is comprised of the region number in the
second position, e.g., 7' for Region 7 with a place holder of 0 in
the first position. For Region 10, a 0' should be entered in this
position. This combined with the third and fourth position is a
unique numeric or alpha numeric site number. The SSID is
followed by the action code in position 5 and 6. The action code
is a 2 digit alpha character, a listing of which can be found in
Exhibit II.3 the Who Pays for What Table. Finally, the operable
unit is entered in positions 7 and 8 (e.g., 01' for operable unit 01).
A unique format is used for IT related transactions.
0723CO01
Cost Organization
(7 characters)
The leading C is the CERCLIS identifier used by IFMS. It is
system generated in the first position of the Cost Organization
field for CERCLIS actions. The numerical characters in the
second, third and fourth positions represent the action sequence
number, e.g., 002 for the second occurrence of an action at a site.
The remaining positions should be left blank.
C002
a. Fund/Appropriation Code
EPA controls appropriated funds and sub-accounts by using an Appropriation Code also
known as the fund code. Superfund dollars are distinguished as appropriation code "T".
Two and three digit appropriations codes are sub-accounts. For instance, prior year
carryover balances including deobligations of prior year funds are distinguished as
appropriation code "TC" and special accounts for cashout settlements are distinguished as
"TR2". The four digit appropriation codes TR2A and TR2B represent miscellaneous,
transfer, deposit, and trust fund receipt accounts. The most frequently used codes for
Superfund include the following:
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Appropriation Code
T
T9
TC
TCD
TR
TR1
TR2
TR2A
TR2B
Title
Superfund
Superfund Homeland Security
Superfund Carryover
Superfund Carryover - Deobs
Superfund Reimbursable
Superfund Reimbursable -SSC
Non-Federal Special Accounts - unearned revenue
Federal Special Accounts - unearned revenue (i.e.,
Special Accounts - earned revenue (i.e., past costs
(i.e., future costs)
future costs)
and interest)
b. Site/Project Field
The first four characters of the Site/Project field represent site/spill identifiers (SSID's)
that the Agency uses to account for and accumulate Superfund costs by site. Generally,
an SSID should be established when there is a reasonable expectation that a future
response action will be taken, but no later than either site proposal to the NPL, execution
of an action memo, or an official decision to undertake a response. When committing or
obligating funds at sites where an SSID has not been assigned yet, the region may use
"ZZ" in position 3 and 4 of the site/project position of the Account Number for PA's and
Si's only. The "ZZ" should be used only if a site does not have an SSID. "WQ" is used
for bulk or block funding only, i.e., where SSID's exist but funds are not committed site
specifically. When "WQ" or "ZZ" is used in the SSID position, funds are obligated non-
site specifically (though for reporting purposes are considered to be site-specific).
However, for WQ obligations, when the funds are paid out/disbursed, they must be
associated with a site. (ZZ obligations may be drawn down as ZZ funds.) "ZZ" can be
used for disbursement of non-site specific activities. Once an SSID has been established
for the site, regions must revise all the financial accounting information (in IFMS and on
the obligating document) with the correct SSID. The "ZZ" should not be used for future
obligations once an SSID has been established at the site.
For IT-related transactions, a unique format is used for the site/project field. The
following describes this format. Note: IT-related transactions will always be associated
with the non-site Information Management (IJ) action in CERCLIS.
Position
1
2-3
4
5-6
7-8
Description
IT Identifier (this character will always be L)
Major or Significant Project
System/Project Phase (preliminary design, development, or maintenance)
Cost Area
Special Reporting Requirements (currently there are no special reporting requirements
always be zeros)
so this will
See the New Information Technology Accounting Requirements Comptroller Policy
Announcement #01-10 for additional information on the IT accounting requirements.
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II.G.2 Handling Financial Data in the CERCLIS Environment
IFMS data are downloaded nightly into CERCLIS through an automated link. This
automatic transfer of financial information from IFMS to CERCLIS includes commitments,
obligations, and payment data. Planned financial data must be entered into CERCLIS by the
region; however, the IFMS Account Number is generated by CERCLIS at the time the planned
obligation is first entered. This Account Number must be entered on all funding documents at the
time the planned obligation is executed, i.e., committed or obligated. If the Account Number is
not correct, the IFMS to CERCLIS transfer will not work properly.
a. Entering Response, Enforcement and Federal Facility Data into CERCLIS
Once the funding document has been processed by the region, and actual commitment or
obligation data are entered into IFMS and transferred to CERCLIS, the planned financial
data should be deleted from CERCLIS. The "Planned" Financial Type should not remain
in the system once the funds are committed or obligated. Failure to delete the Planned
Financial Type could cause the region to overstate its planned annual budget and result in
either withholding SA approval, or a reduction in next quarter's SA.
b. Correcting Financial Data
The IMC or Regional Superfund Budget Coordinator can request, on a regular basis, a
report from the regional financial office that contains all Superfund financial transactions
in IFMS. The information in this report can be compared with the funding documents and
the information in CERCLIS. The Financial Data Warehouse is another source for this
information. If there is a discrepancy between the financial data in CERCLIS and IFMS,
the funding document should be used to verify the information in both systems.
Upon determining that the data on the funding document is correct, the IMC should give
the regional FMO a copy of the funding document and any other relevant documentation
showing that the IFMS data has been entered incorrectly. The regional IFMS
administrator is then responsible for correcting any data errors in IFMS. The IFMS
administrator is the only person authorized to correct data entry errors or change financial
information in the IFMS database. The OFM has issued standard procedures for
correcting IFMS data. The IMC or designee should work with the regional FMO on a
regular basis to make sure that all IFMS errors are corrected.
Errors in account number or other information on the original funding document can only
be corrected by the same process used to initially create the financial record (by a
contract/PA or by amendment of the IAG or CA).
ILH FINANCIAL VEHICLES
EPA uses a variety of procurement mechanisms to carry out CERCLA-funded response
actions. These include the procurement of contracts, interagency agreements, and cooperative
agreements.
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OSWER Directive 9200.3-14-1G-V
II.H.1 Contracts
Superfund contracts are awarded through standard procurement procedures (see the
Office of the Comptroller's Resources Management Directives Systems 2550C, Chapter 3 of this
document, and the EPA Contracts Management Manual, or refer directly to the directives
prepared for each contract). Exhibit II.6 contains information on the procurement forms used for
most Superfund contracts. The unique aspect of Superfund contract processing and financial
tracking stems primarily from the need to associate contractor costs incurred with specific
Superfund sites and OU's to support the cost recovery process. Cost recovery negotiations with
PRP's, or court actions, require careful documentation of federal costs incurred at each site/spill.
a. Contracts for Site-Specific Work
These contracts are obligated and tracked on a site-specific basis. They include RAC,
AES, START, Regional Oversight Contracts (ROC) and ERRS. Funds may be obligated
to specific sites, or bulk funded with site ID "WQ" and then paid out site specifically.
b. Contracts for Non-Site Specific Work
These contracts are obligated and tracked on a site-specific basis. They include RAC,
AES, START, Regional Oversight Contracts (ROC) and ERRS. Funds may be obligated
to specific sites, or bulk funded with site ID "WQ" and then paid out site specifically.
c. General Site Support Contracts
Generally not awarded on a site-specific basis; however some of these contracts
allow for site-specific task or delivery orders which can be obligated on a site-
specific basis.
- Capable of providing broad technical and planning support on an "as needed"
basis.
Includes Response Action Contracts (RAC), Superfund Technical Assessment
and Response Team (START), Regional Oversight (ROC), Emergency and Rapid
Response Services (ERRS), Contract Laboratory Program (CLP), and
Environmental Services Assistance Team (ESAT).
- Where funding has not been obligated on a site-specific basis, contractors submit
site-specific attachment that includes invoiced costs for:
• Each site with a S/SID;
• All other sites;
• Program management (if applicable);
• Base and award fee (if applicable);
• Fixed Fee (if applicable); and
• Non-site activities (e.g., training).
- Where site-specific funding is obligated on a task or delivery order basis, the
contractor either submits a separate monthly invoice for each site, or one invoice
for the contract, with separate attachments for each site.
Contractors submit original invoice to RTF and copies to HQ or regional PO.
PO reviews invoice.
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d. Enforcement Support Services (ESS)/Zone Enforcement Support Services
(ZESS)
Combination of general site support and site-specific contracts; however, not
obligated on a site- specific basis
Regions issue task orders against the contracts on a site-specific basis
Site-specific task orders are not entered into IFMS
Contractors submit site specific attachment that includes invoiced costs for:
• Each site with a S/SID;
• FY 10 SPIM 11-27 October 1, 2009 OSWER Directive 9200.3-14-1G-U;
• All other sites;
• Cost plus/fixed/award fee; and
• Non-site activities (e.g., training).
- Contractors submit original invoice to RTF and copies to RPO
RPO reviews invoice
- RPO's and COR's may conduct concurrent reviews
e. Mission Support Contracts
- Provides support to HQ and regional program offices
Not for site-specific work
- Not obligated site-specifically
- Administered totally by HQ
EXHIBIT II.6: EPA FORMS COMMONLY USED FOR SUPERFUND PROCUREMENTS
EPA Form
Number
Form Name
Purpose
Comments
1900-8
Procurement
Request/purchase Order
The Agency's basic form for
requesting the procurement of any
goods or services. Used to commit
funds before obligating funds on any
of these documents. Must be certified
by FMO.
This form is the basis for entering
a commitment in IFMS. The
FMO enters an obligation only
upon receiving a contract
document or purchase order.
1900-48
Order for Services-
Emergency Response to
Hazardous Substance
Release
Used by OSCs to obligate funds and
contract for services (up to $250,000)
from commercial firms or a state or
local government (if site not owned
by state or subdivision at time wastes
were disposed of) to respond to a
release.
Results in a firm, fixed-price
contract. No price adjustment
may be made for work stated in
contract. Contractor may submit
only one invoice. FMO will
process contract as an obligation.
1900-49
Notice to Proceed with
Emergency Response to
Hazardous Substance
Release
Used by OSC to authorize a
contractor to begin work on an
emergency response (up to $10,000
per incident). Negotiation of
definitive contract and any
modifications performed by CO.
A preliminary contractual
instrument that must be made
final by a designated CO. FMO
will process notice as an
obligation.
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EPA Form
Number
Form Name
Purpose
Comments
1900-56
Letter contract for state,
tribal government, or
local government
Response to Emergency
Hazardous Substance
Release
Used by OSC to procure services
from a state, local, or tribal
government to begin work on an
emergency response (up to $10,000
per incident) if site was not owned by
state or subdivision at time of
hazardous waste disposal.
Negotiation of definitive contract and
any modifications performed by CO.
Results in a cost reimbursement
type agreement with a state, local,
or tribal government. It is a
preliminary contractual
instrument that must be made
final by a CO. The appropriate
FMO will process a letter or
contract as an obligation.
1900-59
Delivery Order for ERRS
Used by OSC's to order services (up
to $250,000) from the ERRS
contractor to respond to a release. All
modifications and obligations greater
than $250,000 will be processed by
the CO.
Has time and material provisions
but uses fixed rates negotiated in
ERRS contract. Order must be
made final by a designated CO.
FMO will process orders as an
obligation.
II.H.2 Other Financial Vehicles
The following sections discuss interagency agreements, cooperative agreements, and
Superfund State contracts.
a. Interagency Agreements (lAG's)
An IAG is a written agreement between federal agencies under which goods and services
are provided. The Superfund program uses Disbursement lAG's and Allocation Transfer
lAG's to request federal agencies assistance with site cleanups and associated activities,
and to provide ongoing support or services. The regional program office initiates and
manages site-specific lAG's. U.S. Coast Guard (USCG)-lead removal lAG's, Department
of Justice (DOJ) lAG's, and allocation transfer lAG's are negotiated, approved, awarded,
and managed at HQ. The IAG specifies the services required and identifies the method of
payment.
b. Cooperative Agreements (CA)
A Superfund Cooperative Agreement (CA) is a legal instrument between the federal
government and a state, political subdivision, or Indian tribe (including intertribal
consortia) that forms a working relationship in which both parties provide funding and
services related to the design and implementation of Superfund responses. The CA
transfers money, goods or services to the state or other recipient to lead or support
Agency activities. It allows the state or other recipient to take responsibility for leading
the Superfund response. In addition, it defines the level of involvement of EPA and the
recipient and secures the state's CERCLA assurances. A CA for remedial action also
should include provisions for obtaining required state cost share and other assurances.
Several offices are involved in the commitment process for a CA. The Regional Program
Office (RPO) prepares the commitment notice and obtains the necessary program
approvals; the Regional Comptroller's Office certifies availability of funds, assigns
accounting data, and enters commitment in IFMS; and the Grants Administration
Division assigns the CA identification number. To obligate funds for a CA, the Regional
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Administrator (or his/her designee), first signs the CA. The Regional Comptroller's
Office processes the obligation in accordance with OAM, GAD, and FMD requirements
and then enters the obligation in IFMS.
For additional information on the financial management of CA's, refer to the Resources
Management Directives Systems 2550D, Chapter 9
(www:intranet.epa.gov/ocfo/policies/direct/2550d.htm).
c. Superfund State Contracts (SSC's)
When EPA or a political subdivision has the lead for a Remedial Action, an SSC is used
to describe the state's role. A SSC is a legally binding agreement that provides the
mechanism for obtaining required state cost share and other assurances, outlines the
statement of work for the response action, and documents responsibilities for
implementation of response activities at a site. When a political subdivision has the lead,
the SSC is signed by EPA, the state, and the political subdivision. Alternatively, EPA
may enter into a SSC with the state, and enter into a cooperative agreement with the
political subdivision. (OSRTI is in the process of amending 40CFR part 35 subpart O.
The expected publication date of the changes is April 2007.)
The SSC does not obligate funds. Funds for federal-lead projects must be obligated
through an EPA PR with a contractor, or through an IAG with another agency. Funds for
response actions conducted by a political subdivision are provided through a CA (see
previous section).
The SSC must be signed prior to the obligation of funds for a RA. EPA may obligate RD
funds to initiate the RA procurement process, up to the point of soliciting for construction
bids. In cases of extreme urgency, a solicitation (for bids on RA work) may be issued
before a SSC is signed. The solicitation must notify prospective bidders that the
availability of funds for the contract is contingent on EPA and the state concluding a
SSC. If the SSC is not signed before the bid opening, one of the following decisions must
be made:
- . The solicitation may be canceled; or
- . The bid opening date may be postponed (giving bidders an opportunity to
withdraw, modify, or submit new bids).
To ensure that Fund monies are effectively used, procurement activities should be
initiated with RD funds only when the region is confident the SSC will be signed before
bids are opened.
For additional information on financial management responsibilities related to SSC's,
refer to the Resources Management Directives Systems 2550D, Chapter 9
(www:intranet.epa.gov/ocfo/policies/direct/2550d.htm).
Requirements
As provided by law, the state must provide its assurances through an SSC before
Superfund resources can be used to finance a RA.
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SSC must be in place before EPA or a political subdivision can begin Fund-
financed RA or NTC removal where the state is sharing costs.
- . If USAGE will perform the response action, a SSC must be in place before
construction contract/agreement can be signed.
If an IAG is used for the response action, a SSC must be signed before the IAG
can be issued.
- As part of its assurances, the state must agree to pay its cost share of 10 percent
for a RA or NTC removal at privately operated sites, or 50 percent (or such
greater share as EPA may determine appropriate, taking into account the degree
of responsibility of the State or political subdivision for the release) of all prior
and future Superfund activities at publicly operated sites. These assurances are
made prior to RA start.
- Contains program assurances and cost share payment schedule.
Development
- . The SSC is developed by regional program office.
Accounts Receivable
In most cases, states are required to provide cash payments to EPA for cost
shares.
- As state cost share amounts become due, RPM/RPO forwards copy of SSC to
Regional Comptroller's Office to record accounts receivable in IFMS.
RPM/RPO will forward SSC modifications to Regional Comptroller's Office as
required.
Payment Schedule
- The state can make its cost share payment in a lump sum advance or pay
incrementally based on a payment schedule.
If a state's cost share payment is received in advance, this amount should be used
in lieu of EPA's appropriated funds. Matching amounts of reimbursable authority
must be requested and issued before they can be used. Similarly, incremental
progress payments should be applied to project costs where feasible in lieu of
appropriated funds.
Billing
- According to the SSC payment schedule, the Regional Comptroller's Office will
send the state a bill for collection indicating cost share amount to be paid.
Regional Comptrollers Office will reference the SSC, including site name and
site/spill identifier number on the bill.
The state's payment is remitted to respective regional lockbox account.
- . The state must include copy of bill with all remittances.
Receipt of Payment
If payment is not received when due, the Regional Comptroller's Office will
follow up with the state via dunning letters.
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- Interest does not accrue on the billed amount if the state provides dollars before
EPA obligates funds for RA. In this case, the Regional Comptroller's Office
places amounts received in reimbursable account.
Closeout
The RPM/RPO is responsible for advising the Regional Comptroller's Office to
close out a SSC.
Regional Comptroller's Office performs a reconciliation of financial data as part
of the SSC close out process.
State cost share funds remaining or received after the completion of work should
be obligated to the project and the commensurate amount of appropriated funds
deobligated for use at other sites.
Certain provisions of an SSC may remain in effect after closeout, such as Post
Construction assurances.
/// COST RECOVERY PROCESS
CERCLA, as amended, imposes liability on responsible parties for the cost of responding
to releases or threatened releases of hazardous substances from hazardous waste sites or spills.
When these PRP's fail to clean up sites on their own, EPA may perform the cleanup and later
attempt to recover the cleanup costs from the parties. Obtaining reimbursement for these costs
through negotiation or judicial action is one of the primary goals of the Superfund program.
Cost recovery documentation is performed by a case development team composed of
representatives from the Office of Regional Council (ORC), the regional program office, and the
Regional Comptroller's office. The involvement and distribution of responsibilities of each of
these offices during the cost recovery process varies among the regions, and may be defined by a
Regional Inter-Office Memorandum of Understanding.
II.I.l Recovery Process
a. Initiation of Cost Recovery Process
- Regional program office prepares and submits cost recovery request through
Regional Cost Recovery Coordinator (RCRC) to Regional Comptroller's office.
The request includes site name and identifier, dates through which costs are to be
documented and date documentation is required.
- RCRC requests a site-specific report generated by the Superfund Cost Recovery
Package and Image On-Line System (SCORPIOS) to provide a cost basis for
negotiations with PRP's.
b. Cost Documentation and Reconciliation
RCRC requests a certified site-specific report generated by SCORPIOS to provide
cost basis for billing the PRP(s). The request includes site name and identifier,
type of billing, special conditions pertaining to the billing, dates through which
costs are to be documented and date documentation is required.
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Certification involves collecting and reviewing documentation to ensure
accounting and cost information are recorded correctly, costs are properly
charged, Account Numbers refer to the appropriate site, and costs on documents
are accurately reflected in IFMS.
- Regional Comptroller's office prepares cost summaries, reconciles and certified
cost summaries, provides expert and factual financial witness testimony, and
interprets financial documents and SCORPIOS reports.
Servicing Finance Offices (SFO) capture Superfund accounting transactions in the
Agency's account system and scan related documentation into SCORPIOS, as
necessary.
- The Office of Financial Management in Headquarters computes indirect cost
rates, annual allocation rates, provides expert testimony related to indirect cost
and annual allocation rates, and provides support for Superfund financial policy
and procedures.
The Office of Technology Solutions provides the operation and maintenance of
SCORPIOS.
- ORC reviews final cost summary and documentation in preparation for litigation
and takes appropriate action pursuant to the Privacy Act and Confidential
Business Information requirements.
c. Work Performed Documentation and Reconciliation
Involves collecting and reviewing documentation to ensure that costs are being
pursued for appropriate site activities.
- RCRC assembles copies of any task-creating document (WA, Purchase Order,
Delivery Order, etc.) as well as amendments, modifications, progress reports and
close-out reports for the tasks included in the cost recovery referral.
RCRC works with the SFO to ensure agreement between the cost and work
performed documentation.
ORC reviews final work performed documentation package and takes appropriate
action pursuant to the Privacy Act and Confidential Business Information
requirements.
d. Site File Maintenance
Diligent maintenance is crucial to cost recovery and is a regional responsibility.
Financial files are maintained by the Regional Comptroller's office until two years
after all cost recovery litigation is complete.
Work performed files are maintained by contracts officials or RCRC in
accordance with Agency disposal guidance.
- Disposal of files is permitted 30 years after cost recovery is completed or upon
completion of imaging or when no longer needed, whichever is later.
- Cost recovery documentation should be maintained by the RCRC until required
by the litigation team.
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e. Superfund Indirect Costs
EPA incurs costs that are attributable to individual Superfund sites and indirect costs
which support the operation of the Superfund program in general. By definition, indirect
costs are costs that support site cleanups, but cannot be directly attributed to an individual
site. Indirect cost rates are computed annually.
Please see http://intranet.epa.gov/ocfo/policies/pcaab.htm for more information.
f. Annual Allocation
The Annual Allocation Reporting Process was implemented to allow the Agency to
capture Superfund site-related contract costs consistently and accurately for the purpose
of cost recovery and external reporting. This process is the means by which
administrative and other non-site costs (program management, capital equipment, start-up
and site-supported costs) are redistributed or allocated to the appropriate Superfund sites.
The process requires that the contractors follow a documented methodology for
allocating certain non-site specific costs to sites and submit an annual allocation report.
Please see http://intranet.epa.gov/ocfo/policies/pcaab.htm for more information.
g. Cashout/Special Accounts
A cashout is money received by EPA, a state, or another PRP under the terms of a
settlement agreement [such as a consent decree (CD), administrative order on consent
(AOC) or consent agreement] to address future response action costs at a specified
Superfund site.
EPA is authorized to establish and maintain site-specific special accounts where PRP's
agree to make cash payments toward response costs at a site (i.e. cashout and/or cost
recovery settlements). Cashouts accepted under this authority should be placed in EPA
site-specific special accounts before they are used. Once the cash payments have been
obtained, the Agency may begin obligating and outlaying the funds in accordance with
the settlement agreement.
The Agency has developed a framework to manage and use special accounts to facilitate
site cleanup. Regions are encouraged to create and use special accounts as an incentive to
secure private party cleanups and to fund EPA lead response actions. Special account
funds may also be used, where appropriate, to assist response actions performed by a
state or other federal agencies.
For more information on special accounts, please refer to the "Consolidated Guidance on
the Establishment, Management and Use of CERCLA Special Accounts" issued
September 2002.
Please see http://intranet.epa.gov/ocfo/policies/pcaab.htm for more information.
h. Department of Justice (DO J) Involvement
DOJ and the United States attorneys act on behalf of EPA in all cost recovery litigation.
Only DOJ has the authority to settle a claim for any dollar amount more than $500,000.
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OSWER Directive 9200.3-14-1G-V
EPA has the authority to settle for amounts less than $500,000 in non-judicial actions. As
a result, DOJ's involvement is essential to recovery of costs.
II. J SUPERFUND FINANCIAL CONTA CTINFORMA TION
This section provides regional and HQ contact information to assist in resolving and
clarifying any financial management issues or difficulties that are encountered.
II.J.I Regional Superfund Cost Recovery Contacts
Exhibit II.7. identifies the Regional Superfund Cost Recovery Contacts.
EXHIBIT II.7: REGIONAL COST RECOVERY CONTACTS
Location/Region
Region I
Region II
Region III
Region IV
Region V
Region VI
Region VII
Region VIII
Region IX
Region X
Cincinnati Finance Center
Las Vegas Finance Center
Research Triangle Park
Finance Center
Name of Contact
Robert Pavluvcik
Carlos Kercado
JoAnn Velez
Leslie Peterson
Daria Arnold
Steven Pandza
Diane McCall
Connie Dempsey
Sarah Franco
Charles Hayes
Vickie Tellis
Betty White (Acting)
Richard Hackley
Linda Haile
Carolyn Ragon
Rey Gomez
Jolleen Werst
Betty Saladin
Ray Montenegro
Cheryl Pressley
Yvonne Fong
David Wood
Carrie Williams
Scott Ryan
Pat Newman
Alan Lewis
Gloria Owens
Betty Hamilton
Phone Number
617/918-1137
212/637-3480
212/637-3462
212/637-4298
215/814-5171
215/814-5178
215/814-5172
404/562-8240
404/562-8215
404/562-8393
404/562-8218
312/886-7955
312/886-9144
312/353-4175
214/665-8389
214/665-6520
913/551-7108
913/551-7309
303/312-6394
303/312-6507
415/972-3698
415/972-3709
206/553-1194
206/553-0285
513/487-2059
702/798-2480
919/541-0052
919/541-4280
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II.J.2 Headquarters Superfund Cost Recovery Contacts
Exhibit II-8 identifies the Headquarters Superfund Cost Recovery Contacts.
EXHIBIT II.8: HEADQUARTERS SUPERFUND COST RECOVERY CONTACTS
Staff Name
Meshell Jone-Peeler
Nikki Robinson
Ellen Rajewski
Kevin Brittingham
Andrew LeBlanc
Dave Patton
lantha Gilmore
Jill Beresford
Area of Specialization
Regional Coordination
Superfund Interest Rate; Trust Fund Oversight
Superfund Indirect Costs
National Cost Documentation Advisor; Special Projects
Cost Documentation and Reporting
SCORPIOS Administration
Program Costing Staff Director; Superfund Policy
Annual Allocation
Phone #
202/564-3160
202/564-1784
202/564-4977
202/564-4941
202/564-1761
202/564-8675
202/564-7654
202/564-4805
II.J.3 Regional Budget Coordinators
Exhibit II-9 identifies the Regional Budget Coordinators. In each region a Budget
Coordinator serves as the regional lead for all Superfund program resource activities. The Budget
Coordinator:
• Coordinates the planning, development and reporting of resources;
• Coordinates the planning and execution of regional priorities;
• Communicates and implements national and regional Superfund budget policies;
• Helps IMC to ensure regional resources associated with accomplishments are
complete, current, and consistent, and accurately reflected in CERCLIS; and
• Provides liaison to HQ on program issues.
EXHIBIT II.9: REGIONAL BUDGET COORDINATORS
Region
1
2
3
4
5
6
7
Name
Joan Buonopane
Courtney McEnery
Leslie Peterson (Enforcement)
Robin Williams
Charlotte Whitley
Vincent Saunders
Helen Newman
Carlene Chambers (Alternate)
Teri Hankins
Antoinette Singletary (Alternate)
Phone
(617) 918-1227
(212)637-4295
(212)637-4298
(215)814-3133
(404) 562-8863
(312)353-9077
(214)665-6657
(214)665-3181
(913)551-7118
(913)551-7491
Fax
(617)918-1291
(212)637-4360
(215)814-3015
(404) 562-8628
(312)353-9306
(214)665-6660
(913)551-7145
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Region
8
9
10
Name
Lourdes Deppmeier
Jackie Easley (Enforcement)
Linda Ma
Eugene Rainwater (Alternate)
Lynne Kershner
Phone
(303)312-7040
(303)312-6758
(415) 972-3232
(415) 972-3217
(206)553-6518
Fax
(303)312-7517
(415) 947-3528
(206) 553-0124
II.J.4 Subject Matter Experts
Exhibit 11-10 identifies the Headquarters Subject Matter Experts (SMEs) for budget and
financial information. The following headquarters program officers are responsible for
Superfund budget planning and execution.
• Office of Solid Waste and Emergency Response (OSWER)
• Response Budget - Budget Planning and Evaluation Branch (BPEB) in the Office of
Superfund Remediation and Technology Innovation (OSRTI)
• Federal facilities Response Budget - Federal facilities Restoration and Reuse Office
(FFRRO)
• Office of Enforcement and Compliance Assurance (OECA)
• Enforcement Budget (Technical and Legal) - Program Evaluation and Coordination
Branch (PECB) and the Program Operations Staff (POS) in the Office of Site
Remediation Enforcement (OSRE)
• Federal facilities Enforcement - Federal facilities Enforcement Office (FFEO)
• Office of Chief Financial Officer (OCFO)/ Office of Financial Management (OFM)
• Annual Budget process - Annual Planning and Budget Division (APBD)
EXHIBIT 11.10: HEADQUARTERS SUBJECT MATTER EXPERTS
Subject Matter
Expert
Alan Youkeles
Alice Ludington
Art Flaks
Hortensia Coffee
Laura Milton
Marie Bell
Lance Elson
Diane Kelty
Bill Finan
Subject Area
Chapter 2 Lead/ Action Codes -
BPEB/OSTRI Annual Budget Process
Annual Budget Process - OSRE /Action
Codes- Enforcement, Annual Budget Process
Budget & Planning - BPEB
BRAC & Federal facility Response Budget
Enforcement Budget
Federal facilities Response Budget Execution
Federal facilities Enforcement Budget
OCFO
OEM/Removals
Phone #
703/603-8784
202/564-6066
703/603-9088
703/603-0053
202/564-6017
703/603-0050
202/564-2577
202/564-7688
202/564-7981
Email
y oukeles .alan@epa. gov
lundington.alice@epa.gov
flaks.art@epa.gov
coffee.hortensia@epa.gov
milton.laura@epa.gov
bell.marie@epa.gov
elson.lance@epa.gov
kelty.diane@epa.gov
finan.bill@epa.gov
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Subject Matter
Expert
Larry Wilbon
Robin
Richardson
David Reynolds
Kevin
Brittingham
Tanya Jenifer
Tina van Pelt
Subject Area
OSWER
Resource Management
SCAP Report Coordinator
Super fund Financial Management
Super fund Financial Management
Super fund Financial Management
Phone #
202/566-1903
703/603-9048
703/603-8895
202/564-4941
202/564-7572
202/564-4984
Email
wilbon. larry @epa. gov
richardson.robinh@epa.gov
reynolds.david@epa.gov
brittingham.kevin@epa.gov
j enif er. tany a@epa. gov
vanpelt.tina@epa.gov
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Superfund Program Implementation Manual FY 11
Chapter III: Program Planning and Reporting Requirements
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CHAPTER III: Program Planning and Reporting Requirements
Table of Contents
III.A Introduction III-l
III.B Performance Goals and Measures III-l
III.C CERCLIS Planning and Accomplishment Data III-3
III.D The Planning and Reporting Cycle III-4
III.D.l Planning III-4
a. May/June III-4
b. July/August 111-4
III.D.2 Reporting III-5
a. November/December 111-5
b. April/May 111-5
c. September/October/November III-5
III.E Regional/Headquarters Roles and Responsibilities 7/7-6
a. Information Management Coordinator 111-6
b. Budget Coordinator 7/7-7
c. Data Sponsors 777-7
d. Data Owners 777-5
e. OSRTI Regional Support 777-5
777.F Program Performance Evaluation 777-5
777. G Planning/Accomplishment and Management Reporting 777-9
III.G. 1 CERCLIS Reports for Planning/Target Setting and Accomplishment Reporting III-9
III.G.2 Management Reports 111-10
777.77 Target Setting and Definition Change Requests III-l 1
III.H.1 Setting Targets in CERCLIS III-l 1
III.H.2 CERCLIS Target Change Requests 111-12
777.7 Special Reporting Topics 111-13
III.I.l Base Realignment and Closure Facilities 111-13
III.I.2 Mega-Sites 111-13
777.7 General Data Requirements/Protocols 111-14
III.J.l Change Control Requirements for this Manual 111-14
III.J.2 Data Lockout on Historical Accomplishments 111-14
III.J.3 Data Validation and Verification 111-15
III.J.4 Action Lead Codes 111-15
III.J.5 Lead Changes 111-17
III.J.6 Anomalies and Phased Projects 111-18
III.K CERCLIS Report Contacts and Subject Matter Experts 777-79
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List of Exhibits
Exhibit III.l. Regional/Headquarters CERCLIS Responsibilities III-6
Exhibit III.2. Evaluation Responsibilities III-9
Exhibit III.3. Action Lead Codes in CERCLIS 111-16
Exhibit III.4. Coding of Takeovers 111-18
Exhibit III.5. Remedial Events, Anomalies, and Project Phasing 111-19
Exhibit III.6. SCAP Report Contacts 111-19
Exhibit III.7. Subject Matter Experts 111-20
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CHAPTER III: PROGRAM PLANNING AND REPORTING
REQUIREMENTS
IILA INTRODUCTION
The Government Performance and Results Act (GPRA) provides a general structure
within which the Agency plans its activities. Under this framework, the Agency develops
strategic plans, annual performance goals and other measures, and national program offices
develop planning and tracking mechanisms and conduct program evaluations to ensure the
Agency meets these goals effectively and efficiently. The Office of Superfund Remediation and
Technology Innovation (OSRTI), the Office of Site Remediation Enforcement (OSRE), the
Federal Facilities Enforcement Office (FFEO), the Office of Emergency Management (OEM)
and the Federal Facilities Restoration and Reuse Office (FFRRO) are responsible for overall
program planning and reporting on Superfund program accomplishments.
This chapter generally describes the Agency performance measurement approach, and,
more specifically, the Superfund program's processes for planning and tracking progress. The
first four sections of this chapter describe performance goals and measures, introduce CERCLIS
planning and accomplishment data, outline the planning and reporting cycle, and describe
headquarters and regional responsibilities for planning, tracking and evaluating
accomplishments. The next three sections of this chapter provide information on database
tracking tools, reports, and procedures that regions and headquarters use to manage performance.
The final sections describe special reporting topics, and provide lists of headquarters and
regional contacts responsible for planning and accomplishment data.
IILB PERFORMANCE GOALS AND MEASURES
The Government Performance and Results Act (GPRA) of 1993 established a general
framework for government accountability through the use of strategic planning. GPRA's
statutory purpose is to forge links between several activities:
• Planning, to achieve goals and objectives;
• Budgeting, to ensure that resources are available to carry out plans;
• Measuring, to assess progress and link resources actually used to results achieved;
and
• Reporting, to present progress achieved and impacts on future efforts.
GPRA requires federal agencies to develop the following public documents:
• A five-year Strategic Plan, which includes a mission statement and sets out long-term
goals and objectives;
• Annual Performance Plans, which provide annual performance commitments toward
achieving the goals and objectives presented in the Strategic Plan; and
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• Annual Performance Reports, which evaluate an agency's progress toward achieving
performance commitments.
EPA's Strategic Plan is the foundation of the Agency's planning and budgeting process.
The Strategic Plan is a five-year plan (revised every three years) that outlines the Agency's
mission, establishes quantifiable goals and objectives, and describes the means and strategies
EPA programs will employ to accomplish specific desired environmental results. The current
EPA Strategic Plan can be viewed at http://www.epa.gov/ocfo/plan/plan.htm The Strategic Plan is
organized in several Goals, roughly corresponding to environmental media. Within each Goal,
desired results are further broken down into Objectives and Sub objectives, which roughly
correspond to discrete EPA programs. Within each Objective/Subobjective, several GPRA
performance measures are described, and for each performance measure, a five-year target is set.
These cumulative targets are called "Strategic Targets."
EPA's Annual Performance Plan defines the annual budget's goals and objectives in
greater detail by linking the annual budget to the Strategic Plan. The Annual Performance Plan
sets annual targets for each GPRA performance measure in the Strategic Plan. The Annual
Targets are calculated to ensure the successful accomplishment of each five-year cumulative
Strategic Target set by the Strategic Plan. The current Annual Performance Plan may be viewed
at http://www.epa.gov/ocfo/budget/index.htm
To facilitate the development of these Annual Targets by each EPA program, the Office
of the Chief Financial Officer (OCFO) uses the "Annual Commitment System" (ACS), a
subsystem of the Agency's Budget Automated System (BAS). ACS is used by headquarters and
regional program managers for negotiating and agreeing upon annual regional performance
commitments. It also tracks actual performance data against agreed-upon regional performance
commitments. OCFO provides annual guidance for when regions must enter data into the
system, the negotiating time period, and the date by which commitments are finalized. This
guidance is called the National Program Manager Guidance, and can be viewed for each of
EPA's major program offices at http://www.epa.gov/ocfo/npmguidance
In addition to these goals and measures, each national program office may have internal
measures of its own to track program progress and regional performance that are more detailed
than the public annual performance measures. These measures are called Programmatic
Measures. Programmatic Measures are not tracked in ACS or typically discussed in the Agency
Strategic Plan, Annual Performance Plan or Performance and Accountability Report (PAR).
Each year in November, the Agency is required to submit to the President and Congress
an annual performance report that summarizes the program performance for the fiscal year just
ended. OCFO publishes the Performance and Accountability Report (PAR) based on information
provided by OSWER, OECA, and other EPA offices. Specifically, the (PAR):
• Reports GPRA performance measure accomplishments.
• Reviews each EPA programs success in achieving its planned Annual Targets that
year; and
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• Explains and describes where an Annual Target has not been met, why it was not met,
and plans and schedules for achieving it.
The PAR may be viewed at: http://www.epa.gov/ocfo/par/index.htm
///.C CERCLISPLANNINGANDACCOMPLISHMENTDATA
Within the Superfund Program, accomplishments of Annual Targets for GPRA
performance measures and targets for Programmatic Measures are principally tracked through
the CERCLIS database. CERCLIS is the Superfund program's primary repository of program
planning and accomplishment data, including resource planning estimates and program targets
and measures. CERCLIS contains removal, site assessment, remedial, Federal facility, and
enforcement program data. SCAP (Superfund Comprehensive Accomplishments Plan) reports
provide summary and detail information on site progress, target and measure accomplishments,
and resource planning and use.
It is essential that planning and accomplishment data in CERCLIS remain current and up-
to-date throughout the year and accomplishments be reported as they occur. The OSRTI, OSRE
and OEM programs expect that their planning data will be reviewed and corrected on a monthly
schedule. Regions are responsible for the quality of data in CERCLIS, and headquarters will only
recognize targets and accomplishments correctly reported in CERCLIS. Regions should perform
data quality checks and make adjustments to CERCLIS if the database does not reflect accurate
targets or actual accomplishments. A region that believes it has correctly recorded a target or
accomplishment that is not showing on the appropriate CERCLIS report should contact the
appropriate headquarters office.
All activities at NPL sites should be planned out through the deletion date as early as
possible. By the time of the completion of a ROD, a site should have all the planned dates
entered into CERCLIS. As conditions change, that dates should be updated accordingly. Changes
in planning information (schedule and funds) should be entered into CERCLIS within five
working days after the data owner (e.g., Remedial Project Manager (RPM)/On-Scene
Coordinator (OSC)/Site Assessment Manager (SAM)) is aware of the need for the change. Site
schedule and financial planning information should be reviewed and updated on an ongoing
basis (at a minimum on a monthly basis).
Regions should enter accomplishments data into CERCLIS within five working days of
the action occurring except when otherwise noted in the Timeliness tables (see Appendices of
this manual). Headquarters pulls accomplishment data associated with targets/measures from
CERCLIS at the close of business of the fifth working day of the quarter. Therefore, while
regions should update their accomplishments data continuously, they must update quarterly data
prior to the fifth working day pull date.
EPA managers, other agencies, and the public continually request accomplishment,
budget and site-specific data from the program on a quick turnaround basis. Data need to be
consistent and timely to minimize/avoid confusion with data provided in prior data requests or by
more than one entity. With the advent of new database customizable reporting tools that make
"real time" data available quickly, the program is challenged to find a means to provide
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consistent information to the public. Protocols to standardize public reporting of Superfund
accomplishment and financial data have yet to be developed.
IILD THE PLANNING AND REPORTING CYCLE
The Superfund planning and reporting process is roughly a 16-month cycle begins in July
of the planning year and ends with final accomplishment reporting that occurs after the
completion of the fiscal implementation year.
IILD.l Planning
a. May/June
In May or June, headquarters issues a Superfund Remedial and Enforcement
Workplanning memorandum that outlines the process and the procedures for the
upcoming workplanning sessions. Workplanning sessions allow headquarters to
communicate program activities and develop initial funding plans to prepare for the
upcoming fiscal year. The workplanning memorandum includes the schedule, scope and
areas of emphasis for developing the upcoming year's targets and budgets. The
Brownfields, Oil Response, Removal and Federal Facilities programs conduct separate
workplanning sessions.
The region's focus in workplanning should be on its individual pipeline (e.g., more site
assessments or more construction completion oriented), the overall goals and priorities of
the program including GPRA Annual Targets, and how it can achieve its portion of the
national effort given proposed resources. Headquarters compares regional plans with
program goals and resource allocations. In addition, headquarters reviews past regional
accomplishments, historical obligation trends, and planned durations/dollars to ensure
that the region is planning the appropriate amount of work given the dollars it is
requesting. This provides headquarters with a benchmark going into workplanning on
what the region should be able to accomplish based on its unique pipeline status.
b. July/August
On the fifth working day of July, headquarters pulls planning data for the next two fiscal
years from CERCLIS. Headquarters program offices review Remedial, Federal Facilities,
and Enforcement program target and accomplishment data preparation for workplanning
meetings with regions. Data include projections of activities that will be undertaken, site-
and non-site-specifically, annual performance goal and other internal program measure
targets that will be achieved, and planned resources (appropriated and reimbursable) for
the expected work.
During July and August, headquarters and regions meet in workplanning sessions to
establish regional targets and refine cost planning estimates for the upcoming fiscal year.
For the Remedial Program in particular, OSRTI and OSRE will analyze CERCLIS
planned obligation data as part of refining the cost estimating process in anticipation of
the upcoming fiscal year's budget. Regions should not set or accept targets that require
completion of activities that cannot be funded or staffed within the resources it expects to
receive in its allocation.
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III.D.2 Reporting
a. November/December
In November/December of the new fiscal year, headquarters meets with the regional
division directors to discuss the new year's region-specific commitments and allocation of
regional funds based on the national annual program performance goals. OSRTI issues
preliminary ongoing construction funding plans to the regions and Pipeline Operations
Site Allowance resource allocations, and FFRRO issues a memo that outlines regional
commitments and allocation of funds. OSRE allocates the initial operating budget for
technical enforcement for the upcoming fiscal year based on each region's share of the
usage rate for enforcement activities. Legal enforcement funds are allocated equally
between all ten regions.
b. April/May
On the fifth working day of April, headquarters pulls second quarter planning and
accomplishment data from CERCLIS. In April/May, headquarters and the regions discuss
regional progress in achieving negotiated targets and regional budget utilization
(obligation rates) during mid-year reviews. These discussions provide both headquarters
and the regions with an opportunity to assess performance, consider the impact of
regional program performance on the Superfund pipeline, and identify trends in program
performance and adjust program management strategies accordingly. These meetings also
facilitate communications regarding site-specific technical and funding issues as well
more general policy and strategic planning questions. Based on these and additional
follow-up discussions, headquarters will allocate remaining funds to the regions to ensure
program targets are achieved, which, in some cases, may involve a reallocation and
shifting of programmatic resources among regions. Enforcement extramural budget
carryover amounts are also calculated and the fiscal year regional enforcement budget
allocation is finalized. Following the mid-year assessments, OSRTI, FFEO, FFRRO, and
OSRE Directors brief the AA OSWER or AA OECA on the steps being taken to ensure
the accomplishment of annual targets.
c. September/October/November
Headquarters will pull preliminary end-of-year accomplishments on the fifth working day
of September as a starting point for preparing for the end-of-year assessment in
November. Since many senior managers and Congress request final accomplishments
immediately following the end of the year, headquarters will pull final CERCLIS
accomplishment reports for annual performance goals on the fifth working day of
October. Headquarters will pull all other regional accomplishment reports on the tenth
working day of October and will publicly report these accomplishments in late October to
mid-November. This schedule allows regions opportunity to review end-of-year financial
data, ensure that all accomplishments are accurately reflected in CERCLIS, and
determine when the commitments were met. In addition to reporting accomplishments in
CERCLIS, regions must also report annual performance goal accomplishments in the
ACS subsystem of BAS.
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In November, each Superfund program conducts an end-of-year assessment. This
assessment is an integrated analysis of program performance activities for the year. The
purpose of the end-of-year assessment is to emphasize pipeline issues (e.g., slipped
targets and their impact on commitments for the next year). Missed targets may have
resource implications for the next FY. The end-of-year review also notes progress toward
implementing strategies identified in the mid-year assessment, and identifies regions that
might require additional HQ assistance as the new FY begins.
IILE REGIONAL/HEADQUARTERS ROLES AND RESPONSIBILITIES
Headquarters and regions have distinct as well as mutual responsibilities to ensure that
planning and accomplishment data are well maintained in CERCLIS. Exhibit III.l. describes
general headquarters/regional responsibilities for maintaining planning and accomplishment data
in CERCLIS, and the following subsections outline roles and responsibilities of individual
positions in the regions and headquarters.
EXHIBIT III.1. REGIONAL/HEADQUARTERS CERCLIS RESPONSIBILITIES
Regional Responsibilities
HQ Responsibilities
• Planning and scheduling all actions from site
assessment and PRP search through NPL deletion
and beyond.
• Keeping planning and accomplishment data in
CERCLIS up-to-date, including updating site
schedules established at the ESI/RI stage and cost
estimates for remedial actions when better planning
data become available.
• Reporting accomplishments in CERCLIS as they
occur.
• Entering and maintaining quarterly planning,
budget, and accomplishment reporting for non-site
specific activities.
• Preparing change requests.
• Tracking and maintaining the enforcement
extramural budget and the Federal facilities
programmatic budget. Ensuring there is "objective"
evidence to support accomplishment data entered in
CERCLIS.
Negotiating with regions to set 10 regional subtargets
which total to the national GPRA Annual Target for each
GPRA performance measure.
Determining the RA SA and Pipeline SA allocations.
Responding to regional requests for changes in plans
through the change requests process.
Utilizing CERCLIS to obtain budget and other Superfund
site information to respond to special requests for
information and planning data.
Communicating with regions and HQ offices regarding
changes in budget, SCAP process, Superfund Program
Implementation Manual, and other program guidance that
will affect CERCLIS, and subsequently implementing
these changes in CERCLIS.
Ensuring there is "objective" evidence to support
accomplishment data entered in CERCLIS by performing
periodic reviews of a random CERCLIS data sample.
a. Information Management Coordinator
The Information Management Coordinator (IMC) is a senior position which serves as
regional lead for all Superfund program and CERCLIS systems management activities.
The following lead responsibilities for regional program planning and management rest
with the IMC:
- Coordinate program planning, budget development, and reporting activities;
- Ensure regional planning and accomplishments are complete, current, and
consistent, and accurately reflected in CERCLIS by working with data sponsors
and data owners;
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- Provide liaison to HQ on SCAP process and program evaluation issues;
- Coordinate regional evaluations by headquarters;
- Ensure that the quality of CERCLIS data is such that accomplishments and
planning data can be accurately retrieved from the system; and,
Ensure there is "objective" evidence to support accomplishment data entered in
CERCLIS. (Objective Evidence Rule: "All transactions must be supported by
objective evidence, that is, documentation that a third party could examine and
arrive at the same conclusion.")
b. Budget Coordinator
The Budget Coordinator serves as the regional lead for all Superfund program resource
activities. The Budget Coordinator:
- Coordinates the planning, development, and reporting of resources;
- Coordinates the planning and execution of regional priorities;
- Communicates and implements national and regional Superfund budget policies;
- Helps IMC to ensure regional resources associated with accomplishments are
complete, current, and consistent, and accurately reflected in CERCLIS; and
- Provides liaison to HQ on program issues.
c. Data Sponsors
Data Sponsors include the senior staff in program offices in headquarters that, along with
data owners, are responsible for the quality of data stored in CERCLIS. Data Sponsors:
- Identify data needs;
- Oversee the process of entering data into the system;
- Use data for reporting purposes;
- Conduct focus studies of data entered; (A focus study is where a data sponsor
identifies a potential or existing data issue to a data owner (see below), IMC, or
other responsible person to determine if a data quality problem exists, and to solve
the problem, if applicable. Focus studies can be informal via electronic
messages.);
Provide definitions for data elements;
- Promote consistency across the Superfund program;
- Initiate changes in CERCLIS as the program changes;
- Provide guidance requiring submittal of these data;
Support the development of requirements for electronic data submission; and
- Ensure there is "objective" evidence to support the accomplishment data entered
in CERCLIS through identifying data requirements and check to assure
compliance by performing periodic reviews of a random CERCLIS data sample.
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d. Data Owners
Both headquarters and the regions are Data Owners. The primary responsibilities of Data
Owners are to:
Enter and maintain data in CERCLIS, and
Assume responsibility for complete, current, consistent, and accurate data.
e. OSRTI Regional Support
OSRTI's Assessment and Remediation Division (ARD) generally includes the primary
contacts for regions regarding site-specific issues of all natures and is often the primary
conduit to regions for communicating and interpreting national policies. With respect to
CERCLIS data, ARD subject matter experts and/or data sponsors:
- Measure regional data entry quality and records management quality and assist
regions with problems;
- Report data problems to Data Sponsors and responsible teams; and
Sample data quality and records management quality when visiting regions by
tracking selected dates of a transaction in CERCLIS to the corresponding dates of
the supporting paper document to ensure there is "objective" evidence to support
accomplishment data entered in CERCLIS.
IILF PROGRAM PERFORMANCE EVALUA TION
Superfund program performance evaluations enable management to recognize high
performance, concentrate Superfund resources in those regions that demonstrate success, and
provide training and technical assistance to those regions that are experiencing difficulties.
Evaluations provide managers with an opportunity to meet program objectives by examining
program accomplishments, analyzing and discussing issues that affect the successful operation of
the Superfund program, and initiating changes in program operations or reallocating/redirecting
resources. The strategy for assessing the performance of the Superfund program includes:
• Establishing semi-annual and annual targets and planning measures;
• Quarterly reporting of response, Federal facilities, and enforcement program
accomplishments and planning measures through CERCLIS;
• Semi-annual performance evaluation; and
• Regional reviews.
HQ and the regions have different roles and responsibilities in evaluating and managing
Superfund program performance, as shown in Exhibit III. 2.
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EXHIBIT III.2. EVALUATION RESPONSIBILITIES
Regional Responsibilities
HQ Responsibilities
Meet semi-annual program targets and
solve performance problems when
they arise
Provide quarterly accomplishment
and planning data to HQ through
CERCLIS
Maintain CERCLIS data quality at
high levels for Superfund program
and project management
Negotiate performance standards that
provide individual accountability for
targets
Assess federal agency needs identified
during the FEDPLAN and OMB
Circular A-l 1 processes
Participate in the regional reviews
Provide guidance to the regions for the quarterly reporting, the mid-year
assessment, the year-end assessment, and regional reviews
Implement and report on follow-up action items from the Superfund
mid-year assessment and regional reviews
Maintain and update SPIM accomplishment definitions, ensure SCAP
logic accurately reflects definitions, and use appropriate CERCLIS data
and reports for analysis and reporting of Superfund program progress.
Review performance data reported by the regions and assist regions
having difficulties in meeting targets
Conduct regional reviews
Continually assess program performance and analyze timeliness and
quality of work
Recommend resource reallocation based on regional needs and
performance
Assure that all staff are informed of results of performance reporting
Examine federal agency budget authorities, obligations, and outlays to
monitor cleanup activities
///. G PLANNING/A CCOMPLISHMENT AND MAN A CEMENT
REPORTING
IILG.l CERCLIS Reports for Planning/Target Setting and Accomplishment Reporting
The list below presents the primary CERCLIS reports used by headquarters and the
regions to establish regional targets/measures and to evaluate and report regional
accomplishments.
• SCAP-02: The Site Summary Report is used by EPA to display enforcement sensitive
CERCLIS data for NPL and non-NPL sites.
• SCAP-04E. SCAP-04F. SCAP-04M. SCAP-04R: The Enforcement Financial Report
(SCAP-04E), Federal Facility Financial Report (SCAP-04F), Removal Financial
Report (SCAP-04M), and Remedial Financial Report (SCAP-04R) aggregate dollars
by program area and provide both site-specific and non-site specific backup from
CERCLIS.
• SCAP-13: The Site Assessment Report is used for reporting site assessment
estimates, plans, and accomplishments. The information provided by this report is
used in conjunction with the SCAP-14 report to encompass the entire range of targets
and measures.
• SCAP-14: The Superfund Accomplishments Report is used to track targeting,
planning, and accomplishment actions in support of the Response, Enforcement, and
Federal facility programs.
• SCAP-15: The GPRA Report is used to track GPRA performance goals and measures
in support of the Response program.
FY 11 SPIM
III-9
October 1,2010
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OSWER Directive 9200.3-14-1G-V
• SCAP-16: The Reconciliation (SCAP-14 Audit) Report is used to extract all potential
candidates for a SCAP-14 category and provide the user with the ability to determine
the way in which the action will be selected or eliminated based on the values or lack
of values in the Select Logic columns.
• No Code Name: The Federal Facility Accomplishments Report is a subset of the
SCAP-14F report. It includes several extra categories concentrating specifically on
accomplishments at Federal facility sites (NPL, non-NPL, and BRAC)
• No Code Name: The Federal Facility Audit Report lists all of the Federal facility data
issues detected in CERCLIS for the selected FY.
• ENFR-3: The Settlement Master Report lists all settlements to date. Data are divided
by settlement category and summarized by FY, region, and remedy.
• ENFR-07: The De Minimis Settlement Report lists all the de minimis settlements
including the number of parties.
• ENFR-17: The Cost Recovery Targeting Report (ENFR-17) estimates potential
targets for cost recovery.
• ENFR-25: Administrative/Unilateral Orders Issued Report lists AOs and UAOs that
have been issued.
• ENFR-62: Enforcement Measures of Success Report (ENFR-62) - This report allows
regions to report progress on measures of success relating to enforcement fairness and
trust fund stewardship.
• ENFR-66: RA Start Report provides a list of remedial action starts planned for a
selected FY along with enforcement actions that have occurred at that site.
III.G.2 Management Reports
Superfund also maintains a set of senior management reports through Superfund eFacts,
an internal web-based reporting tool that integrates planning and accomplishment data in
CERCLIS with cost data from the Agency's Integrated Financial Management System (IFMS).
Superfund eFacts data are updated daily and the senior management reports illustrate the
progress being made by the Agency in both the movement of projects through the Superfund
pipeline and in the trend toward increased involvement by PRPs. Superfund eFacts provides
information on site assessment, Federal facilities, construction completions, annual performance
goal accomplishments, and other internal program measures. The data is available in regional,
state, or national views. These reports are designed to supplement conventional quarterly
accomplishment CERCLIS reports by providing a more comprehensive examination of program
activity, and the format and content of the reports have evolved over time to address a variety of
project needs, providing EPA senior managers with summary graphic reports and backup site
detail information.
Additional management reports produced by OSRE include:
• ENFR-17: The Cost Recovery Targeting Report estimates potential targets for cost
recovery.
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OSWER Directive 9200.3-14-1G-V
• ENFR-22: The ROD Amendment and RD/RA Negotiations Report is used to track
RD/RA negotiation progress. The report is categorized into RD/RA negotiations
started from signed ROD and No RD/RA negotiations started from signed ROD.
• ENFR-11: The Ongoing RD/RA Negotiations Timeline is used to track the duration
of ongoing RD/RA negotiations. The report shows categories of duration (e.g.,
between 60 and 120 days).
• ENFR 67: The Financial Assurance Report is a tool to monitor and track when a
financial mechanism is coming up for renewal based on the financial assurance
expiration date.
Additional management reports produced by FFRRO include:
• No Code Name: The Federal Facility Five Year Review Status Report lists the status
of all the planned and completed Federal facility Five Year Reviews.
• No Code Name: The Federal Facility FOST/FOSL/EBS Report lists the
Environmental Baseline Survey (EBS) completion date and all of the Findings of
Suitability to Transfer (FOST), Findings of Suitability to Lease (FOSL) and Findings
of Suitability to Early Transfer (FOSET) that EPA has concurred on in the selected
FY.
• No Code Name: The Federal Facilities Site Summary Report summarizes all the
actions, EBSs, FOSTs, FOSLs, FOSETs and Supplemental, Environmental Projects
(SEPs) for the entire history of all the Federal facilities in the selected region(s).
IILH TARGET SETTING AND DEFINITION CHANGE REQUESTS
III.H.1 Setting Targets in CERCLIS
Once workplanning sessions are completed, regions use the Planning Estimates/Targets
screen in CERCLIS to record final accomplishment targets. Once changes have been made and
final targets/planning estimates are reviewed by headquarters, headquarters will "lock out"
regions (i.e., regions will not be able to make any changes to these numbers). This final number
is shown in red on the Accomplishments Tracking screen as the Planning Estimates/Target
number. During the FY if changes have been made to the number of target commitments
approved, HQ will "unlock" the target numbers allowing the region to make the approved
change(s), then "relock" the screens.
Most targets are non-site-specific estimates of the number of accomplishments of an
activity a region will achieve. However, in a few instances, regions must set targets site-
specifically. Changes to sites identified as targets for the latter three measures require
headquarters approval:
• Pipeline Site Allowance (SA) targets (Fund RI/FS, Fund RD, PRP RI/FS, PRP RD,
PRP RA),
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OSWER Directive 9200.3-14-1G-V
• Five-Year Reviews (site substitutions are not allowed and sites targeted for five year
reviews must be completed by the "due date" (planned completion date) established
for each site),
• Cost recovery actions at sites with potential statute of limitations (SOLs) so that they
will be addressed prior to the expiration of the SOL,
III.H.2 CERCLIS Target Change Requests
After targets have been finalized and funding levels developed, regions have some
flexibility to modify plans during the year. Modifications to planned annual performance goals
are termed change requests. Regional requests for changes to targets established in the annual
plan must be forwarded in writing from the regional division director to HQ OEM, OSRTI,
OECA, or FFRRO office directors, as applicable, when the region is unable to meet a target.
Any exceptions to the accomplishment definitions contained in the Appendices to this
Manual are considered target definition changes. Regions also should note that changes made in
CERCLIS to site schedules and other planning data will not automatically result in changes to
targets.
Although regions have the flexibility to alter plans, they are still accountable for meeting
the targets established at the beginning of the FY. Changes to commitments should not be made
simply because targets will not be met. Regions should discuss with headquarters during the
mid-year reviews any issues that may affect the meeting of negotiated annual targets. Target
changes may result in a modification in a region's resource allocation within a given Site
Allowance.
In some cases, however, changes to targets may be necessary and may be revised under
the following conditions:
• Major, unforeseen contingencies arise that alter established priorities (e.g.,
Congressional action, natural disasters);
• Major contingencies arise to alter established regional commitments (e.g., state
legislative action);
• Measure or definition in system is creating an unanticipated negative impact;
• Major shifts in project approach; or
• Need to address newly identified site which represents a significant human health or
ecological risk.
OSRTI, OECA, and FFRRO require that all target and definition changes be submitted to
headquarters no later than July. Optimally, such requests should be submitted during discussions
with headquarters during mid-year reviews.
Regions should not initiate any obligations against change requests until the director of
the appropriate office approves the change. The site back-up in CERCLIS should be revised by
the region if the change is approved.
October 1,2010 HI-12 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
Under the Superfund Pipeline SA allocation methodology, regions are allocated resources
based in part on their targets for specific actions at specific sites. Because of this approach,
regions have flexibility to alter their plans regarding at which sites they conduct work, but they
may not change the overall numerical target within each action category once the Pipeline SA
resources are distributed among the regions. The extent to which a region meets or exceeds its
target will have funding implications in the next year's distribution of Pipeline SA resources.
///./ SPECIAL REPORTING TOPICS
IILLl Base Realignment and Closure Facilities
To sustain and streamline military readiness, the Department of Defense (DoD)
recognized the need to close or realign some installations and redefine the Department's mission
at others. Congress agreed on five rounds of BRAC actions in 1988, 1991, 1993, 1995, and 2005.
EPA provides assistance to DoD at particular installations closed or realigned pursuant to a base
closure law that require some level of environmental cleanup and the transfer of excess property.
EPA regions are required to report on several activities that are conducted at BRAC installations
in support of cleanup and property reuse (see Appendix D). CERCLIS has been modified to
include these items. Additional information about EPA's BRAC Program can be found at:
http://www.epa.gov/fedfac/documents/baseclosure.htm
III.I.2 Mega-Sites
Generally, a site is considered to be a mega-site if the combined extramural, actual and
planned, removal and remedial action costs incurred by Superfund or by PRPs are greater than
$50 million. The mega-site designation may be applied to any Federal or non-Federal facility
NPL or non-NPL site. For the purposes of reporting in CERCLIS, a site is defined as a mega-site
(MS) if:
• the cumulative value of the extramural capital costs of all selected remedies (as
expressed in decision documents such as RODs, ROD amendments, or action
memoranda) exceeds $50 million; OR
• the cumulative estimated value of all PRP or Federal facility actual and expected
extramural capital costs (as memorialized in documents such as settlements, orders,
or MO As) for removal or remedial action response activities (excluding long-term
response) at the site exceeds $50 million; OR
• the cumulative value of net actual extramural obligations for fund-financed removal
and remedial actions (excluding LTRA) at the site exceeds $50 million; OR
• the cumulative estimated value of post-ROD (or post-action memorandum), removal,
and remedial action obligations (excluding LTRA) planned in CERCLIS for the
selected remedies at the site exceeds $50 million; OR
• the cumulative value of any combination of the above costs exceeds $50 million.
A site is defined as a potential mega-site (MP) if the region, using its best judgment,
expects that the total costs of removal and remedial actions will exceed $50 million, but the
documentation of actual or expected costs (e.g., through decision or settlement documents or
FY 11 SPIM HI-13 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
actual obligations) does not currently exist. Once such documentation is developed, the site
should be reclassified as MS. Conversely, if new information suggests that the site is not a mega-
site, the designation of MP or MS should be removed. During annual workplanning discussions
between regions and headquarters, the regions will confirm these designations on a site-specific
basis.
III.J GENERAL DATA REQUIREMENTS/PROTOCOLS
The following section discusses some general data requirements/protocols that affect
CERCLIS planning and accomplishment data of the various Superfund offices.
IILJ.l Change Control Requirements for this Manual
Process stability through the year is essential to the success of planning and
accomplishment reporting/evaluation procedures. The following procedures are used to control
changes to items in this manual:
• Changes (including additions or deletions) to targets, measures, definitions,
methodologies, planning processes, accomplishment reporting, financial
management, or any other OSWER/OECA process described in this manual must be
presented to the division director by the program office proposing the change, and
receive the comments/concurrence of OEM, OSRE, OSRTI, FFRRO, and FFEO,
• All proposed changes must be sent to the regions and all other program offices for
review and comment prior to implementation, and
• The decision on whether to proceed with the proposed change must be documented in
writing. Copies of all final decisions should be provided to all program offices and
regions. If the proposed change will be implemented, an addendum to the Superfund
Program Implementation Manual may be issued.
III.J.2 Data Lockout on Historical Accomplishments
CERCLIS has a historical accomplishment lockout feature that logs and controls changes
to Superfund data sensitive to congressional inquiry. This feature uses the Accomplishment
Change Log Screen and reports that list all changes that have been made to historical
accomplishments data. A regional manager for Superfund shall approve either in writing, or
using the management review function in CERCLIS, each data change made by a region to
locked historical data. Only regional EVICs, individuals designated by the IMC, and remedial
project managers (RPMs) shall have access/authority to change/add/delete their own region's
data via a CERCLIS Smart Screen once written approval has been received. All other regional
personnel will be denied access to the change system. Written approval documents or records of
approval via CERCLIS management review must be maintained by the IMC for the duration of
the life cycle of the data changed (up to seven years).
In regions that use Management Review, RPMs will be able to make changes to prior
year accomplishment data via the Accomplishment Change Log Screen. All changes made by
RPMs will, however, need to be approved by the Regional Manager Reviewer.
October 1,2010 HI-14 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
Each region will establish a policy or procedure to ensure that the appropriate people
have knowledge of and approve of the change. All approval documents must bear a System
Generated Reference Number or Document Number.
III. J.3 Data Validation and Verification
GPRA requires that an agency address its verification and validation procedures for
performance data in the annual performance plan. CERCLIS data verification and validation
procedures were incorporated as part of the Superfund program's submission to the EPA's annual
performance plan.
A key component of CERCLIS verification/validation procedures is the regional
CERCLIS Data Entry Internal Control Plan. The control plans include: (1) regional policies and
procedures for entering data into CERCLIS, (2) a review process to ensure that all Superfund
accomplishments are supported by source documentation, (3) delegation of authorities for
approval of data input into CERCLIS, and (4) procedures to ensure that reported
accomplishments meet accomplishment definitions. In addition, regions documented in their
control plans the roles and responsibilities of key regional employees responsible for CERCLIS
data (e.g., regional project manager, information management coordinator, supervisor, etc.), and
the processes to assure that CERCLIS data are current, complete, consistent, and accurate.
With the increased emphasis on verifiable and validated data by GPRA, the program
offices are requesting that the regions review their current CERCLIS Data Entry Internal Control
Plans and update their control plans according to the requirements listed above.
In addition, regions are required to submit to their regional Superfund Records Center the
document that constitutes or justifies an accomplishment date (actual start or actual complete)
recorded in CERCLIS. (Documentation requirements for these dates can be found in the
Appendices to this Manual in the "Definition of Accomplishment" section of the applicable
target or measure.) When submitting the documentation to its record center, the region should
provide the target/measure category and the CERCLIS Operable Unit (OU)/action
name/sequence number. The regional Records Center is to include these SCAP data with the
document index data, and provide the document index number from its tracking system for entry
into CERCLIS associated with the applicable accomplishment date.
III. J.4 Action Lead Codes
Action lead codes identify the entity performing the work at the site. Exhibit III.3 shows
the valid project/action lead codes in CERCLIS.
A lead code must be placed in CERCLIS for all actions. Only the leads that are valid for
the chosen action can be entered. Leads are not required for subactions. Regions have the ability
to code the lead for project support activities (e.g., community relations, support agency
assistance, etc.) based on regional preference. All enforcement actions (e.g., orders, decrees, PRP
searches, etc.) performed by EPA should have a lead of "FE" (federal enforcement). All
enforcement actions conducted by the state should have a lead of "SE" (state enforcement).
CERCLIS should not contain planned obligations for projects with "SR" or "SN" leads. No funds
will be provided for activities with these leads.
FY 11 SPIM HI-15 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
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.
EXHIBIT III.3. ACTION LEAD CODES IN CERCLIS
Lead
Definition
Fund-financed response actions performed by EPA (applies to response actions)
RP
PRP- financed response actions performed by the PRP under a federal order/ CD (applies to response actions)
Fund- financed response actions performed by a state. Money provided through a cooperative agreement
(CA) (applies to response actions)
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
Superfund Memorandum of Agreement (SMOA) or other formal document between EPA and the state exists
which allows EPA review of PRP deliverables (applies to response actions)
SN
State-financed (no Fund dollars) response actions performed by the state (applies to response actions)
SR
PRP response under a state order/ CD where no EPA oversight support or money is provided through a CA
and no other formal agreement exists between EPA and the state (applies to response actions)
CG
Work performed by the Coast Guard - Limited to removals (applies to response actions)
Work performed by PRP under a federal CD with an agreement that the Fund will provide some
reimbursement to the PRP (preauthorization for mixed work)
„„ Enforcement actions performed by a state. Money provided through a CA or, if not funded by EPA, a
comparable enforcement document exists (applies to RODs and enforcement actions)
FE
Enforcement actions performed by EPA or work done by enforcement program at private or Federal facilities
sites (applies to RODs and enforcement actions). Historically (pre-FY 89) applied to RI/FS and RD response
actions
EP
Response actions performed by EPA using in-house resources
™ Response actions performed by the Federal facility with oversight provided by EPA and/or the state/tribe at
sites designated as Federal facilities (also applies to RODs at Federal facilities)
TR
Indian Tribal Governments
CO
Community Organization (only valid for community involvement activities)
™ State Deferral is a PRP- or state-financed response action at a non-NPL or proposed NPL site overseen or
conducted by the state pursuant to a deferral agreement with the region
SC
State ROD with EPA concurrence
SW
State ROD without EPA concurrence
„ . PRP-financed actions from a special account performed by EPA, where the majority1 of funding is disbursed
from a special account (applies to response actions)
SG
PRP - financed actions from a special account performed by the United States Coast Guard, where the
majority of funding is disbursed from a special account - Limited to removals (applies to response actions)
PRP-financed actions from a special account performed by tribal governments, where the majority1 of
funding is disbursed from a special account (applies to response actions)
SS
PRP-financed actions from a special account performed by a state, where the majority of funding is
disbursed from a special account. Money provided through a cooperative agreement (CA) (applies to
response actions)
PP
Response actions funded by DoD performed at a BRAC site by a non-Federal party that takes title to the
BRAC property pursuant to CERCLA 120(h)(3)(C)
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OSWER Directive 9200.3-14-1G-V
III. J.5 Lead Changes
A takeover or lead change occurs when the entity performing a response action changes
after the action has started and credit has been given. Typically, this occurs when a settlement
with the PRP is reached after the action has started. It may also occur when the Fund assumes an
RP-lead project because of non-compliance with an administrative order (AO) or consent decree
(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 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 many of the early site assessment activities will be Fund-lead.
However, response lead changes (i.e., changeovers) can occur at any of the following points in
the process:
• Prior to development of an EE/CA for an NTC removal action;
• PriortotheESI/RIorRI/FS;
• Prior to the FS if the RI and FS are being done separately;
• After the ROD is signed and prior to beginning the RD or RA; or
• 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 RI/FS, they should be given a limit of 60 days to enter into an administrative order on
consent (AOC) for performing the work.
If a PRP is allowed to take over a response action after dollars have been obligated, the
region should retain the funds needed for oversight of the entire PRP action and deobligate the
rest. Funds that are deobligated may be recertified to the region's RA SA or Pipeline SA pursuant
to the Agency's deobligation policy.
When dollars were originally obligated for Fund-financed actions and a takeover occurs,
regions will have to request a change in the account number through their regional Financial
Management Office (FMO). The action 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 takeover in CERCLIS.
FY 11 SPIM IH-17 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
If a takeover of an action does occur, a new action must be created in CERCLIS. A
takeover does not create a new OU. The completion date of the original action must be the same
as the start date of the new action. Takeover/Phased Indicators must be entered with both actions.
The "Original Action Takeover (TO)" indicator is used to flag the original action which has the
change in lead, whereas a "New Action Resulting from Takeover (TN)" indicator is used to flag
the new action.
On rare occasions, an action that has been taken over requires an additional lead change.
For example, EPA reaches settlement with the PRPs after a Fund-financed action has begun.
After the PRPs start work, EPA experiences problems with the PRPs in meeting deadlines or in
the quality of the work. As a result, EPA makes a decision to take over the PRP- financed action.
The steps to be taken to indicate this scenario in CERCLIS are as follows:
1. A new action is added to CERCLIS at the same OU. In our example, a new combined
RI/FS with an 'F- lead would be added.
2. The start date of this new action is the date of the takeover.
3. A Takeover/Phased Indicator of "New Action Resulting from Takeover (TN)" is entered
with the new action.
4. The completion date of the latest action that was taken over is the same as the start date
of the new action (date of the takeover).
5. The Takeover/Phased Indicator of the latest action that was taken over is changed from a
"New Action Resulting from Takeover (TN)" to a "Takeover of an Action Taken Over
(TT)."
Exhibit II.4. provides an example of the CERCLIS coding. In this situation, no changes are
made to the original action.
EXHIBIT III.4. CODING OF TAKEOVERS
Action Takeover
OU
01
01
01
Action Name
Combined
RI/FS
PRP RI/FS
Combined
RI/FS
Seq.
1
1
2
Lead
F
RP
F
Actual
Start
8/1/97
9/1/97
12/1/97
Actual
Comp
9/1/97
12/1/97
Takeover/ Phased
Indicator
TO
TT
TN
Comments
Fund-financed action being taken
over by PRPs
PRP action initiated and taken
over by Fund
Fund-financed action initiated
III.J.6 Anomalies and Phased Projects
Anomalies are those projects that do not fit the normal definitions of pipeline actions.
Anomalies can be those projects that 1) do not receive SCAP credit, but still need to be tracked
or 2) occur out of the ordinary pipeline progression.
An example of a SCAP anomaly occurs when different entities conduct FS work
simultaneously that leads 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
October 1,2010
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FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
ROD), only one FS can receive credit for a start and completion. These projects are coded under
the same OU with multiple sequence numbers and those FSs that will not receive credit are given
a Takeover/Phased Indicator of "Other Start and Completion Anomaly (OA)."
At the RD and RA or FF RD and FF 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, an RA or FF RA that
requires site clearing prior to constructing an incinerator. The clearing would be one phase of the
RA or FF RA, while the construction of the incinerator would be a second phase.
Regions enter a separate RA or FF RA for each phase. Phases of each response action are
shown in CERCLIS by the use of the Takeover/Phased Indicators of "Phased Start (PS)" and
"Phased Complete (PC)" or "Phased Start and Completion (PB)" (See Exhibit III.5). 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.
EXHIBIT III.5. REMEDIAL EVENTS, ANOMALIES, AND PROJECT PHASING
OU
01
01
01
01
01
01
01
01
Action
Name
PRP RI/FS
PRPFS
PRPFS
R01
AN01
RD1
RD2
RA1
RA2
Seq.
1
1
2
1
Lead
RP
RP
RP
FE
RP
RP
RP
RP
Plan
Start
96/2
97/3
97/3
99/1
99/2
00/3
00/3
Plan
Comp
98/3
98/3
98/3
98/3
00/2
00/3
01/1
04/1
Takeover/ Phased
Indicator
OA
OA
PC
PS
PC
PS
Comments
No Credit for Start or
Completion
No Credit for Start or
Completion
PHASE I
PHASE II
PHASE I
PHASE II
III.K CERCLIS REPORT CONTACTS AND SUBJECT MA TTER
EXPERTS
Exhibit III.6. identifies all CERCLIS (SCAP) report contacts. Exhibit III.7. identifies the
subject matter experts for program planning and reporting requirements.
EXHIBIT III.6. SCAP REPORT CONTACTS
Designation
SCAP-2/11/12
SCAP-4E
Title
Site Summary Report/FOIA
Enforcement Financial Summary (OECA/OSRE
Report/Data Owner
Dave Reynolds, (703) 603-8895
Alice Ludington, (202) 564-6066
FY 11 SPIM
III-19
October 1,2010
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OSWER Directive 9200.3-14-1G-V
Designation
SCAP-4F
SCAP-4R
SCAP-13
SCAP-14
SCAP-15
SCAP-16
Title
maintains this report)
Federal Facility Financial Summary
Response Financial Summary Report
Site Assessment Report
The Superfund Accomplishments Report
GPRA Report
Reconciliation SCAP 14 Audit Report
Report/Data Owner
Marie Bell, (703) 603-0050
Alan Youkeles, (703) 603-8784
Randy Hippen, (703) 603-8829
Dave Reynolds, (703) 603-8895
Amanda Sutton, (703) 603-0055
BillFinan, (202) 564-7981
Eric French, (202) 564-0074
Ellen Treimel, (703) 603-8811
Dave Reynolds, (703) 603-8895
EXHIBIT III.7. SUBJECT MATTER EXPERTS
Subject Matter
Experts
Alan Youkeles
Art Flaks
Amy Vandenburg
Bill Finan
Eric French
Marie Bell
Tencil Coffee
Brendan Roache
Amanda Sutton
Ellen Treimel
Robin H. Richardson
Rich Norris
Charlotte Englert
William Finan
Rob in H. Richardson
Randy Hippen
Dave Reynolds
Subject Area
Chapter 2 Lead / Cost Information/
OSRTI Budget Execution
Budget Planning & Evaluation
eFacts
Removal
Enforcement
Federal Facility Budget Execution
Federal Facility Budget Planning
Federal Facility Response
Federal Facility Measures
OSRTI /GPRA
Workplanning
OSRTI Workplanning
Program Planning/El
Removal
Removal
Resource Management
RODs/Remedy Selection
SCAP Reports Owner
Phone #
(703) 603-8784
(703) 603-9008
(703) 603-9028
(202) 564-2089
(202)564-0051
(703) 603-0050
(703) 603-0053
(703) 603-8704
(703) 603-0055
(703)603-8811
(703) 603-9048
(703) 603-9053
(202) 564-8888
(202) 564-7981
(703) 603-9048
(703) 603-8829
(703) 603-8895
Email
voukeles. alan(5),epa. aov
flaks . art(2>,epa. aov
vandenbura . amy (S)epa. aov
stalcup . dana(S),epa. aov
french.eric(®epa. aov
bell.marie(S>epa.aov
coffee.tencil(S),epa.aov
roache.brendan(S,epa. aov
sutton.amandafSjepa.aov
treimel. ellen(®,epa. sov
richardson.robinh(®epa. aov
norris.rich(S),epa.aov
enalert. charlotte(2),epa. sov
finan.bill(5),epa. aov
richardson.robinh(S),epa.aov
hippen.randy(5),epa.aov
revnolds.david(2>,epa.aov
October 1,2010
111-20
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
Superfund Program Implementation Manual FY 11
Appendix A: Site Assessment/NPL Listing Targets and Measures
FY 11 SPIM October 1, 2010
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OSWER Directive 9200.3-14-1G-V
This Page Intentionally Left Blank
October 1, 2010 FY 11 SPIM
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OSWER Directive 9200.3-14-1G-V
APPENDIX A: Site Assessment/NPL Listing Targets and Measures
Table of Contents
A.A Information Systems A-l
A.A.I Site Assessment A-l
A.A.2 Site Assessment Backlogs A-2
A.A.3 Overview of FY 11 Site Assessment/NPL Listing Targets and Measures A-2
A.A.4 Site Assessment Measures A-2
A.A.5 Site Status Indicators A-4
A.A.6 Data Quality A-9
A.A.7 Action Qualifiers for Site Assessment Actions A-9
a. No Further Remedial Action Planned (NFRAP) A-9
b. Further Evaluation ^4-70
c. Perform a Removal ^4-70
d. Defer the Site to RCRA (Subtitle C) or the NRC A-10
e. Sites addressed as part of existing NPL sites ^4-77
/ Sites addressed as part of other existing non-NPL sites ^4-77
g. State Deferral Action Qualifiers ^4-72
h. Referred From RCRA Action Qualifier ^4-72
A.A.8 Special Initiatives A-12
A.A.9 Site Assessment Critical Indicators A-13
A.A.10 Pre-CERCLIS Screening Assessments A-13
a. Definition of Accomplishment: ^4-74
b. Referred From RCRA A-l 6
c. Site Discovery ^4-77
d. Sites Archived ^4-7$
e. Preliminary Assessments (PA) at Non-Federal Facility Sites ^4-27
/ Federal Facility Preliminary Assessment Reviews ^4-23
g. Site Inspections (SI) at Non-Federal Facility Sites ^4-23
h. Site Reassessment ^4-25
/'. Expanded Site Inspections (ESI) at Non-Federal Facility Sites ^4-27
/ Federal Facility SI Reviews A-28
k. Federal Facility ESI Reviews ^4-29
/. Integrated Expanded Site Inspection/Remedial Investigation (ESI/RI) at
Non-Federal Facility Sites ^4-29
m. State Deferral of Non-Federal Facility Sites ^4-37
n. Hazard Ranking System Package (HRS) ^4-32
o. NPL Listing A-34
p. Other Cleanup Activity (OCA) A-36
A.A.ll Tribal Inventory Information A-38
a. Native American Interest A-38
b. Associating site to an American Indian Tribe/Alaskan Native Entity A-38
A.B Subject Matter Experts. A-39
FY 11 SPIM A-i October 1, 2010
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OSWER Directive 9200.3-14-1G-V
List of Exhibits
Exhibit A.I. Site Assessment/NPL Listing Activities A-4
Exhibit A.2. Site Assessment Action Qualifiers A-12
Exhibit A.3. Subject Matter Experts A-39
October 1,2010 A-ii FY11SPIM
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OSWER Directive 9200.3-14-1G-V
APPENDIX A: INFORMATION SYSTEMS
A.A INFORMATION SYSTEMS
A.A.1 Site Assessment
Assessing the worst sites first continues as a national priority. The regions should identify
the sites posing the highest risk or potential risk and develop a strategy to assess those sites in a
timely manner, while balancing their other site assessment needs.
While assessing the worst sites first, the regions also need to ensure that the backlog of
sites needing Preliminary Assessments (PAs), Site Inspections (Sis), or Expanded Site
Inspections (ESIs) does not grow unacceptably. The regions should consider integrating
assessments to reduce cost and time to assess sites. Regions should continue the use of pre-
CERCLIS screening to assure only appropriate sites are placed in CERCLIS. The regions should
also ensure the appropriate investigations of sites of Tribal concern that are on or near Indian
Country.
To better accomplish the national priorities, the regions should continue negotiating work
share agreements with individual States (and Tribes if applicable). This will help divide up the
site assessment work and potentially enhance relations with the States and Tribes. This process
will also serve to identify the current lead agency for the public.
Given sizeable workloads and constrained resources, regions are encouraged to pursue
more cost- and time-efficient methods of assessing sites without compromising the quantity and
quality of site assessment decisions. Regions should communicate progress and results of new
assessment methods to other EPA regional and headquarters (HQ) site assessment staff.
HQ and regions should continue the streamlined process for listing sites on the National
Priority List (NPL) and evaluate alternatives to listing sites while providing NPL quality
cleanups.
Site assessment is the first step in determining whether a site meets the criteria for
placement on the NPL. NPL Listing is one of several approaches for addressing sites where
assessment indicates remedial study/cleanup is needed to address human health and/or ecological
risks. It should be used when it is believed to be the best approach for addressing a site, and not
implemented only as a last resort. In 1992, EPA's Office of Emergency and Remedial Response
(OERR, now OSRTI) issued a directive entitled Guidance on Setting Priorities for NPL
Candidate sites (OSWER Directive 9203.1-06). The 1992 directive provided regions with
general factors that should be considered in the risk-based decision making process for choosing
sites to propose for listing pursuant to section 105(a)(8)(B) of CERCLA. These can include
recently identified sites, sites earlier in the site assessment process, or previously deferred RCRA
sites. The regions should ensure the appropriate investigation of sites of tribal concern including
sites in or near Indian Country.
FY 11 SPIM A-l October 1, 2010
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OSWER Directive 9200.3-14-1G-V
A.A.2 Site Assessment Backlogs
A key function of HQ is to report national progress in the site assessment program.
Workload estimates are critical indicators of future program needs. HQ captures these workload
estimates by identifying the number of sites at various stages in the site assessment pipeline.
These stages are commonly referred to as "backlogs". For example, sites needing completion of a
CERCLA PA are collectively termed the "PA Backlog". Throughout this appendix, the
procedure HQ uses to derive backlog is provided for each step in the site assessment process.
Headquarters will measure regional progress on non-federal sites still needing assessment with
special emphasis on sites over one year old without any assessment started, and sites over four
years old without a listing decision. A listing decision is defined as a site assessment with a
NFRAP decision, or with a decision to study/cleanup a site via the NPL or a non-NPL cleanup
approach. Regions should consider these assessment workloads when planning FY11 assessment
work; however, the primary goal within the assessment program continues to be assessing worst
sites first.
A.A.3 Overview of FY 11 Site Assessment/NPL Listing Targets and Measures
The Superfund Comprehensive Accomplishments Plan (SCAP) is used by the Assistant
Administrator for the Office of Solid Waste and Emergency Response (AA OSWER), Assistant
Administrator for the Office of Enforcement and Compliance Assurance (AA OECA), and senior
Superfund managers to monitor the progress each region is making towards achieving the
Government Performance and Results Act (GPRA) annual performance goals. In addition, SCAP
is used as an internal management tool to project and track activities that contribute to these
GPRA goals and support resource allocation. The program will set national goals based on
historical performance and performance expectations for the measures performance in GPRA.
The following pages contain, in pipeline order, the definitions of the FY 11 Superfund
site assessment targets and measures. Exhibit A.I. displays the full list of site assessment and
activities defined in this Appendix. Exhibit A.2., at the end of this Appendix, identifies the
Subject Matter Experts (SME's).
A.A.4 Site Assessment Measures
Within EPA's Strategic Plan, Goal 3, Objective 3.2, Sub-objective 3.2.2: Clean Up and
Revitalize Contaminated Land contains the GPRA subobjective for Superfund assessment work.
A new Superfund Remedial Site Assessments measure will replace Final Assessment Decisions
as the GPRA site assessment measure beginning in FY11. The new measure is included in the
strategic plan as: "By 2015, complete 93,400 assessments at potential hazardous waste sites to
determine if they warrant CERCLA remedial response or other cleanup activities. This measure
accounts for all remedial assessments performed at sites addressed under the Superfund program
as compared to the Final Assessment Decisions (FADs) measure which only captured a subset to
the assessment work completed." The cumulative total number of assessments completed
through FY09 was 88,000.
The new Superfund Remedial Site Assessments measure will reflect the total number of
Pipeline-funded remedial assessments completed each year, and will include the following
assessment activities:
October 1,2010 A-2 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
• Pre-CERCLIS screening
• Preliminary Assessment (PA)
• Federal Facility PA Review
• Site Inspection (SI)
• Federal Facility SI Review
• Expanded Site Inspection (ESI)
• Federal Facility ESI Review
• Site Reassessment
• Expanded Site Inspection/Remedial Investigation (ESI/RI)
• Hazard Ranking System(HRS)Package
Except for pre-CERCLIS screening actions, sites must have a completed site discovery
action recorded in CERCLIS to get accomplishment credit for a Superfund remedial site
assessment. Only assessments with a completion date falling in the current fiscal year will get
captured in current year accomplishment reporting. All completed Superfund pre-CERCLIS
screenings and all other remedial site assessments at sites with a completed discovery action will
get captured in cumulative accomplishment (inception-to-date) reporting.
The annual and cumulative number of Superfund remedial site assessments completed
will be captured on the SCAP-15 report and will be included in EPA's Annual Report. Site detail
supporting annual completion counts will be included on the SCAP-13 report.
Data Quality for Completed Superfund Remedial Site Assessments Timeliness
Requirement
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the activity occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of each quarter or the 10th business day following the end
of the fourth fiscal quarter.
Reports and Guidance
- SCAP-15 Report;
- SCAP-13 Report;
The number of Superfund remedial site assessments will be included in EPA's
Annual Performance and Accountability Report and in EPA's Annual Superfund
Report;
Site assessment charts in eFacts;
- Current version of the Superfund Program Implementation Manual (SPIM);
- CERCLIS Quick Reference Guides covering entry of remedial site assessment
action data;
- CERCLIS Data Quality Objective covering remedial site assessment data.
FY 11 SPIM A-3 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
The following non-GPRA measures will be introduced beginning in FY11 to capture the
disposition of sites based on remedial site assessment work performed in the current
fiscal year:
1. # Assessments Completed: NFRAP (site does not qualify for the NPL based on
existing information) - this measure will capture the portion of GPRA Superfund
remedial site assessments that are assigned a NFRAP decision (action qualifier=
N) or are determined not eligible for entry into the active CERCLIS inventory
based on a pre-CERCLIS screening report.
2. # Assessments Completed: Remedial Study/Cleanup Needed - this measure will
capture the portion of GPRA Superfund remedial site assessments that are
assigned one of the following decisions or status designations:
a. Deferred to NRC (action qualifier = DN)
b. Deferred to RCRA (action qualifier = D)
c. Referred to removal, needs further remedial assessment (action qualifier = F)
d. Referred to removal, no further remedial assessment (action qualifier = W)
e. Addressed as part of an existing NPL site (action qualifier = A)
f. Remedial activities under EPA enforcement, including sites addressed via a
Superfund Alternative Approach agreement (non-NPL status = SA)
g. Other Cleanup Activity (non-NPL status = OF, OP, OS, or OT)
3. # Assessments Completed: Further Site Assessment Needed - this measure will
capture the portion of GPRA Superfund remedial site assessments that are
assigned one of the following decisions:
a. Higher priority for further assessment (action qualifier = H)
b. Lower priority for further assessment (action qualifier = L)
c. Recommended for HRS scoring (action qualifier = G)
d. Being considered for proposal to the NPL (action qualifier = O)
e. Addressed as part of another non-NPL site (action qualifier = B)
f. Needs a remedial preliminary assessment based on completion of a pre-
CERCLIS screening report
EXHIBIT A.l. SITE ASSESSMENT/NPL LISTING ACTIVITIES
ACTIVITY
Pre-CERCLIS Screening Assessment
Site Discovery
Referred from RCRA
Preliminary Assessment (PA) at Non-Federal Facility Sites
Federal Facility PA Review
Site Inspection (SI) at Non-Federal Facility Sites
Federal Facility SI Review
GPRA
APG
APM
T
T
T
T
T
PROGRAM
TARGET
MEASURE
T
T
October 1,2010
A-4
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
ACTIVITY
Site Reassessment
Expanded Site Inspection (ESI) at Non-Federal Facility Sites
Federal Facility ESI Review
Integrated ESI/Remedial Investigation
State Deferral of Non-Federal Facility Sites
Other Cleanup Activity
Hazard Ranking System (HRS) Package (Non-Federal Facility and Federal
Facility)
Integrated Removal Assessment & PA at Non-Federal Facility Sites**
Integrated Removal Assessment & SI at Non-Federal Facility Sites**
Integrated Removal Assessment & Expanded Site Inspection (ESI)**
Integrated Removal Assessment and Hazard Ranking System (HRS)**
Integrated Removal Assessment and Expanded Site Inspection and Remedial
Investigation (ESI/RI)**
NPL Listing (Proposed, Final, Removed-From Proposed, Withdrawn)
Archive Site
Site Unarchived
No. of Completed Superfund Remedial Site Assessments
No. of Final Assessment Decisions *
No. of Completed Remedial Site Assessments: NFRAP
No. of Completed Remedial Site Assessments: Remedial Study/Cleanup
Needed
No. of Completed Remedial Site Assessments: Further Site Assessment
Needed
GPRA
APG
T
APM
T
T
T
T
T
T
T
T
T
T
PROGRAM
TARGET
MEASURE
T
T
T
T
T
T
T
T
T
NOTE: Accomplishments are pulled from CERCLIS on a semi-annual basis.
*Italic text indicates that this activity is a goal or measure that is not specifically defined in the Appendices to the
Manual. Data to support reporting of these goals is already included in existing definitions.
**Indicates that the action is historical.
A.A.5 Site Status Indicators
These site status indicators are entered through the Site Status and Description/Operable
Units screen in CERCLIS.
Archive Indicator - this checkbox indicates if the site has been archived. NOTE:
Indicating that a site has been archived will result in a pop-up message asking the user if they
would like to make an NFFA determination at this time. If the user clicks yes, the NFFA flag
will be populated and an NFFA date will be system generated. A site cannot be archived if there
are any planned or ongoing archive prohibited actions at the site. For a list of archive prohibited
actions, refer to the CERCLIS Archived Sites QRG.
FY 11 SPIM
A-5
October 1,2010
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OSWER Directive 9200.3-14-1G-V
A site that has been archived represents a site-wide decision that no further interest exists
at the site under the Federal Superfund program based on available information. It is a
comprehensive decision indicating there are no further Superfund site assessment, remedial,
removal, enforcement, cost recovery, or oversight activities being planned or conducted at the
site. For more information about archiving sites in CERCLIS, refer to the CERCLIS Archived
Sites QRG or the EPAs Refining CERCLIS website at:
http://www.epa.gov/superfund/programs/reforms/reforms/2-4c.htm
Archive Date - this date is system generated with the current date when the checkbox is
checked. This field is editable and should reflect the date the site was archived.
NPL Status - displays the current NPL Status for the site. User may select from the drop
down to enter or change the NPL Status of the site. Regional users have access to change the
NPL Status to Not a valid site or incident, Not on the NPL, Addressed as part of an existing NPL
site, and Pre-proposed site. All other NPL Status values are added through a database revision
and are uneditable.
Non NPL Status - displays the current Non-NPL Status for the site. User may select from
the drop down to enter or change the Non NPL status of the site. The available non-NPL status
values will be limited based on the NPL Status of the site. Regions should update the Non-NPL
Status field in CERCLIS as soon as possible following entry of a site assessment action start
and/or completion date.
Reporting non-NPL site status information allows EPA to clearly identify the progress a
site has made in the Site Assessment Pipeline at any given time. For a list of Non-NPL Status
values and more information about entering non-NPL status values in CERCLIS, refer to the
Reporting Non-NPL Status QRG and the Understanding NPL and Non-NPL Status Code
Relationships QRG.
Status Not Specified (SX) is one of the codes available for selection as a Non NPL Status
value. Regions may select this code only if no other available Non NPL Status value is
appropriate. If selected, the Region should notify the EPA HQ Site Assessment Data Sponsor to
determine whether a new Non NPL Status value needs to be created. Regions should review sites
with an SX value at a minimum on a semi-annual basis (prior to mid year review, and end-of-
year assessment) and update this value as appropriate.
Non NPL Status Date - this field is system generated with the current date when the Non
NPL status of a site is changed. This field is editable and should reflect the date the non-NPL
status of the site changed.
ERS Exclusion - this checkbox indicates if the region has made an eligible response site
exclusion decision at the site.
Under CERCLA Section 101(41) (C), EPA may exclude sites from the Brownfields
eligible response universe if EPA conducts or has conducted a preliminary assessment (PA) or
site inspection (SI) and, after consultation with the State, determines or has determined that the
site obtains a preliminary score sufficient for possible listing on the National Priorities List or
otherwise qualifies for listing on the National Priorities List.
October 1,2010 A-6 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
NOTE: This checkbox may not be selected if the site NFFA checkbox has been selected.
Since NPL sites are excluded from the definition of Eligible Response Sites, HQ will uncheck
the ERS Exclusion checkbox when updating CERCLIS for sites that get proposed to the NPL.
NPL sites, Federal facility sites, and sites with planned or ongoing removals are excluded
from the definition of ERS sites. For more information regarding making an ERS exclusion at a
site, please refer to OSWER Directive 9230.0-170, entitled Regional Determinations Regarding
Which Sites are Eligible Response Sites under CERCLA Section 101(41 )(C)(i), as Added By the
Small Business Liability Relief and Brownfields Revitalization Act.
ERS Exclusion Date - this date is system generated with the current date when the
checkbox is checked. This field is editable and should reflect the date the site was excluded.
Final Assessment Decisions (FAD) - Superfund final remedial assessment decisions
(FADs) are used as an indicator to measure progress towards completing remedial site
assessment work at sites entered into CERCLIS. A FAD indicates remedial site assessment work
is complete under the federal Superfund Program based on available information. Regions
should assign a FAD designation to a site entered into CERCLIS with a discovery action and
date if any of the following conditions are met:
• The site or its parent site has been proposed to or placed on the National Priorities
List (NPL);
• The site has been removed from proposal to the NPL and no further remedial
assessment is needed;
• The decision made at the last completed remedial assessment at the site is either:
No further remedial action planned (NFRAP);
- Referred to Removal-NFRAP;
- Deferred to RCRA or NRC; or
Addressed as part of an NPL or non-NPL site
• The site is being remediated under a formal state deferral agreement;
• The site is being remediated using a Superfund Alternative Agreement;
• The site has been cleaned up or is making progress towards cleanup as supported by
documentation (worksharing agreements, site-specific progress reports, AOCs,
remedial action plans, VCP/other MOAs, etc.) between the non-EPA party and EPA
stating that the site has been or is being cleaned up or addressed according to
appropriate cleanup standards;
• The site has been properly archived from the active CERCLIS site inventory.
EPA regions are responsible for maintaining FAD designations in CERCLIS. FAD status
is captured in CERCLIS by selecting the Final Assessment Decision check box on the Site
Description & Status/Operable Units screen. Once the FAD box is checked, CERCLIS
automatically populates the related Final Assessment Decision Date field with the current
calendar date. Regions can accept or edit this date before saving the information in CERCLIS.
FY 11 SPIM A-7 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
The FAD date should match the calendar date when the FAD decision was made. Backdating the
FAD date is appropriate when data entry lags occur, even if the lag spans across fiscal years
(e.g., sites where the FAD decision was made in a previous fiscal year, but the FAD box was
inadvertently left unchecked). HQ will place a check in the FAD checkbox when updating
CERCLIS for sites that get proposed to the NPL.
Final Assessment Decision Date - this date is system generated with the current date
when the checkbox is checked. This field is editable and should reflect the date the final
assessment decision was made.
NFFA - this checkbox only applies to sites that have been assigned an ERS exclusion
decision and denotes that the site requires No Further Federal Action. CERCLA Section
101(41 )(C)(i) authorizes EPA to make a site which was previously excluded as an Eligible
Response Site, because it had obtained a preliminary score sufficient for possible listing, an
Eligible Response Site again when EPA determines that no further federal action will be taken
(NFFA). NOTE: Sites that have a NPL status of F or P are not eligible for No Further Federal
Action. In addition, if a site has any planned or ongoing enforcement, cost recovery or removal
activities, the user will not be allowed to make an NFFA determination.
NOTE: This checkbox may not be selected if the ERS Exclusion checkbox has been selected.
For more information regarding NFFA decisions, please refer to OSWER Directive
9230.0-170, entitled Regional Determinations Regarding Which Sites are Eligible Response
Sites under CERCLA Section 101(41 )(C)(i), as Added By the Small Business Liability Relief
and Brownfields Revitalization Act.
NFFA Date - this date is system generated with the current date when the checkbox is
checked. This field is editable and should reflect the date the determination that no further
federal action would be taken at the site.
Type of Use Indicator - The Type of Use Indicator describes how the site is being used
and is initially based on information collected during the site assessment process. This
information will be updated as the site progresses through the Superfund process. The following
type of use categories are available:
• Commercial Use: Commercial use refers to use for retail shops, grocery stores,
offices, restaurants, and other businesses.
• Public Service Use: Public service use refers to use by a local or State government
agency or a non-profit group to serve citizens' needs. This can include transportation
services such as rail lines and bus depots, libraries and schools, government offices,
public infrastructure such as roads, bridges, utilities, or other services for the general
public.
• Agricultural Use: Agricultural use refers to use for agricultural purposes, such as
farmland for growing crops and pasture for livestock. Agricultural use also can
encompass other activities, such as orchards, agricultural research and development,
and irrigating existing farmland.
October 1,2010 A-8 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
• Recreational Use: Recreational use refers to use for recreational activities, such as
sports facilities, golf courses, ball fields, open space for hiking /picnicking, and other
opportunities for indoor or outdoor leisure activities.
• Ecological Use: Ecological use refers to areas where proactive measures, including a
conservation easement, have been implemented to create, restore, protect, or enhance
a habitat for terrestrial and/or aquatic plants and animals, such as wildlife sanctuaries,
nature preserves, meadows, and wetlands.
• Industrial Use: Industrial use refers to traditional light and heavy industrial uses, such
as processing and manufacturing products from raw materials, as well as fabrication,
assembly, treatment, and packaging of finished products. Examples of industrial uses
include factories, power plants, warehouses, waste disposal sites, landfill operations,
and salvage yards.
• Military Use: Military use refers to use for training, operations, research and
development, weapons testing, range activities, logistical support, and/or provision of
services to support military or national security purposes.
• Other Federal Use: Other Federal use refers to use to support the Federal government
in Federal agency operations, training, research, and/or provision of services for
purposes other than national security or military.
• Mixed Use: Mixed use refers to areas at which uses cannot be differentiated on the
basis of acres. For example, a condominium with retail shops on the ground floor and
residential use on the upper floors would fall into this category. When selecting
Mixed Use, the individual types of uses should be identified, if possible.
• Residential Use: Residential use refers to use for residential purposes, including
single-family homes, town homes, apartment complexes and condominiums, and
child/elder care facilities.
• Undetermined: Type of use cannot be determined based on available information.
A.A.6 Data Quality
The Regions should assure that their site assessment information is complete, current,
consistent and accurate. To assist the Regions in this determination, data quality reports for
Superfund site assessment information in CERCLIS are available through the national Superfund
eFacts application. ReportLink may also be used to hold data quality reports. The site assessment
data quality report in Superfund eFacts is used to monitor progress in correcting site assessment
data in CERCLIS.
A.A.7 Action Qualifiers for Site Assessment Actions
Site screening and assessment decisions are made upon completion of each site
assessment action. These decisions identify how the Region will proceed with site response and
are recorded in CERCLIS as action qualifiers (Qualifiers).
a. No Further Remedial Action Planned (NFRAP)
No further Superfund remedial assessment work will be taken at a site with a NFRAP
determination (Qualifier = (N) No Further Remedial Action Planned) unless new
FY 11 SPIM A-9 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
information warranting such action is received by EPA. NFRAP decisions should not be
confused with archiving. NFRAP decisions are made from a site assessment perspective
only; they simply denote that further Superfund NPL assessment work is not required
based on currently available information. In contrast, the archival of CERCLIS sites is
made only when no further Superfund interest exists at a site. This means that sites are
not archived if there are planned or ongoing removal or enforcement activities or if other
Superfund interest still exists, even if a NFRAP decision was made during site
assessment activities.
b. Further Evaluation
Upon completion of each site assessment action, the Region may determine that
additional, more complex evaluation activities are required to determine whether or not
the site should be pursued for placement on the NPL. A decision to conduct further
evaluations at a site is recorded differently in CERCLIS depending on what site
assessment activity is being performed.
For PAs, Sis, and Site Reassessment further evaluation is denoted by either making a
decision of higher priority (Qualifier = (H) High), lower priority (Qualifier = (L) Low),
or recommend the site for HRS scoring (Qualifier = (G) Recommended for HRS
Scoring).
For ESIs and ESI/RIs, further evaluation is denoted by the decision of lower priority for
further evaluation or to recommend the site for HRS scoring (Qualifier = (G)
Recommended for HRS Scoring).
For Other Cleanup Activity actions, further evaluation is denoted by either making a
decision of higher priority (Qualifier = (H) High) or lower priority (Qualifier = (L) Low).
Further evaluation activities upon completion of a HRS Package consist of HQ quality
assurance and ultimately a decision on whether to propose the site to the NPL (Qualifier
= (O) Site is being considered for proposal to the NPL).
c. Perform a Removal
Upon completion of PAs, Sis, SIPs, ESIs or ESI/RIs, the Region may determine that a
time-critical or non-time critical (NTC) removal is necessary. The decision recorded for
these actions is Referred to Removal, Needs Further RMDL ASMT (Qualifier = F) or
Referred to Removal, No Further RMDL ASMT (Qualifier = W).
d. Defer the Site to RCRA (Subtitle C) or the NRC
Upon completion of PAs, Sis, or ESIs at non-Federal facilities, or of FF PA Reviews, FF
SI Reviews, or FF ESI Reviews at Federal facilities the Region may determine that the
site is excluded from Superfund consideration under policy, regulatory, or legislative
restrictions and defer it to either the RCRA program (Qualifier = (D) Deferred to RCRA
(Subtitle C)) or to the NRC (Qualifier = (DN) Deferred NRC).
October 1,2010 A-10 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
e. Sites addressed as part of existing NPL sites
Upon completion of Site Assessment activities, such as PAs, Sis, ESIs, or ESI/RIs, the
Region may decide that a site is best addressed as part of an existing NPL site. This
would be done when contamination at a non-NPL site is being addressed by cleanup
actions at an existing NPL site. This most frequently occurs at Federal facilities and sites
with an area-wide groundwater contamination problem resulting from multiple sources.
In this situation, the NPL site is considered the 'parent' and the non-NPL site is referred to
as the 'child'. The decision to address a site as part of an existing NPL site requires the
following information in CERCLIS:
- Upon completion of the site assessment activity that led to the decision to
combine the two sites, the Region should enter a qualifier of 'Addressed as part an
existing NPL site' (A) at the child site;
The 7-digit Site ID number of the parent site must be entered into the Parent Site
ID field (Site Parent ID) for the child site;
The 7-digit Site ID number of the child site must be entered into the Child Site ID
field (Site Child ID) for the parent site; and
- The NPL Status for the child site must be changed to 'Site is part of NPL Site' (A).
After a site is collapsed into the parent site, no further response work should be recorded
at the child site. Instead, any further response work performed at that site should be
recorded under the existing parent NPL site, possibly as a separate operable unit.
f. Sites addressed as part of other existing non-NPL sites
Upon completion of a site assessment activity, it is also possible for the Region to decide
that a site is best addressed as part of another existing non-NPL site. The decision to
combine multiple non-NPL sites requires the following information in CERCLIS:
Upon completion of the site assessment activity that led to the decision to
combine the two sites, the Region should enter a qualifier of 'Addressed as part of
another non-NPL site' (B) at the child site;
- The 7-digit Site ID number of the parent site must be entered into the Parent Site
ID field (Site Parent ID) for the child site;
The 7-digit Site ID number of the child site must be entered into the Child Site ID
field (Site Child ID) for the parent site; and
The Non-NPL Status for the child site must be changed to 'Addressed as part of
another non-NPL site' (B).
After a site is collapsed into the parent site, no further actions should be recorded at the
child site. Instead, any further assessment or response work performed at that site should
be recorded under the existing parent site. If the parent site becomes a NPL site (NPL
Status P, F, D, R, W), CERCLIS should be updated as described in section d. above. The
Final Assessment Decision value for a child site should match that of its parent site.
FY 11 SPIM A-ll October 1, 2010
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OSWER Directive 9200.3-14-1G-V
g. State Deferral Action Qualifiers
Upon completion of the State Deferral (AQ) action, the outcome (qualifier) of the State
deferral must be entered with the completion date. The possible outcomes (qualifiers) at
the completion of a State deferral are:
- Region confirmed successful completion (RS)
- Region terminated deferral (RT)
h. Referred From RCRA Action Qualifier
Facilities whose owners have demonstrated an inability to finance corrective action are
referred to Superfund from RCRA. An action qualifier of Financial (F) should be added
for all Referred from RCRA (XR) actions where the site is referred to Superfund due to a
failed financial assurance.
EXHIBIT A.2. SITE ASSESSMENT ACTION QUALIFIERS
-+ Available Action Decisions
SITE ASSESSMENT
ACTION NAMES & CODES
Pre-CERCLIS Screening HX
Discovery DS
Preliminary Assessment PA
Federal Facility PA Review RX
Site Inspection SI
Federal Facility SI Review TV
Srte Reassessment CO
Expanded Site Inspections ES
Federal Facility1 ESI Rewew TZ
ESS/Ri SS
Slats Deferral AQ
HRS Package HR
Olher Cleanup Activity VA
Referred from RCRA XR
Archive Srte VS
Site Unarchived VU
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
NOT APPLICABLE
NOT APPLICABLE
• •
• •
• •
• •
•
•
•
•
•
•
•
•
•
jU/1
iX
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
«/
•
•
•
•
•
•
•
J
|
• 1
1
1 *
"Olis action ^s populated when the ardiiw flag is selected. £4o lead^depsbrts IDT these actions are available.
This action s populates! tvten tie archive flag is deselected No teads/deocons far these actions ae available
A.A.8 Special Initiatives
A special initiative flag is used in CERCLIS to note a HQ or Regional site special priority
or other program initiative under which a Superfund site may be tracked, and that a planned or
actual activity addresses. These special initiatives are flagged on the Add Special Initiative
screen via the Site Status and Description/Operable Units screen. The special initiatives in
CERCLIS apply to and are used by all program areas. The following are a listing of the most
commonly used special initiatives within the site assessment program:
• Vermiculite Investigation (VI)
October 1,2010
A-12
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
• TASWER Survey Site (TS)
• RCRA Deferral Audit (RA)
• RCRA Deferral - Further Superfund Assessment (RE)
• RCRA Deferral - New Decision (RC)
• RCRA Deferral - Lead Confirmed (RB)
• Site with SA (Superfund Alternative) Agreement per OECA Policy (SA)
• GAO Survey (RCED-99-22A) (GA)
• GAO Survey (RCED-99-22B) (GB)
• Military Munitions Response Program (MMRP)(MM)
• Environmental Justice (EJ)
A.A.9 Site Assessment Critical Indicators
Critical Indicators are used in CERCLIS as a way to further describe the action/activity at
the site. Five critical indicators are being added to further define site assessment actions and
replace the Integrated Removal and Remedial Assessment actions. Site Assessment critical
indicators are entered on the SCAP Information screen. The critical indicators used by the Site
Assessment program are:
• Abbreviated Preliminary Assessment - Available for Preliminary Assessment (PA)
actions.
• Integrated Removal and Remedial Assessment (Int Rmvl/Rmdl Assess) - Available
for the following actions:
Preliminary Assessment (PA);
Site Inspection (SI);
- Expanded Site Inspection (ESI);
- HRS Package (HR);
- Integrated ESI/RI (SS); and
- Removal Assessment (RS)
A.A.10 Pre-CERCLIS Screening Assessments
Definition:
Pre-CERCLIS screening is the process of reviewing data on a potential site to determine
whether it should be entered into the CERCLIS inventory for further evaluation. The
process can be initiated through the use of several mechanisms, such as a phone call or
referral by a State or other Federal agency. The information/collection process is
normally limited to one or two days. Minimal sampling can be performed during the pre-
CERCLIS screening action (less than $2,000 sampling costs per screened site).
A site should not be entered into CERCLIS if:
FY 11 SPIM A-13 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
It is currently in CERCLIS or has been removed from CERCLIS and no new data
warrants re-entry into CERCLIS;
The site or contaminants found on the site are subject to certain limitations based
on definitions in CERCLA;
A State or Tribal remediation program is involved in response at the site and it is
in the process of a final cleanup;
- The hazardous substance release at the site is regulated under a statutory
exclusion (e.g., petroleum, natural gas, natural gas liquids, synthetic gas usable
for fuel, normal application of fertilizer, release located in a workplace, naturally
occurring, or covered by the Nuclear Regulatory Commission (NRC), or Uranium
Mill Tailings Radiation Control Act (UMTRCA), (see CERCLA section 101(22));
- The hazardous substance release at the site is deferred to another authority (e.g.,
RCRA Corrective Action);
Site data are insufficient to determine if CERCLIS entry is warranted (i.e., based
on potentially unreliable sources or with no information to support the presence of
hazardous substances or CERCLA eligible pollutants or contaminants); or
Documentation clearly demonstrates that there is no potential for a release that
could cause adverse environmental or human health impacts.
For more information on pre-CERCLIS screening please refer to Pre-CERCLIS
Screening Assessments fact sheet (OSWER 9375.2-11FS). This fact sheet provides the
minimum requirements for conducting these types of assessments.
a. Definition of Accomplishment:
Pre-Screening Starts - A pre-screening (Action Name = Pre-CERCLIS Screening) is
started when the region begins collecting data and performing other tasks related to
completion of the Pre-CERCLIS Screening Assessment Checklist; and CERCLIS
contains the actual pre-screening start date (Actual Start) and an action lead of: Fund-
Financed (F); EPA-In House (EP); State-Financed (S); Tribal (TR). Pre-CERCLIS
screening start dates are not required.
Pre-Screening Completions - A pre-screening (Action Name = Pre-CERCLIS Screening)
is completed when:
Pre-CERCLIS Screening Assessment Checklist has been developed by EPA to
document the decision and placed in the site file. The Pre-CERCLIS Screening
actual completion date is the date the Checklist is finalized; and
- CERCLIS contains the actual Pre-CERCLIS Screening completion date (Actual
Complete), a valid lead (Lead), and appropriate values in the NPL and Non-NPL
Status fields.
In addition to the pre-screening action, entry of the following information is required:
Sites that require remedial assessment work, or both remedial assessment and removal
work
- A Discovery Date on the Add Site screen, which corresponds to the actual
completion date of the pre-screening action;
October 1,2010 A-14 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
An NPL Status of Not on the NPL on the Add Site screen;
A Non-NPL Status of PA Start Needed or Integrated Removal Assessment PA
Start Needed on the Site Description/Operable Unit screen.
Sites that require only removal work
- An Initiation Date on the Add Site screen, which corresponds to the actual
completion date of the pre-screening action;
- An NPL Status of Not on the NPL on the Add Site screen;
A Non-NPL Status of Removal Only on the Site Description/Operable Unit
screen.
Sites that require no further evaluation beyond the pre-screening
An NPL Status of Not a Valid Site or Incident on the Add Site screen;
- A Non-NPL Status of Not a Valid Site or Incident, Not a Valid Site - RCRA
Lead, Not a Valid Site - NRC Lead, Not a Valid Site - State Lead, or Not a Valid
Site - Tribal Lead.
For more information on tracking Pre-CERCLIS Screening activities, please refer to the
March 2002 guidance document entitled Data Entry for Pre-Screening Sites.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
All pre-CERCLIS screening activities should be tracked in CERCLIS, including
activities at sites not found to be CERCLA-eligible. Sites that are screened out of
CERCLIS will be tracked through the Not a Valid Site or Incident values in the NPL and
Non-NPL status field. If the decision is made that the site requires NPL assessment and
potential cleanup under CERCLA authority, it should be added to the CERCLIS
inventory by entering a Discovery Date and valid NPL and Non-NPL Statuses. A
Discovery action or date should not be entered into CERCLIS if the site only needs a
removal assessment/action and no NPL assessment work is necessary. For these sites
with removal-only interest, the Site Initiation Date on the Add Site screen needs to be
entered for these sites to be considered part of the CERCLIS inventory. Sites that are
screened out of the CERCLIS inventory should be entered on the Add Site screen with no
Discovery or Initiation date, and the NPL status Not a Valid Site or Incident. The region
will maintain a record based on a pre-screening action. This is a program measure.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
name = Pre-
Activity
Type
Program
Measure
SPIM
Lead
F,EP,
S, TR
Documentation
Required
Pre-CERCLIS
Screening
Documentation
Approval/Date
Requirements
The date the checklist is
final and CERCLIS
Data Must Be Entered By
It is good management practice to
enter data regarding the event as soon
FY 11 SPIM
A-15
October 1,2010
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OSWER Directive 9200.3-14-1G-V
SPIM
Action/
Activity
CERCLIS
Screening
(HX)
Activity
Type
SPIM
Lead
Documentation
Required
Assessment
checklist.
Documentation
Approval/Date
Requirements
contains the Pre-
CERCLIS Screening
completion date, lead,
and NPL or Non-NPL
status.
Data Must Be Entered By
as practicable after the event occurs.
However, data must be entered prior
to the quarterly pull for the quarter in
which the event occurs. (Generally,
the quarterly pull occurs on the fifth
business day following the end of
FYQ1, FYQ2 and FYQ3, and on the
tenth business day following the end
ofFYQ4.)
b. Referred From RCRA
Definition:
A site is Referred from RCRA when both RCRA and Superfund programs agree that the
site may require additional investigation or cleanup under the Superfund program. Sites
are considered for referral to Superfund from RCRA under a number of scenarios,
including:
sites with facilities that ceased treating, storing, or disposing of hazardous waste
prior to November 19, 1980 (the effective date of Phase I of the Subtitle C
regulations) and to which the RCRA corrective action or other authorities of
Subtitle C cannot be applied.
sites at which only materials exempted from the statutory or regulatory definition
of solid waste or hazardous waste are managed
contamination areas resulting from the activities of RCRA hazardous waste
handlers to which RCRA subtitle C corrective action authorities do not apply,
such as hazardous waste generators or transporters, which are not required to have
Interim Status or a final RCRA permit; and
sites having a low priority or questionable enforcement under RCRA, such as
non-filers or converters.
Further, facilities whose owners have demonstrated an inability to finance corrective
action are referred to Superfund from RCRA.
Appropriate documentation must exist and be signed by both programs that in fact RCRA
has turned the site over to Superfund, and Superfund has accepted the site. All sites
referred to Superfund from RCRA must have a Referred from RCRA action and actual
completion date documented in CERCLIS.
Definition of Accomplishment:
A site referred from RCRA is considered complete the date the region received the
paperwork that documents the decision that the site warrants Superfund NPL assessment
and/or potential cleanup attention is entered. The Referred from RCRA date is entered as
the completion (actual completion) at the site. Valid leads for Referred from RCRA
actions include: Fund-Financed (F) and EPA-In House (EP). An action qualifier of
October 1,2010
A-16
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
financial should be added for all Referred from RCRA actions where the site is referred
to Superfund due to a failed financial assurance.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
Actual start and planning dates are not required for the Referred from RCRA action. An
action qualifier of financial should be added to the Referred from RCRA action if the site
was referred to Superfund as a result of a failed financial assurance. Special initiative
flags of RCRA baseline 2005 and RCRA baseline 2008 have been added to CERCLIS.
These fields will be populated and maintained by HQ.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
name =
Referred
from
RCRA
Activity
Type
Program
Measure
SPIM
Lead
F, EP
Documentation
Required
Documentation of the
site referral from RCRA
and that the Superfund
accepts the site warrants
Superfund NPL
potential cleanup
Documentation
Approval/Date
Requirements
The date the
documentation of the
referral from RCRA is
received from the
regional official and
CERCLIS contains the
Referred from RCRA
actual completion date
and lead.
Date Must Be Entered By
It is good management practice
to enter data regarding the event
as soon as practicable after the
event occurs. However, data
must be entered prior to the
quarterly pull for the quarter in
which the event occurs.
(Generally, the quarterly pull
occurs on the fifth business day
following the end of FYQ1,
FYQ2 and FYQ3, and on the
tenth business day following the
endofFYQ4.)
c. Site Discovery
Definition:
Site discovery is the process by which a potential hazardous waste site is entered into the
CERCLIS inventory for NPL assessment activities. All sites moving through the NPL
assessment process must have a Discovery action and actual completion date documented
in CERCLIS. Entry of the site discovery date initiates the NPL assessment process and
places the site on the Preliminary Assessment backlog.
Definition of Accomplishment:
Site discovery of non-Federal facilities is the date the region completes the pre-CERCLIS
screening activities, and documents the decision that the site warrants Superfund NPL
assessment and potential cleanup attention. The site discovery date for Federal facilities
is the date the site is formally added to the Federal Facilities Hazardous Waste
Compliance Docket indicating Superfund involvement is required. The Site Name and
Discovery Date must be entered into CERCLIS for both Federal and non-Federal sites.
Valid leads for site discovery actions include: Fund-Financed (F); EPA-In House (EP);
State (S), Tribal (TR); and Federal Facility (FF).
FY 11 SPIM
A-17
October 1,2010
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OSWER Directive 9200.3-14-1G-V
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
Actual start and planning dates are not required for the Discovery action. The Discovery
date is entered through the Add Site screen. The Discovery date will automatically
populate the actual completion date for the Discovery action. Regions are now required to
enter information on site type at the time of discovery on the Add Site or Site
Discovery/Initiation screen. Multiple discovery actions are not allowed. Site discovery is
a program measure.
Note: A separate field has been added to CERCLIS to record site initiation dates for
removal-only sites. A Discovery action or date should not be entered into CERCLIS if
the site only needs a removal assessment/action and no NPL assessment work is
necessary. For these sites with removal-only interest, the Site Initiation Date on the Add
Site screen needs to be entered for these sites to be considered part of the CERCLIS
inventory. The discovery date for sites referred from removal to assessment should be the
date the referral decision is made.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
name =
Discovery
(DS)
Activity
Type
Program
Measure
SPIM
Lead
F, EP,
S, TR,
FF
Documentation
Required
Documentation of the
decision that the site
warrants Superfund
NPL assessment and
potential cleanup
attention.
Documentation
Approval/Date
Requirements
The Discovery date is
entered through the Add
Site screen. The
Discovery date will
automatically populate
the actual completion
date for the Discovery
action.
Data Must Be Entered By
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
entered by prior to the quarterly
pull for the quarter in which the
event occurs. (Generally, the
quarterly pull occurs on the fifth
business day following the end of
FYQ1, FYQ2 and FYQ3, and on
the tenth business day following
theendofFYQ4.)
d. Sites Archived
Archiving represents a site-wide decision that no further interest exists at the site under
the Federal Superfund program based on available information. It is a comprehensive
decision indicating there are no further Superfund site assessment, remedial, removal,
enforcement, cost recovery, or oversight activities being planned or conducted at the site.
Regions may perform re-evaluation work at a site while it is archived if site conditions
change and/or new information becomes available. Sites re-evaluated and determined to
need substantial site characterization and/or cleanup work under the Federal Superfund
October 1,2010
A-18
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
program must be returned to the CERCLIS inventory. Regions may also record general
enforcement related activities (e.g. issuance of comfort letter or prospective purchaser
agreements) at archived sites. For more information on archiving sites in CERCLIS
please refer to EPA's Refining CERCLIS website at:
http://www.epa.gov/superfund/programs/reforms/reforms/2-4c.htm.
Backlogs: The Archive site backlog consists of the potential archive candidate sites
described below.
An archive decision is recorded in CERCLIS at the site level. To receive credit for an
archive decision, the Archive Indicator (Archive IND) must be checked, and the Archive
Date entered on the Site Status and Description/Operable Units screen. A note must be
prepared and placed in the site file explaining that no further Federal Superfund interest
exists at the site based on available information. Since archiving is a comprehensive
decision, the note must represent the interests of the appropriate regional business units
(e.g., site assessment, removal, etc.), including the regional RCRA program for archive
designations based on site deferral to RCRA. Regions should also consult with State
and/or Tribal partners prior to making an archive designation to ensure any issues related
to archiving are considered and handled appropriately. The date of the note is the Archive
Date and entering this date automatically generates the Archive Indicator in CERCLIS.
Although the underlying basis for archiving a CERCLIS site is whether or not Federal
Superfund interest exists, several categories of sites are used to generate lists of potential
archive candidate sites. Based on review of sites in these categories, regions should
update the Archive IND and Archive Date field as appropriate in a timely fashion. These
categories are:
Sites that have completed only the site assessment process and have been given
either a No Further Remedial Action Planned (NFRAP) or Deferred decision at
the conclusion of the last completed site assessment action, and no other Federal
Superfund activity is anticipated;
Sites that have completed both the removal and site assessment process, or have
completed the removal process and require no site assessment work (removal-
only sites), and which have completed all related oversight, cost recovery/other
enforcement work, and have no further Federal Superfund activity anticipated;
Sites that have successfully completed State Deferral as described in the May,
1995 OSWER Directive 9375.6-11 titled Guidance on Deferral of NPL Listing
Determinations While States Oversee Response Actions and no further Federal
Superfund activity is anticipated;
Sites removed from the proposed NPL or final NPL (e.g., as a result of a lawsuit)
that have no further Federal Superfund activity anticipated;
Child sites addressed as part of a parent non-NPL site, provided there is no further
Federal Superfund interest at the area represented by the child site. Parent non-
NPL sites should not be archived until all related child sites have been archived;
Sites that have been entered into the CERCLIS inventory via entry of a site
discovery and/or site initiation date which have not had any work started and,
FY 11 SPIM A-19 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
based on review, do not warrant any type of additional Superfund activity. An
abbreviated preliminary assessment (PA) should be completed for these sites prior
to designating archive status;
Sites that have completed Other Cleanup Activities by a non-EPA party under the
Site Assessment process and have no other Federal Superfund activity anticipated.
As appropriate, sites can be returned to the CERCLIS inventory by deleting the date in
the Archive Date field. The Archive Indicator will automatically be deleted. A note
explaining why the site was returned to the CERCLIS inventory must be prepared and
placed in the site file.
The Archive Indicator field in CERCLIS is used as a filter on Superfund reports and data
sets to delineate whether a site is still in, or has been removed from, the CERCLIS
inventory. Planning dates for archiving sites are not available. It is important to note that
an archive decision is not the same as a no further remedial action planned (NFRAP)
decision. A NFRAP decision is recorded as an Action Qualifier, is made only at the
conclusion of a site assessment action, and does not take into account any other
Superfund programmatic activity that may be going on at a site such as removals or cost
recovery. Archived site is a program measure for both non-Federal and Federal facilities.
The CERCLIS application will prevent adding certain assessment, removal, remedial,
and enforcement actions at archived sites. The CERCLIS-Archive Quick Reference
Guide lists the prohibited actions. Prohibited actions can be added to a site by either: 1)
returning the site to CERCLIS (e.g., substantial site characterization and/or cleanup is
needed); or 2) requesting a database revision through Headquarters (e.g., entry of
historical data). The restriction will not prevent users from entering action-related data
such as start/completion dates, leads, qualifiers, etc., at existing actions. CERCLIS will
also prevent the archival of NPL sites (Proposed, Final, and Deleted) and sites having a
start and no completion date at an archive-prohibited action.
Archive designations should be made in a timely fashion to accurately portray the status
of sites to all users of Superfund Program information. The site assessment program area
within the CERCLIS reports module contains reports to help EPA regions maintain the
integrity of archive data. The Potential Archive Site Inventory Report lists sites that may
be eligible for archival. The Archived-To-Be-Reviewed Site Inventory Report lists sites
that may warrant data corrections/updates or return to the active CERCLIS site inventory.
The CERCLIS application now captures archive designations by automatically
generating an archive action and completion date when the Archive Date field is
populated. In addition, a site unarchived action and completion date is generated when
the archive date or indicator is deselected (i.e., a decision is made to unarchive a site).
Multiple Archive Site/Site Unarchived actions may be created at a site if the archive
indicator is selected, deselected, and then selected again. Each time the archive indicator
is selected/deselected at a site, a new Archive Site or Site Unarchived action will be
created.
The archive status of a child site should match the archive status of its parent site.
October 1,2010 A-20 FY11SPIM
-------
OSWER Directive 9200.3-14-1G-V
e. Preliminary Assessments (PA) at Non-Federal Facility Sites
Definition:
A Preliminary Assessment (Action Name = Preliminary Assessment) is often the first
phase of the NPL assessment process following site discovery. The PA is used to
determine what steps, if any, need to occur next at the site. Federal, State, and local
government files, geological and hydrological data, and data concerning site practices are
reviewed to complete the PA report. An on- or off-site reconnaissance also may be
conducted, although it is not required.
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where
warranted by site conditions. An integrated removal assessment and remedial preliminary
assessment combines requirements of a both types of assessments into a single report.
There are instances when an Abbreviated Preliminary Assessment (APA) can be
performed in lieu of a standard Preliminary Assessment (PA). The October, 1999
Abbreviated Preliminary Assessment fact sheet (OSWER 9375.2-09FS) provides
information on conducting APAs and includes a checklist to help site assessors determine
whether an APA report is appropriate for a given site. The checklist or an equivalent
document can serve as documentation that the APA was completed. The APA checklist
or equivalent report must address the requirements set forth in the NCP for conducting
remedial preliminary assessments.
Once a site has been entered into the CERCLIS site inventory for remedial assessment,
an APA may be performed if the site/release:
is regulated under a statutory exclusion (e.g., petroleum);
is subject to certain limitations based on definitions in CERCLA (e.g., naturally
occurring substances in its unaltered form);
can be addressed as part of another site already in CERCLIS;
will be deferred to another program (e.g., RCRA, NRC, EPA removal) based on
existing policy considerations (follow-up confirmation of the deferral is required);
- requires no further remedial assessment; or
- will require a Superfund site inspection.
Backlogs: The Preliminary Assessment backlog consists of sites with a Non-NPL Status
of either PA start needed or PA ongoing.
Definition of Accomplishment:
PA Starts - A PA (Action Name = Preliminary Assessment) is started when the region
begins collecting data and performing other tasks related to development of the PA
report; or when the region signs a letter, form, memo, or issues a Technical Direction
Document (TDD) to the EPA contractor or State/Tribal government (where applicable),
requesting performance of a PA at a specific site or group of sites; or when EPA receives
written confirmation from a State/Tribal government that the State/Tribal government
will conduct the PA; and CERCLIS contains the actual PA start date (Actual Start) and
FY 11 SPIM A-21 October 1, 2010
-------
OSWER Directive 9200.3-14-1G-V
an action lead of: Fund-Financed (F); EPA-In House (EP); State (S); or Tribal (TR). PA
start dates are required and are used by HQ as a program measure.
APA Starts - An Abbreviated PA is started when the region begins collecting data and
performing other tasks related to development of the PA report; or when the region signs
a letter, form, memo, or issues a Technical Direction Document (TDD) to the EPA
contractor or State/Tribal government (where applicable), requesting performance of a
PA at a specific site or group of sites; or when EPA receives written confirmation from a
State/Tribal government that the State/Tribal government will conduct the PA.
PA Completions - A Preliminary Assessment (Action Name = Preliminary Assessment) is
completed when:
A PA Report has been developed by EPA; or received by the region from the
Federal contractor or State/Tribal government; and the appropriate Regional
official signs a letter, form, or memo approving the PA report. The PA actual
completion date is the date the PA report is approved; and
CERCLIS contains the actual PA completion date (Actual Complete), a valid lead
(Lead), and a decision on whether further activities are necessary in the Qualifier
field; and
The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate Regional official, and placed in the file.
A valid decision must be recorded in CERCLIS upon completion of the PA. Please refer
to Exhibit A.2 in section A.A.5 for a list of valid qualifiers for this action and a
description of each qualifier.
APA Completions - An Abbreviated Preliminary Assessment is completed when an APA
checklist or equivalent report has been completed by EPA; or received by the region from
the Federal contractor or State/Tribal government; and the appropriate Regional official
signs a letter, form, or memo approving the APA report. The APA actual completion date
is the date the APA report is approved. APA reports are tracked in CERCLIS by entering
a PA action and selecting APA as a critical indicator on the PA action SCAP Information
screen.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
Regions should attempt to complete PAs at non-Federal Facility sites listed in CERCLIS
within one year of the site discovery completion date.
Integrated removal assessment and remedial preliminary assessment reports are tracked
in CERCLIS be entering a PA action and selecting INTEGRATED RV/RMDL as a
critical indicator on the PA action SCAP Information screen. APA reports are tracked in
CERCLIS by entering a PA action and selecting APA as a critical indicator on the PA
action SCAP Information screen. PA starts and completions (Actual Start and Complete)
October 1,2010 A-22 FY11SPIM
-------
OSWER Directive 9200.3-14-1G-V
are reported site-specifically in CERCLIS. Preliminary Assessment completions at non-
Federal Facility sites is a program measure.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action Name
= Preliminary
Assessment
(PA)
Action Name
= Preliminary
Assessment
(PA)
Activity
Type
Program
Measure
Program
Measure
SPIM
Lead
F,EP,
S, TR
F,EP,
S, TR
Documentation
Required
Starts:
Letter, form, memo;
Technical Direction
Document (TDD);
Written confirmation
from a State/Tribal
government that the
State/Tribal
government will
conduct the PA.
Completions:
PA report;
Letter, form, or memo
approving the PA
report;
Site decision Form
9 100-3 in CERCLIS
or equivalent
document.
Documentation
Approval/ Date
Requirements
Starts:
Signed by region.
Date TDD is
issued.
Date EPA
receives
confirmation
Completions:
Signed by the
appropriate
Regional official.
Data Must Be Entered By
It is good management practice to
enter data regarding the event as soon
as practicable after the event occurs.
However, data must be entered prior
to the quarterly pull for the quarter in
which the event occurs. (Generally,
the quarterly pull occurs on the fifth
business day following the end of
FYQ1, FYQ2 and FYQ3, and on the
tenth business day following the end
ofFYQ4.)
It is good management practice to
enter data regarding the event as soon
as practicable after the event occurs.
However, data must be entered prior
to the end of the quarter in which the
event occurs. (Generally, the
quarterly pull occurs on the fifth
business day following the end of
FYQ1, FYQ2 and FYQ3, and on the
tenth business day following the end
ofFYQ4.)
f. Federal Facility Preliminary Assessment Reviews
Please refer to Appendix D (Federal Facility Response) of the SPIM for a description of
this activity.
g. Site Inspections (SI) at Non-Federal Facility Sites
Definition:
The SI (Action Name = Site Inspection) involves the collection of field data from a
suspected hazardous waste site to confirm or deny the presence of contamination and to
further characterize contaminants, migration pathways, and background contaminant
levels. The SI serves as a further screening activity to determine what steps, if any, need
to occur next at the site. Regions should employ Field Analytical Sampling (FAS)
techniques wherever practical during conduct of SI activities.
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where
FY 11 SPIM
A-23
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
warranted by site conditions. An integrated removal assessment and remedial site
inspection combines requirements of a both types of assessments into a single report.
Backlogs: The Site Inspection backlog consists of sites with a Non-NPL Status of either
SI start needed or SI ongoing.
Definition of Accomplishment:
SI Starts - A SI (Action Name = Site Inspection) start date at a non-Federal facility site is
defined as the date when EPA or the State/Tribal government signs a letter, memo or
form approving the site-specific SI work plan, or a Technical Direction Document (TDD)
is issued to the contractor at a site (refer to OSWER Publication #9345.1-03 FS for
further guidance on defining SI starts) and CERCLIS contains the actual SI start date
(Actual Start) and an action lead of: Fund-Financed (F); EPA-In House (EP); State (S); or
Tribal (TR). SI start dates are required.
,57 Completions - A SI (Action Name = Site Inspection) is completed when:
A SI Report has been generated by EPA; or received by the region from the
Federal contractor or State/Tribal government; and the appropriate Regional
official signs a letter, form, or memo approving the SI report. The SI actual
completion date is the date the SI report is approved; and
CERCLIS contains the actual SI completion date (Actual Complete), a valid lead
(Lead), and a decision on whether further activities are necessary in the Qualifier
field; and
The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate Regional official, and placed in the file.
A valid decision must be recorded in CERCLIS upon completion of the SI. Please refer to
Exhibit A.2 in section A.A.5 for a list of valid qualifiers for this action and a description
of each qualifier.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
Planning dates are not required for Sis. Actual start and completion dates are required for
Sis. SI starts (Actual Start) and completions (Actual Complete) are reported site-
specifically in CERCLIS. Site Inspection starts and completions at non-Federal Facility
sites are program measures.
Integrated removal assessment and remedial site inspection reports are tracked in
CERCLIS by entering a SI action and selecting INTEGRATED RV/RMDL as a critical
indicator on the SI action SCAP Information screen.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
October 1,2010 A-24 FY11SPIM
-------
OSWER Directive 9200.3-14-1G-V
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
Name =
Site
Inspection
(SI)
Activity
Type
Program
Nleasure
SPIM
Lead
F,EP,
S, TR
Documentation Required
Start:
Letter, memo, or form
approving the site-specific SI
work plan,
Technical Direction Document
(TDD).
Completion:
SI Report and
signed letter,
form, or memo Completion:
approving the SI „ . , ,
-* c? Signed by
report. Site . \
_. . . „ appropnate
Decision Form „ . r ,
9100-3 in Regl°nal
CERCLIS or an
equivalent
document.
Documentation
Approval/ Date
Requirements
Start:
Signed by EPA
r\r flip
\J1 111V
State/Tribal
government.
Issued to
contractor
Data Must Be Entered By
It is good management practice
to enter data regarding the event
as soon as practicable after the
event occurs. However, data
must be entered prior to the
quarterly pull for the quarter in
which the event
occurs. (Generally, the quarterly
pull occurs on the fifth business
day following the end of FYQ1,
FYQ2 and FYQ3, and on the
tenth business day following the
endofFYQ4.)
h. Site Reassessment
Definition:
A Site Reassessment represents the gathering and evaluation of new information on a site
previously assessed under the Federal Superfund Program to determine whether further
Superfund attention is needed. A Site Reassessment serves as a supplement to previous
assessment work, and not as a replacement for traditional assessment activities (e.g.,
Preliminary Assessment, Site Inspection). The scope of work for a Site Reassessment
activity is flexible, but will usually represent a component of a traditional site assessment
action. The intent of the Site Reassessment action is to document the expenditure of
Superfund resources on older sites where EPA has received new information or learned
that site conditions have changed. This action is also used to record further assessment
decisions made after reviewing this new site information. A brief summary of work
performed as part of the Site Reassessment action and the related site decision as a result
of this work must be documented by completing the Site Decision Form 9100-3 in
CERCLIS, or an equivalent document. Correction of site disposition decisions (i.e.,
action qualifiers) based solely on file reviews should be documented using the historical
lockout feature in CERCLIS and not as a new Site Reassessment action.
Definition of Accomplishment:
Site Reassessment Starts - A Site Reassessment (Action Name = Site Reassessment) start
is defined as the date when EPA or State/Tribal government signs a letter, memo or form
approving the site-specific Site Reassessment work plan or a TDD is issued to the
contractor at a site and CERCLIS contains the actual Site Reassessment start date (Actual
Start) and an action lead (Lead) of: Fund-Financed (F); EPA-In House (EP); State (S); or
Tribal (TR).
FY 11 SPIM
A-25
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
Site Reassessments Completions - A Site Reassessment (Action Name = Site
Reassessment) is complete when:
A Site Reassessment report has been developed by EPA, or received by the region
from the Federal contractor, or the State/Tribal government, and the appropriate
Regional official signs a letter, form, or memo approving the Site Reassessment
report. The Site Reassessment actual completion date is the date the Site
Reassessment report is approved, and
CERCLIS contains the actual Site Reassessment completion date (Actual
Complete), a valid lead (Lead), and a valid decision on whether further activities
are necessary in the Qualifier field; and
The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate Regional official, and placed in the file.
A valid decision must be recorded in CERCLIS upon completion of the Site
Reassessment. Please refer to Exhibit A.2 in section A. A. 5 for a list of valid qualifiers for
this action and a description of each qualifier.
Changes in Definition FY10-FY11:
None.
Special Planning/Reporting Requirements:
Planning dates are not required for Site Reassessment. Actual start and completion dates
are required for Site Reassessment. Site Reassessment starts (Actual Start) and
completions (Actual Complete) are reported site-specifically in CERCLIS. Site
Reassessment starts and completions are program measures for non-Federal facilities.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
SPIM Action/
Activity
Action Name =
Site
Reassessment
(00)
Activity
Type
Program
Measure
SPIM
Lead
F,EP,
S, TR
Documentation
Required
Start:
Letter, memo, or
form approving the
site-specific work
plan or a TDD is
issued.
Completion:
Site Reassessment
report;
Letter, form, or
memo approving
the report;
Documentation
Approval/ Date
Requirements
Start:
Signed by the
Hr A Or
State/Tribal
government.
Completion:
Signed by
appropriate
Regional official.
Data Must Be Entered By
It is good management practice to enter
data regarding the event as soon as
practicable after the event occurs.
However, data must be entered prior to
the quarterly pull for the quarter in
which the event occurs. (Generally, the
quarterly pull occurs on the fifth
business day following the end of
FYQ1, FYQ2 and FYQ3, and on the
tenth business day following the end of
r YQ4.)
October 1,2010
A-26
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
SPIM Action/
Activity
Activity
Type
SPIM
Lead
Documentation
Required
Site Decision Form
9100-03, or an
equivalent
document.
Documentation
Approval/ Date
Requirements
Data Must Be Entered By
i. Expanded Site Inspections (ESI) at Non-Federal Facility Sites
Definition:
The ESI (Action Name = Expanded Site Inspection) collects additional data beyond that
collected in the SI to evaluate the site for HRS scoring. ESIs are reserved for more
complex sites that cannot be adequately characterized using standard SI methodologies.
Installation of groundwater monitoring wells is typical of activities performed under the
ESI.
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where
warranted by site conditions. An integrated removal assessment and expanded site
inspection combines requirements of a both types of assessments into a single report.
Regions should employ FAS techniques wherever practical during ESI activities.
Backlogs: The Expanded Site Inspection backlog consists of sites where the Non-NPL
Status is either ESI start needed or ESI ongoing.
Definition of Accomplishment:
ESI Starts - An ESI (Action Name = Expanded Site Inspection) start is defined as the date
when EPA or State/Tribal government signs a letter, memo or form approving the site
specific ESI work plan or a Technical Direction Document is issued to the contractor at a
site and CERCLIS contains the actual ESI start date (Actual Start) and an action lead
(Lead) of: Fund-Financed (F); EPA-In House (EP); State (S); or Tribal (TR).
ESI Completions - An ESI (Action Name = Expanded Site Inspection) is complete when:
- An ESI Report has been developed by EPA; or received by the region from the
Federal contractor; or the State/Tribal government; and the appropriate Regional
official signs a letter, form, or memo approving the ESI report. The ESI actual
completion date is the date the ESI report is approved; and
- CERCLIS contains the actual ESI completion date (Actual Complete), a valid
lead (Lead), and a valid decision on whether further activities are necessary in the
Qualifier field; and
The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate Regional official, and placed in the file.
FY 11 SPIM
A-27
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
A valid decision must be recorded in CERCLIS upon completion of the ESI. Please refer
to Exhibit A.2 in section A.A.5 for a list of valid qualifiers for this action and a
description of each qualifier.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
Planning dates are not required for ESIs. Actual start and completion dates are required
for ESIs. ESI starts (Actual Start) and completions (Actual Complete) are reported site-
specifically in CERCLIS. ESI starts and completions are program measures for non-
Federal facilities.
Integrated removal assessment and expanded site inspection reports are tracked in
CERCLIS by entering an ESI action and selecting INTEGRATED RV/RMDL as a
critical indicator on the ESI action SCAP Information screen.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
Name =
Expanded
Site
Inspection
(ES)
Activity
Type
Program
Measure
SPIM
Lead
F,EP,
S, TR
Documentation
Required
Start:
Letter, memo, or
form approving the
site specific work
plan or
TDD
Completion:
ESI report;
Letter, form, or
memo approving
the ESI report;
Site Decision Form
9100-3 in
CERCLIS or an
equivalent
document.
Documentation
Approval/ Date
Requirements
Start:
Signed by the
EPA or
State/Tribal
government.
Issued to the
contractor at a
site.
Completion:
Signed by
appropriate
Regional official.
Data Must Be Entered By
It is good management practice to enter
data regarding the event as soon as
practicable after the event occurs.
However, data must be entered prior to
the quarterly pull for the quarter in which
the event occurs. (Generally, the quarterly
pull occurs on the fifth business day
following the end of FYQ1, FYQ2 and
FYQ3, and on the tenth business day
following the end of FYQ4.)
j. Federal Facility SI Reviews
Please refer to Appendix D (Federal Facility Response) of the SPIM for a description of
this activity
October 1,2010
A-28
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
k. Federal Facility ESI Reviews
Please refer to Appendix D (Federal Facility Response) of the SPIM for a description of
this activity.
1. Integrated Expanded Site Inspection/Remedial Investigation (ESI/RI) at Non-
Federal Facility Sites
Definition:
The integrated ESI/RI (Action Name = ESI/RI) is an assessment consisting of an ESI and
a RI. The ESI/RI is used to expedite remedial response by gathering site characterization
data common to both ESI and RI activities in one step, thereby expediting the later
collection of data when comprehensive RI activities are performed. The goal of ESI/RIs
is to save time and costs characterizing sites when compared to the traditional, sequential
ESI-NPL Listing-RI process. ESI/RIs facilitate but do not replace RIs, and are
recommended at sites where conditions indicate that the HRS score will be above 28.5
and a remedial response will be needed. The RI portion of an ESI/RI is intended to be a
site-wide activity. ESI/RIs actions should be entered into CERCLIS at operable unit 00.
ESI/RIs may not always be feasible given known site conditions and activities completed
to date. In some cases, it may be more prudent to conduct a separate ESI and RI. The
definitions for RI/FS Completion and RI Completion (see definitions in Appendix B) are
different from the definition for ESI/RI Completion. The definition of an ESI/RI
Completion is the same as that of an ESI Completion. If an ESI/RI action is recorded in
CERCLIS, a stand-alone ESI event (Action Name = Expanded Site Inspection) should
not be recorded at that site.
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where
warranted by site conditions. An integrated removal assessment and integrated ESI/RI
combines requirements of a both types of assessments into a single report.
Backlogs: The ESI/RI backlog consists of sites with a Non-NPL Status of either
Integrated ESI/RI start needed or Integrated ESI/RI ongoing.
Definition of Accomplishment:
ESI/RI Starts - ESI/RI (Action Name = ESI/RI) start date is defined as the date when
EPA approves the site-specific ESI/RI work plan and CERCLIS contains the actual
ESI/RI start date (Actual Start) and an action lead of: Fund-Financed (F); EPA-In House
(EP); State (S); or Tribal (TR).
ESI/RI Completions - An ESI/RI (Action Name =ESI/RI) is complete when:
An ESI/RI Report has been reviewed and accepted by the region and the
appropriate Regional official signs a letter, form, or memo approving the ESI/RI
report. The ESI/RI actual completion date is the date the ESI/RI report is
approved; and
FY 11 SPIM A-29 October 1, 2010
-------
OSWER Directive 9200.3-14-1G-V
- The following has been recorded in CERCLIS: the actual ESI/RI completion date
(Actual Complete); a valid lead (Lead); and a decision on whether further
activities are necessary in the Qualifier field; and
The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate Regional official, and placed in the file.
A valid decision must be recorded in CERCLIS upon completion of the ESI/RI. Please
refer to Exhibit A.2 in section A.A.5 for a list of valid qualifiers for this action and a
description of each qualifier.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
Planned start and completion dates are not required for ESI/RIs. Actual start and
completion dates are required for ESI/RIs. ESI actions (Action Name = Expanded Site
Inspection) should not be recorded separately in CERCLIS if they are conducted as part
of an ESI/RI. ESI/RI starts and completions at non-Federal Facility sites are program
measures.
An integrated removal assessment and ESI/RI report is tracked in CERCLIS by entering
an ESI/RI action and selecting INTEGRATED RV/RMDL as a critical indicator on the
ESI/RI action SCAP Information screen.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
Name =
ESI/RI :
SS
Activity
Type
Program
Measure
SPIM
Lead
F,EP,
S, TR
Documentation
Required
Start:
Site-specific
ESI/RI work plan.
Completion:
Letter, form, or
memo approving
the ESI/RI report;
Site Decision
Form 9100-3, or
an equivalent
document.
Documentation
Approval/ Date
Requirements
Start:
Approved by
EPA.
Completion:
Signed by
appropriate
Regional official
Data Must Be Entered By
It is good management practice to enter data
regarding the event as soon as practicable
after the event occurs. However, data must
be entered by prior to the quarterly pull for
the quarter in which the event
occurs.(Generally, the quarterly pull occurs
on the fifth business day following the end of
FYQ1, FYQ2 and FYQ3, and on the tenth
business day following the end of FYQ4.)
October 1,2010
A-30
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
m. State Deferral of Non-Federal Facility Sites
Definition:
State Deferral (Action Name = State Deferral) is an administrative mechanism enabling
States and Tribes, under their own laws, to respond at sites in the CERCLIS inventory
that EPA would otherwise not soon address. Under the State Deferral program, EPA
anticipates that responses may be quick and efficient, yet still be protective of the
environment and of communities' rights to participate in the decision-making process.
Refer to the Guidance on Deferral of NPL Listing Determinations While States Oversee
Response Actions (OSWER Directive 9375.6-11, May 1995) for additional information
on this program.
Backlogs: The State Deferral backlog consists of CERCLIS sites with a Non-NPL Status
of Deferral of NPL listing decision while States oversee response.
Definition of Accomplishment:
State Deferral Starts - The State Deferral (Action Name = State Deferral) process start is
defined as the date when the Regional Superfund program director and the State program
director sign a document deferring the site to the State under the terms established in the
deferral guidance. A State Deferral action must be recorded in CERCLIS with an action
lead (Lead) of State Deferral (SD). State deferrals are applicable only to non-Federal
facility sites that are not on the NPL.
State Deferral Completions The State Deferral (Action Name = State Deferral)
completion date is defined as either: 1) the signature date of a formal regional document
confirming that the deferral has been completed successfully, or terminating the deferral
agreement; or 2) 90 days after the date EPA receives State certification that the deferral
has been completed. The outcome (Qualifier) of the State deferral must be entered with
the completion date.
Valid decisions (Qualifiers) must be recorded in CERCLIS upon completion of the State
Deferral. Please refer to Exhibit A.2 in section A.A.5 for a list of valid qualifiers for this
action and a description of each qualifier.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
Six SubActions can be entered for the State Deferral action to generically capture the
different cleanup phases a site may be undergoing. These SubActions include:
1. Comprehensive Site Investigation (SubAction Name = Comprehensive Site
Investigation)
2. Remedy Selection (SubAction Name = Remedy Selection);
3. Design (SubAction Name = Design);
4. Construction (SubAction Name = Construction);
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OSWER Directive 9200.3-14-1G-V
5. Post-Construction Maintenance (SubAction Name = Post Construction
Maintenance); and
6. Short Term Cleanup (SubAction Name = Short Term Cleanup)
SubAction start and completion dates and SubAction lead codes are available for
documenting the start and completion of the different cleanup phases being conducted at
non-NPL sites by non-EPA parties.
Planned start and completion dates are not required for State Deferral actions. Actual start
and completion dates are required. Sites successfully completing the deferral process are
eligible for archiving (removal) from the CERCLIS inventory. State Deferral starts and
completions are program measures.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
Name =
State
Deferral
(AQ)
Activity
Type
Program
-Measure
SPIM
Lead
SD
Documentation
Required
Start:
Document deferring the
site to the State.
Completion:
Formal regional
document confirming
that the deferral has
been completed
successfully, or
terminating the deferral
agreement; or
State certification that
the deferral has been
completed.
Documentation
Approval/ Date
Requirements
Start:
Signed by Regional
Superfund program
director and State
program director.
Completion:
Signature
Received by EPA.
Data Must Be Entered By
It is good management practice to
enter data regarding the event as soon
as practicable after the event occurs.
However, data must be entered prior
to the quarterly pull for the quarter in
which the event occurs. (Generally,
the quarterly pull occurs on the fifth
business day following the end of
FYQ1, FYQ2 and FYQ3, and on the
tenth business day following the end
ofFYQ4.)
n. Hazard Ranking System Package (HRS)
Definition:
The HRS Package (Action Name = HRS Package) documents a numeric score of the
relative severity of a hazardous substance release or potential release based on: (1) the
relative potential of substances to cause hazardous situations; (2) the likelihood and rate
at which the substances may affect human and environmental receptors; and (3) the
severity and magnitude of potential effects. The HRS Package also includes references
and documentation in support of the score. The score is computed using the revised
Hazard Ranking System (HRS). Regions are responsible for preparing HRS packages for
both Federal and non-Federal facility sites. Regions submit a draft version of the HRS
October 1,2010
A-32
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
package to HQ for quality assurance review. Regions and HQ work together to address
issues and agree on a final version of the HRS package. Based on results of the
completed HRS package and other factors, regions determine what next steps, if any, are
appropriate for a site (e.g., NPL listing, NFRAP, etc.)
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where
warranted by site conditions. An integrated removal assessment and HRS Package
combines requirements of both types of assessments into a single report.
Backlogs: The HRS backlog consists of sites having Non-NPL Status of either HRS start
needed or HRS ongoing.
Definition of Accomplishment:
HRS Package Starts - An HRS Package (Action Name = HRS Package) start is defined
as the date when EPA signs a memo, form, or letter requesting development of a HRS
Package for a specific site and CERCLIS contains the actual HRS Package start date
(Actual Start) and a valid action lead of Fund-Financed (F); EPA-In House (EP); State
(S); or Tribal (TR). HRS Package start dates are required for both Federal and non-
Federal facility sites, and are used to identify the status of sites in the site assessment
pipeline and to measure activity durations. Due to the pre-decisional nature of HRS
packages, regions may postpone entry of HRS start dates until after the HRS package has
gone through HQ quality assurance review or after the site has been proposed to the NPL.
HRS Package Completions - An HRS Package (Action Name = HRS Package) is
complete when:
- An HRS Package has completed HQ quality assurance review and HQ and the
region agree to a final version, or an HRS package has completed regional quality
control review and the HRS package will not be submitted to HQ for quality
assurance review; and
The following has been recorded in CERCLIS: the approval date for the final
version of the HQ QA reviewed (if submitted to HQ) or regional QC reviewed (if
not submitted to HQ) HRS Package date or the NPL Proposal publication date as
the actual HRS Package completion date (Actual Complete), a lead (Lead), and a
decision on whether further activities are necessary in the Qualifier field. Since
HRS packages are pre-decisional, entry of HRS Package completion dates in
CERCLIS may be delayed until after the site is proposed to the NPL, if
applicable; and
The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate Regional official, and placed in the file.
Note: Submission of HRS Packages to HQfor technical assistance does not represent an HRS Package
completion.
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OSWER Directive 9200.3-14-1G-V
A valid decision must be recorded in CERCLIS upon completion of the HRS Package.
Please refer to Exhibit A.2 in section A.A.5 for a list of valid qualifiers for this action and
a description of each qualifier.
Changes in Definition FY10 - FY11
None.
Special Planning/Reporting Requirements:
Planned start and completion dates are not required for HRS Packages. Actual start and
completion dates are required for HRS Packages. HRS Package starts and completions at
both Federal and non-Federal Facilities are program measures.
Integrated removal assessment and HRS Package reports are tracked in CERCLIS by
entering an HRS Package action and selecting INTEGRATED RV/RMDL as a critical
indicator on the HRS Package action SCAP Information screen.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
Name =
HRS
Package
(HR)
Activity
Type
Program
Measure
SPIM
Lead
F,EP,
S, TR
Documentation
Required
Start:
Letter, form, or
memo requesting
site specific
development of a
HRS Package
Completion:
Site Decision Form
9100-3, or an
equivalent
document.
Documentation
Approval/ Date
Requirements
Start:
EPA signature.
Completion:
Signed by
appropriate
Regional official.
Data Must Be Entered By
It is good management practice to enter
data regarding the event as soon as
practicable after the event occurs.
However, data must be entered prior to the
quarterly pull for the quarter in which the
site is proposed to the NPL.(Generally, the
quarterly pull occurs on the fifth business
day following the end of FYQ1, FYQ2 and
FYQ3, and on the tenth business day
following the end of FYQ4.)
o. NPL Listing
Definition:
The NPL is a list of national priorities among the known or threatened releases of
hazardous substances, pollutants, or contaminants throughout the United States and trust
territories. There are three mechanisms for placing sites on the NPL for possible remedial
action:
A site may be included on the NPL if it scores sufficiently high on the Hazard
Ranking System (HRS). The HRS serves as a screening device to evaluate the
relative threat that uncontrolled hazardous substances pose to human health or the
environment. As a matter of Agency policy, those sites that score 28.50 or greater
on the HRS are eligible for the NPL.
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FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
- Each State may designate a single site as its top priority to be listed on the NPL,
regardless of the HRS score.
Certain sites may be listed regardless of their HRS score, if all of the following
conditions are met:
» The Agency for Toxic Substances and Disease Registry (ATSDR) of the U.S.
Public Health Service has issued a health advisory that recommends
dissociation of individuals from the release; and
* EPA determines that the release poses a significant threat to public health; and
» EPA anticipates that it will be more cost-effective to use its remedial authority
than to use its removal authority to respond to the release.
Backlogs: In general, the backlog for proposing sites to the NPL consists of sites having a
Non-NPL Status of HRS Package Completed - Further Evaluation Needed.
Definition of Accomplishment:
Proposed NPL Listing - The process of proposing a site for placement on the NPL is
complete (Actual Complete date) when a Proposed Rule proposing the site to the NPL
(Action Name = Proposal to NPL) is published in the Federal Register.
Removal of Proposed NPL Listing - The process of removing a site from the list of
proposed NPL sites starts (Actual Start date) when a proposal to remove the site is
published in the Federal Register and is complete (Actual Complete date) when final
notice of the removal is published in the Federal Register (Action Name = Removed from
the Proposed NPL).
Final NPL Listing - The listing process for a site is complete (Actual Complete date)
when a Final Rule adding the site to the NPL (Action Name = Final Listing on NPL) is
published in the Federal Register.
Withdrawn from the Final NPL - The process of withdrawing a site is complete (Actual
Complete date) when a Final Rule withdrawing the site (Action Name - Withdrawn from
the NPL) is published in the Federal Register.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
HQ will update the following CERCLIS data when Proposed and/or Final NPL rules are
published in the Federal Register;
- CERCLIS Site Name;
- Federal Register Site Name (for historical record keeping purposes should the
CERCLIS site name change);
NPL listing action (Proposal to NPL, Removed from Proposed NPL, Final Listing
on NPL, and Withdrawn from the NPL;
NPL listing action actual completion date and action lead of Fund-financed (F);
FY 11 SPIM A-35 October 1, 2010
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- The NPL Status of Proposed for NPL (P), Removed from list of proposed NPL
sites (R), Currently on Final NPL (F), and Withdrawn from NPL (W);
Federal Docket Management System (FDMS) number, if not already assigned;
The FAD Date will be added to the site and any associated child sites using the
date of NPL proposal (this automatically checks the FAD box);
The ERS Exclusion will be unchecked at the site and any associated child sites
(when proposed);
- The Non-NPL Status and date fields will be deleted (when proposed);
- The Federal Register date, volume, and page; and
- The Federal facility status.
NOTE: Further information on Deletion and Partial Deletion from the NPL can be found in Appendix
B of this Manual. NPL Listing is a program measure.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action name
= Proposal
to NPL (NP)
Removed
from the
Proposed
NPL(NR)
Final Listing
on the NPL
(NF)
Withdrawn
from the
NPL (TW)
Activity
Type
Program
Measure
SPIM
Lead
F
Documentation
Required
Proposed Rule
proposing the site
to the NPL.
Start:
Proposal to
remove the site.
Complete:
Final notice of the
removal.
Final Rule adding
the site to the
NPL.
Final Rule
withdrawing the
site.
Documentation
Approval/ Date
Requirements
Published in the
Federal Register.
Data Must Be Entered By
It is good management practice to enter
data regarding the event as soon as
practicable after the event occurs.
However, data must be entered prior to the
quarterly pull for the quarter in which the
event occurs. (Generally, the quarterly pull
occurs on the fifth business day following
the end of FYQ1, FYQ2 and FYQ3, and on
the tenth business day following the end of
FYQ4.)
p. Other Cleanup Activity (OCA)
Definition:
This action is used to document cleanup work at non-NPL sites being conducted by non-
EPA parties without EPA enforcement or oversight. Regions should discuss cleanup
progress of OCA State-lead sites with their state counterparts on an annual basis.
Definition of Accomplishment:
OCA Starts - An OCA (Action Name = Other Cleanup Activity) start date is defined as
the date EPA acknowledges that the site is being cleaned up by a non-EPA party as
supported by documentation between EPA and the non-EPA party leading the cleanup.
Valid leads for Other Cleanup Activity are: State Enforcement (SE), PRP Lead Under
State (SR), State (S), No Fund Money (SN), Tribal (TR), Federal Facility (FF), PRP
Response Under State (PS), and PRP (RP).
October 1,2010
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FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
OCA Completions - An OCA (Action Name = Other Cleanup Activity) completion date
is defined as either: l)the date EPA receives documentation from the non-EPA party that
the site has been cleaned up in accordance with all applicable standards and
requirements; or 2) the date EPA determines cleanup work will not be completed by the
non-EPA party. The date the documentation is received or determination is made is
entered into CERCLIS as the actual completion date of the OCA; and
The decision is documented by completing the Site Decision Form 9100-3 in CERCLIS,
or an equivalent document. The decision document must be printed, signed by the
appropriate regional official, and placed in the site file.
Valid decisions to be recorded in CERCLIS upon completion of the OCA include:
(H) - High - Higher priority for further assessment; or
(L) - Low - Lower priority for further assessment; or
(N) - No further remedial action planned; or
- (D) - Deferred to RCRA (Subtitle C); or
- (DN) - Deferred to NRC; or
(A) - Site is being addressed as part of an NPL site. A site having an event
qualifier of Collapsed should have an NPL Status indicator (Site NPL Status) of A
and a valid value in the Site Parent ID field; or
- (F) - Referred to the removal program with further remedial assessment needed;
or
(W) - Referred to the removal program with no further remedial assessment
needed.
Changes in Definition FY10 - FY11:
Deleted text on recording FADs at OCA sites.
Special Planning/Reporting Requirements:
The following six Sub Actions can be entered under the Other Cleanup Activity Action to
generically capture the different cleanup phases a site may be undergoing.
1. Comprehensive Site Investigation (SubAction Name = Comprehensive Site
Investigation)
2. Remedy Selection (SubAction Name = Remedy Selection);
3. Design (SubAction Name = Design);
4. Construction (SubAction Name = Construction);
5. Post-Construction Maintenance (SubAction Name = Post Construction
Maintenance); and
6. Short Term Cleanup (SubAction Name = Short Term Cleanup).
SubAction start and completion dates and SubAction lead codes are available for
documenting the start and completion of the different cleanup phases being conducted at
non-NPL sites by non-EPA parties.
FY 11 SPIM A-37 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
The following action qualifiers are available for these Sub Actions:
(H) - High - Higher priority; and
(L) - Low - Lower priority; and
(Blank) - No qualifier specified.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system automatically calculates a new value for this field based on the
traditional sequence of site assessment work. Regions must confirm or change this value
as appropriate.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
name -
Other
Cleanup
Activity
(VA)
Activity
Type
Program
Measure
SPIM
Lead
SE, SR,
S,SN,
TR, FF,
PS, RP
Documentation
Required
Start:
Documentation
between EPA and
the non-EPA party
leading the cleanup.
Documentation
Approval/ Date
Requirements
Start:
EPA acknowledges the
site is being cleaned up
by a non-EPA party.
Completion:
Date the non-EPA party
completes/completed
cleanup work at a non-
NPL site.
Data Must Be Entered By
It is good management practice
to enter data regarding the event
as soon as practicable after the
event occurs. However, data
must be entered prior to the
quarterly pull for the quarter in
which the event occurs.
(Generally, the quarterly pull
occurs on the fifth business day
A.A.I 1 Tribal Inventory Information
a. Native American Interest
The Native American Interest checkbox is available on the Add Site screen and Site
Status and Description/Operable Units screen. 'Yes' should be selected from the drop
down for all tribal sites and indicates that the site is or may be of interest to one or more
Native American entities whose members or land is directly affected by the release.
b. Associating site to an American Indian Tribe/Alaskan Native Entity
The Select/Associate Tribe screen in CERCLIS is used to identify the specific Indian
entity (e.g., American Indian Tribe or Alaskan Native Corporation) entity associated with
the site. This screen allows users to associate one or more American Indian tribes and/or
Alaskan Native entities to a site. The tribes available for selection represent the official
list of federally recognized tribes as defined in the Tribal Identifier Data Standard.
Associating an Indian entity to a site may be done at any point in the pipeline. Users may
associate an Indian entity to a site when the site is first added to CERCLIS, when an
activity occurs at the site where the Indian entity is the lead or signs an agreement, or at
any other time that an Indian entity shows interest in the activities at the site.
October 1,2010
A-38
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
On Tribal Property
The On Tribal Property field is used on the Select/Associate Tribe screen to indicate
whether the release is on the Tribe's property. This includes Indian country and any other
land owned by an Indian Tribe or an Alaskan Native Corporation.
TASWER Survey Site
The Special Initiative Indicator "TASWER Survey Site" is populated by HQ and used to
track progress on sites included in the Tribal Association for Solid Waste and Emergency
Response (TASWER) inventory of Tribal sites submitted to EPA in FY2004.
Tribal Action Lead Codes
There are two tribal lead codes available for actions on the project schedule: Tribal Lead,
Fund Financed (TR) and Special Account Financed Action - Tribal Govt. Action leads
are defined on the Project Schedule screen and are specific to an action on the schedule.
A.B SUBJECT MA TTER EXPERTS
The following table identifies the subject matter experts for Appendix A: Site Assessment
and NPL Listing Decisions.
EXHIBIT A.3. SUBJECT MATTER EXPERTS
Subject Matter Expert
Randy Hippen
Renee Hamilton
Subject Area
Site Assessment/NPL Listing
SPIM Lead
Phone #
(703) 603-8829
(703) 603-9092
Email
hippen.randv(8),epa. sov
hamilton. renee(8),epa. sov
FY 11 SPIM
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October 1,2010
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OSWER Directive 9200.3-14-1G-V
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OSWER Directive 9200.3-14-1G-V
Superfund Program Implementation Manual FY 11
Appendix B: Response Actions
FY 11 SPIM October 1, 2010
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OSWER Directive 9200.3-14-1G-V
APPENDIX B: Response Actions
Table of Contents
B.A Current Program Priorities B-l
B.A.I Protect Human Health and the Environment B-l
a. Pipeline Management Review/RA Construction B-l
b. Construction Completion B-2
c. Superfund Alternative Approach (SAA) Settlements B-3
d. Agency for Toxic Substances and Disease Registry B-3
B.A.2 Maximize Program Effectiveness and Efficiency B-4
a. Remedial Action Project Completions at National Priority List Sites B-4
b. Innovative Technologies B-6
c. Effective Contract Management B-6
d. Superfund Redevelopment Initiative B-7
e. Cross-Program Revitalization Measure B-8
f Cross-Program Revitalization Measures (CPRM) Indicators B-9
B.B FY11 Response Targets andMeasures B-12
B.B.I Remedial Action and Federal Facilities Response Action Target/Measures B-12
B.B.2 Response Action Definitions B-13
Part I. Remedy Selection B-13
a. Remedial Investigation (RI) Starts (NPL & Superfund Alternative) B-l 3
b. Feasibility Study (FS) Starts (NPL & Superfund Alternative) B-l 6
c. Combined RI/FS Start (NPL & Superfund Alternative) B-20
d. Treatability Studies B-23
e. Start of Public Comment Period (Proposed Plan to Public) (NPL & Superfund
Alternative) B-24
f. RI/FS Duration (NPL & Superfund Alternative) B-25
g. Engineering Evaluation/Cost Analysis (EE/CA) B-26
h. Decision Documents Developed 5-27
/'. Final Remedy Selected B-32
Part II. Remedial Implementation B-34
j. Removal Starts -Please see Appendix F B-34
k. Remedial Design (RD) Start (NPL & Superfund Alternative) B-34
1. RD Completion (NPL & Superfund Alternative) B-37
m. Remedial Action (RA) Start (NPL & PRP-lead Superfund Alternative) B-38
n. RA Contract Award (NPL & PRP-lead Superfund Alternative) B-46
o. Start of On-Site Construction B-47
p. Operational and Functional (O&F) B-50
q. Completion of a Response Action (NPL & PRP-lead Superfund Alternative) B-52
r. Construction Completion (NPL & PRP-lead Superfund Alternative) B-55
Part III. Post Construction Completion B-56
s. Long-Term Response Action (LTRA and PRP LR) (NPL & PRP-lead Superfund
Alternative) B-56
t. Operation and Maintenance (O&M) B-59
u. Cleanup Goals Achieved B-61
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OSWER Directive 9200.3-14-1G-V
v. Ground Water Monitoring B-62
w. NPL Site Completions B-64
x. Five Year Reviews B-65
y. Partial NPL Deletion B-68
z. Final NPL Deletion B-70
Part IV. Cross Program Revitalization Measures (CPRM) B-71
aa. Sitewide Ready for Anticipated Use 5-77
bb. Protective for People Under Current Conditions (PFP) B-73
cc. Ready for Anticipated Use (RAU) B-75
Part V. Environmental Indicators E-77
dd. Human Exposure Under Control 5-77
ee. Migration of Contaminated Ground Water Under Control B-83
ff. Populations Protected B-85
gg. Cleanup Volume B-86
Part VI. Support Activities B-87
hh. Support Agency Assistance B-87
ii. Technical Assistance B-88
B.C Subject Matter Experts. B-89
List of Exhibits
Exhibit B.I. Response Action Activities B-12
Exhibit B.2. Human Exposure Evaluation Flowchart B-81
Exhibit B.3. Superfund Migration of Contaminated Ground Water Under Control Worksheet B-84
Exhibit B.4. Subject Matter Experts B-89
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OSWER Directive 9200.3-14-1G-V
APPENDIX B: RESOPONSE ACTIONS
B.A CURRENT PROGRAM PRIORITIES
B.A.I Protect Human Health and the Environment
Protection of human health and the environment remains the highest priority for the
Superfund Program. EPA will continue to address the worst sites first while balancing the need
to complete response actions at sites. The Agency will ensure that available resources are
disbursed in a fiscally sound manner. Maximizing Potentially Responsible Party (PRP)
involvement remains a high priority.
a. Pipeline Management Review/RA Construction
As the Superfund program has matured, more sites have advanced to the construction
phase. Superfund construction projects are technically complex and costly, and the
growth in the number, size, duration and cost of these projects over time has resulted in a
backlog of construction projects awaiting funding. Superfund cleanups directly support
the Agency goal of ensuring that the Nation's land is protected.
Funding for Superfund construction projects is critical to achieving risk reduction and
construction completion measures. Although funding levels for the program have
remained relatively stable in recent years, the cost of the Superfund construction projects
underway and those awaiting funding is increasing. As a result, a backlog of projects
ready to begin construction but awaiting funding has developed.
The Agency is continuing the following internal actions to address the shortfall in
funding by:
1. Reviewing the scope, budget and schedule of ongoing construction projects to
ensure available resources are directed where they are immediately needed,
2. Reviewing construction start candidates to ensure that sites that present an
immediate risk to human health are addressed, while balancing the programmatic
need to complete construction at other sites,
3. Emphasizing enforcement first to maximize the involvement of responsible
parties in conducting cleanups, and making financial assurance arrangements to
protect against the risk of default by a liable party on closure or clean-up
obligations,
4. Aggressively pursuing alternative sources of funding to supplement annual
appropriations. These include unexpended funds in program contracts and other
funding agreements, and responsible party settlement resources that are available
and can be used to finance response actions. EPA will use deobligated funds for
remedial work at high priority sites.
The first priorities for response funding are classic emergencies and actions necessary to
address immediate threats to human health. Ongoing RAs, mixed funding, and mixed
work projects receive priority for funding over new cleanup work. New Fund-financed
cleanup work (with the exception of emergency and time-critical removal actions) will be
FY 11 SPIM B-l October 1, 2010
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OSWER Directive 9200.3-14-1G-V
subject to priority ranking by the National Risk-Based Priority Panel and will be screened
to ensure actions have been taken to compel all appropriate PRPs to conduct the cleanup.
The Panel consists of representatives from each region and HQ (OSRTI and OSRE) and
utilizes a risk-based environmental priority setting approach. New cleanup work is
funded based on actual or potential risks to human health and the environment as well as
the need to maintain construction progress. Determination on whether a project represents
new or ongoing work will be made by the Panel. New cleanup work consists of large
removal actions that exceed funding levels available within a region's baseline removal
budget, as well as cleanup construction activities at sites. The panel meets one or more
times a year for evaluation of projects.
b. Construction Completion
As a result of the increase in construction completion sites, the post construction
workload required to ensure that the Superfund response actions remain protective of
human health and the environment is also increasing. Post construction encompasses a
number of discrete but related activities including: Five-Year Reviews; implementation,
monitoring and enforcement of institutional controls; operation and maintenance long-
term response actions; optimization of remedies; and deletion of sites from the NPL.
EPA, states, Federal facilities, PRPs, local governments and communities all play an
integral role in performing post construction activities. Five-Year Reviews are required
by statute and program policy, generally when residual contamination remains on site
after cleanup, or when remedies require more than five years to complete. Five-Year
Reviews provide an opportunity to evaluate remedies, identify problems or deficiencies,
and recommend adjustments to operations and maintenance where necessary.
Institutional controls are administrative and/or legal mechanisms intended to minimize
the potential for exposure to contamination and protect the integrity of a remedy.
Examples of institutional controls include zoning restrictions, excavation and building
permits, easements, covenants, deed notices, and advisories. Although institutional
controls are recognized as critical remedy components, the challenge is that they are often
implemented, monitored and enforced by entities other than those responsible for the
cleanup. As a matter of policy, institutional controls are necessary if a site cannot support
unlimited use and unrestricted exposure due to residual contamination and/or there are
engineered remedy components that may be damaged by uncontrolled future site
activities. Institutional controls can be used at any point in the cleanup; however,
implementation frequently lags behind the completion of physical construction.
Institutional controls do not need to be in place to achieve construction completion, but
delays in implementing institutional controls will impact the ability to delete sites from
the NPL. Institutional controls do need to be in place to delete sites from the NPL. In
addition, per the 2007 Guidance for Documenting and Reporting Performance in
Achieving Land Revitalization and Guidance for Documenting and Reporting the
Superfund Sitewide Ready for Anticipated Use Measure, all institutional or other controls
required in the Record of Decision or other remedy decision documents must be in place
for a site to qualify for the Ready for Anticipated Use (RAU) performance measure.
Operation and maintenance (O&M) is an important component of a Superfund response.
Actions range from maintaining engineering containment structures (e.g., landfill covers)
October 1,2010 B-2 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
to operating ground water remediation systems. O&M is the responsibility of the Federal
facility, PRP or state. EPA is responsible for assuring that the work is adequately
performed for the life of the project. One exception is for Fund-financed ground water
restoration systems where EPA retains operating responsibility for up to ten years (called
Long Term Response Actions (LIRA)) prior to transferring the system to the state.
Once ground water remediation systems have been operating, opportunities may exist to
optimize or more efficiently operate the system. EPA conducted pilot optimization
studies and in August 2004, issued the Action Plan for Ground Water Remedy
Optimization. Optimization reviews can help provide assurances that these systems are
operating efficiently prior to transfer to the state for long term operations. Optimization
protocols also can be made available to PRPs and Federal facilities.
Sites can be deleted from the NPL once all response actions are complete, including
implementation of institutional controls, and all cleanup levels have been achieved.
c. Superfund Alternative Approach (SAA) Settlements
The category of "Superfund Alternative Approach (SAA) Settlements" has been
identified in OSWER 9208.0-17, "Revised Response Selection and Settlement Approach
for Superfund Alternative Sites", a directive issued on June 17, 2004, by OSRE and
OSRTI. In order to provide accurate reporting of work and appropriate credit to EPA
regions for cleanup of non-NPL sites as well as NPL sites, sites with SAA settlements
have been defined in the SPIM since September 16, 2002.
For purposes of this appendix, references to remedial pipeline activities [i.e., Remedial
Investigation (RI), Feasibility Study (FS), Combined RI/FS, Remedial Design (RD),
Remedial Action (RA)] at sites with SAA agreements apply only to those PRP-lead
activities at sites that the region has determined would achieve a Hazard Ranking System
(HRS) score greater than or equal to 28.5 and will need long term response action. Such
response actions must be carried out in a manner consistent with the National
Contingency Plan (NCP). Sites proposed to the NPL may be included in this category.
Regions should maintain adequate site documentation to support the "SAA settlement"
designation based on the criteria referenced above. Regions should seek PRP-lead for all
remedial pipeline activities at sites with SAA settlements; these sites must be PRP-lead
for RAs. Credit for PRP-lead remedial pipeline activities at sites with SAA agreements
will only be given for activities conducted pursuant to an enforceable agreement. Sites
that meet these criteria should be identified in CERCLIS using the special initiative
indicator of "SAA settlement" and Regions should notify and provide a copy to
OSRE/OECA when a new SAA settlement is signed. The measures outlined below for
remedial pipeline activities at sites with SAA settlements are established with the intent
of capturing environmental progress. Their establishment is not intended to affect
established priorities for response resource allocation.
d. Agency for Toxic Substances and Disease Registry
Superfund has a close working relationship with the Agency for Toxic Substances and
Disease Registry (ATSDR), the lead public health agency responsible for implementing
the health-related provisions of CERCLA. ATSDR's mission is to serve the public by
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using the best science, taking responsive public health actions, and providing trusted
health information to prevent harmful exposure and disease related to toxic substances.
ATSDR is charged with assessing health hazards at specific Superfund sites, helping to
prevent or reduce exposure and the illnesses that result, and increasing knowledge and
understanding of the health effects that may result from exposure to hazardous
substances. ATSDR works closely with state, local, and other federal agencies to reduce
or eliminate harmful health effects that are related to exposure to toxic substances at
waste disposal and spill sites.**
ATSDR's mission is supported by five goals, which are included in the agency's 5-year
strategic plan for 2002 through 2007. These goals are as follows:
Goal 1C Prevent ongoing and future exposures and resultant health effects from
hazardous waste sites and releases.
Goal 2C Determine human health effects associated with exposure to Superfund-
related priority hazardous substances.
Goal 3C Mitigate the risks of human health effects at toxic waste sites with
documented exposures.
Goal 4CBuild and enhance effective partnerships.
Goal 5C Promote effective and efficient agency management. ATSDR will
continue to work closely with Superfund, collaborating to protect the public's
health and providing health-related information to help prevent harmful
exposures.
B.A.2 Maximize Program Effectiveness and Efficiency
To maximize the effectiveness and efficiency of the Superfund program during FY11,
EPA HQ and regions will work to improve the implementation of the program based on the
following processes.
a. Remedial Action Project Completions at National Priority List Sites
The Superfund Program will begin reporting on a new measure Remedial Action Project
Completions at National Priorities List Sites in F Y 2011. The new measure is intended to
augment the existing site-wide Construction Completion measure and reflect the large
amount of work being done at Superfund sties. Reporting on the new measure will
provide valuable information to communities by demonstrating incremental progress in
reducing risk to human health and the environment at sites. Additional guidance, below,
has been developed to minimize inconsistencies in the way Remedial Project Managers
manage one or more remedial action projects at a given site.
A remedial action (RA or "RA project") is the actual construction or implementation of a
discrete scope of activities supporting a Superfund site cleanup. Each RA project is
designed to achieve progress toward specific remedial action objectives (RAOs)
identified in a CERCLA remedy decision document (e.g., ROD, ROD amendment, ESD).
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Throughout the site investigation phase, the lead and support agencies should first
identify the type and optimal sequence of site activities, including whether the site may
best be addressed as a series of separate operable units (OU). The NCP (40 CFR 300.5)
defines an OU as a discrete action that comprises an incremental step in cleaning up a
site. In practice, however, an operable unit now more commonly refers to a geographical
area, contaminated medium, or chronological phase of a cleanup. The division of a site
into OUs serves to better inform stakeholders of the manner in which EPA expects to
manage the cleanup of a site.
In contrast, the RA project is the physical work carried out to address contamination at a
particular OU. Rather than refer to the descriptive area or phase of a site, the terms "RA"
or "RA project" are used synonymously to refer to the particular action implemented,
such as sediment dredging or construction of a landfill cap.
A Superfund site may consist of one or more OUs, each of which may in turn be
addressed by one or more RA projects. The number of OUs and planned projects at a site
may increase or decrease over time as knowledge of site conditions change. Both OUs
and RA projects are used to sub-divide a site into a series of smaller components that
allow for more effective management and implementation of cleanup activities. A distinct
RA project corresponds to the action level in CERCLIS. It has a definite start and
completion date as defined in Appendix B.
The appropriate division of a site into discrete operable units and projects is based on the
best professional judgment of the site manager and is often dependent on the size and
complexity of a site. Each RA should consist of an appropriate scope of activities,
developed through sound engineering and project management analysis, which contribute
to the efficient and effective achievement of an overall site cleanup strategy.
Some unique types of sites may require multiple RA projects to effectively carry out a
single remedy, including residential soil cleanups, excavation of mine waste, and
sediment dredging (among others). The approach to remediating these types of sites
typically involves the removal of very large volumes of waste over an expansive
geographic area and/or an exceptionally long period of time. In these situations, site
managers may find that implementation of the remedy is best managed as a series of
individual projects which may employ different delivery mechanisms.
Site managers should consider a variety of site-specific factors as well as programmatic
constraints when determining how to divide implementation of a remedy into projects.
For example, different parties may be funding or conducting actions at physically distinct
portions of the site, a particular property owner may deny access thereby delaying work
in some areas, or there may be large distances separating distinct waste areas. Site
managers may also consider the impact of various contract mechanisms and durations
when determining how to implement particularly large-scale remedies. The above
considerations are merely examples of issues that could exist at a site; RPMs should fully
consider the circumstances at their site to determine the most appropriate manner in
which to manage the cleanup.
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For additional details on coding and documentation requirements for remedial action
projects, see Section B.B.2.m. (remedial action starts) and Section B.B.2.q. (remedial
action completions).
b. Innovative Technologies
Environmental technology development and commercialization are a top national priority
for this Administration. EPA is committed to encouraging the use of new or innovative
technologies for the characterization and treatment of contaminated soils and ground
water. Over the next decade, the Superfund program and other federal agencies will
spend billions of dollars each year to clean up sites contaminated with hazardous wastes.
This commitment will require the use of a wide range of site remediation processes.
While existing technologies that characterize and remediate contaminated sites have been
successful, the investment in site cleanup provides new opportunities for the development
of less expensive and more effective solutions.
The Agency has made considerable progress using new technologies in Superfund. More
than half of the recent remedial cleanup decisions for source control call for technologies
that were not available when the law was reauthorized in 1986. The large cleanup needs
remaining in EPA programs, as well as the formidable future requirements for state and
other federal agencies, provide a continuing impetus to find more effective and less costly
solutions.
The unique and varying problems posed by contaminated sites present a challenge that
requires knowledge and techniques from different technical disciplines. The solutions to
these problems are not to be found in existing design manuals or standards of practice.
Rather, EPA is developing procedures as it goes along by creatively applying
technologies from various industrial applications to unique site conditions. This field of
hazardous site remediation is rapidly evolving and requires considerable effort to remain
informed of recent developments.
EPA is working with stakeholders in other federal agencies and in the private sector to
identify better, faster, and less expensive options for cleanup. EPA is documenting the
use of new treatment technologies at hazardous waste sites to benchmark current
capabilities and capture the lessons learned. In addition EPA is improving procedures that
are used for site characterization by integrating new technical advancements into practice.
The Agency is also very committed to the dissemination of information on technology
development, evaluation and deployment. Electronic information resources offer the best
hope for keeping pace with rapid developments in this field. The Clean-Up Information
(CLU-IN) web site at http://clu-in.org offers waste professionals a rich source of current
information on technologies and markets. The TechDirect monthly electronic-mail
service offers subscribers up-to-date information on new remediation technology
products and services developed by EPA.
c. Effective Contract Management
Good contract management is a Superfund priority, as well as an Agency-wide priority.
In this regard, in 1996, the Agency established a national workgroup to develop a new
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Superfund acquisition strategy for the year 2000 and beyond. The Contracts 2000
strategy was built upon the Long Term Contracting Strategy (LTCS) paradigm. The new
strategy retained two key tenets of LTCS - a one-program approach and decentralization
of contracts management to the regions - and kept the LTCS contracts infrastructure in
place.
The Contracts 2000 strategy report and implementation framework were issued in 1999.
The major goals of Contracts 2000 were: 1) balancing national consistency with regional
flexibility; 2) introducing more competition into the contracting process; 3) increasing
small, small disadvantaged, and women-owned business participation in the Superfund
contracting program; 4) adopting new contracting vehicles and methods such as
performance-based contracting, and fixed price contracting; and 5) developing
performance focused statements of work for all of the follow-on contracts.
Under Contracts 2000, the Agency awarded 76 contracts for the START (Superfund
Technical Assessment and Response Team), ERRS (Emergency and Rapid Response
Services), ESS (Enforcement Support Services), ROC (Regional Oversight Contracts),
and ESAT (Environmental Services Assistance Teams) contracts and developed a
strategy for acquiring Superfund design and construction services when the current
Response Action Contracts (RACs) expire. Thirty-one of these contracts were awarded as
8(a) or small business. Superfund contracts are mostly operated out of EPA's ten regional
offices. The next generation of Superfund contracts are being procured as these contracts
expire.
The Contracts 2000 strategy was further refined for design and construction. The RACs
are being replaced by the RACs 2 using a menu approach where regions have a choice of
several contracts: Remedial Design, Remedial Action, Full-Service, Site-Specific,
Interagency Agreements, and Cooperative Agreements. The RACs 2 are the Full-Service
contracts that are identical in scope to the RACs. The RACs 2 Lite (also known as
Architect & Engineering Services (AES)) perform the design portion, but do not include
construction in the scope. Construction is then performed using one of the other options
such as a Site-Specific contract.
d. Superfund Redevelopment Initiative
Superfund cleanups address real threats to public health and the environment and have
been instrumental in returning sites to productive uses. In the last six years, EPA has
become increasingly aware of the importance of fully exploring future use opportunities
at Superfund sites with its partners before selecting and implementing cleanup remedies.
This shift in thinking has resulted in Superfund sites, which were once thought to be
unusable, being recycled back into productive use. EPA is encouraging the reuse of
Superfund sites by working to remove barriers to site use and making cleanup decisions
that are consistent with intended reuse. Large and small businesses, shipping terminals,
community libraries, sports fields, and golf driving ranges are just a few of the many
ways in which Superfund sites are being reused following their cleanup.
EPA is working with stakeholders at Superfund sites across the country that have been
cleaned up yet remain vacant due to real or perceived barriers to their reuse. At many of
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these sites, communities, local governments, landowners, and other site stakeholders are
joining with the Agency to move forward with reuse in a manner that does not interfere
with the cleanup remedy and maintains protection of human health and the environment
at the site. These site-specific partnerships are key elements of demonstration projects for
the Agency's Return to Use (RTU) Initiative. Partnerships at RTU demonstration projects
can be as formal or informal as stakeholders wish, ranging from the most informal
arrangement between community representatives and EPA Regional representatives, to a
Memorandum of Understanding between Regional offices and local stakeholders.
- Examples of EPA's activities to support demonstration projects include:
- Making information about the sites more available, using tools such as Ready for
Reuse Determinations where appropriate;
Pointing communities to tools and resources, such as comfort letters and
involuntary acquisition fact sheets, that relate to liability issues;
Connecting communities with national organizations that have worked with EPA
on reuse issues, such as the U.S. Soccer Foundation and the Academy of Model
Aeronautics; and
Working with communities that are creating site reuse plans to explain which
activities would not affect the integrity of the remedy.
EPA intends to use the lessons learned from the initial demonstration projects to evaluate
partnership strategies, develop policy and guidance, and continue appropriate
consideration of anticipated future land use during the Superfund cleanup process.
On November 10, 2004, EPA announced the Return to Use Initiative, the next step for
SRI, aimed primarily at vacant Construction Complete sites. Eleven demo projects were
selected. Regions are now evaluating additional sites for reuse potential under this
program. Under SRI, pilot projects are selected by regions to enhance the involvement of
local governments in determining the potential future uses of Superfund sites and to
demonstrate tools that can be used to facilitate redevelopment. Approximately 30
demonstration projects have been awarded to date. All demonstration projects are being
monitored and evaluated for lessons learned and potential future program enhancements.
The other components of SRP include: revisions to policy and guidance, where needed,
and new guidance and technical tools; outreach to share information about site reuses, the
tools that can help stakeholders repeat those successes at other sites, and the reuse
potential of specific sites; and partnerships with other public and private entities with
resources or other capabilities to support the redevelopment of the sites. (Please see the
Superfund Redevelopment web site at www.epa.gov/superfund/programs/recycle/index.htm).
The reuse of Superfund sites is taking place now, and thanks to a coordinated national
effort, EPA will be accomplishing even more.
e. Cross-Program Revitalization Measure
The Federal Facilities and Superfund Programs are implementing the OSWER-wide
Cross-Program Revitalization Measures effort by tracking the number of actually or
potentially contaminated, or previously contaminated, sites and surface acres that are
"Protective for People Under Current Conditions" (PFP) and "Ready for Anticipated Use"
(RAU).
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Sites and surface acres tracked by these measures will include investigated land,
wetlands, surface water, and/or sediments for which these programs have a documented
oversight role for any necessary assessment, remedial action, and/or property transfer.
The Federal Facilities and Superfund Programs are using the current Human Exposures
Under Control Environmental Indicator as basis for determining whether sites and acres
are PFP. The PFP measure captures the number of acres at a site for which there are no
complete pathways for human exposure to unacceptable levels of contamination based on
current site conditions. In order to meet the RAU measure, sites and acres must 1) have
all cleanup goals achieved for media that may affect current and reasonably anticipated
future land uses such that there is no unacceptable risk, and 2) have all institutional or
other controls identified as part of the response action as necessary for the site's long-
term protection be properly in place and effective. The Programs are also tracking two
optional indicators, Status of Use and Type of Use. These indicators describe how the
acres are being used when the determination is made for the PFP and RAU performance
measures.
Acres and sites that meet CPRM PFP and/or RAU criteria as well as Status and Type of
Use information will be documented via a checklist and entered in CERCLIS. Acres will
be measured on an OU basis. CERCLIS has been updated to accommodate the land
revitalization measures and the changes were released in June 2007. Headquarters has
provided training opportunities, frequently asked questions, and quick reference guides
that were designed to facilitate the Regions' data collection and entry processes.
f. Cross-Program Revitalization Measures (CPRM) Indicators
Definition: The CPRM indicators and performance measures establish a similar,
consistent set of measures that can be applied across all OSWER cleanup programs.
OSRTI and FFRRO implemented the following three indicators and two performance
measures established in the March 2007 CPRM Guidance: Indicators: 1.
Status of Use Optional Indicator: The Status of Use Indicator refers to how the acres of
the sites and OUs included in the Universe Indicator are being used at the point in time
when the determination is made for the PFP and RAU performance measures. The Status
of Use Indicator has the following sub-indicators:
Continued Use: Acres in continued use refers to areas that are being used in the same
general manner as they were when the site became subject to the Superfund or Federal
Facilities Programs.
Reused: Acres at a site identified as in reuse refers to a site or OU where a new use, or
uses, are occurring such that there has been a change in the type of use (e.g., industrial to
commercial), or the property was unused and now supports a specific use. This means
that the developed site or OU is actually used for its intended purpose by customers,
visitors, employees, residents, or fauna, in the case of ecological reuse.
Planned Reuse: Acres in planned reuse include sites or OUs where a plan for a reuse is in
place, but reuse has not yet begun. This could include conceptual plans, a contract with a
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developer, secured financing, approval by the local government, or the initiation of site
redevelopment.
Unused: Acres identified as unused include sites or OUs not being used in any
identifiable manner. This could be, for example, because site investigation and cleanup
are ongoing, operations have ceased, the owner is in bankruptcy, or cleanup is complete,
but the site remains vacant. Undetermined: Acres at a site or OU that cannot be currently
identified as one of the four Statuses of Use.
The Status of Use Indicator is independent of the status of response action because it
recognizes that sites or OUs could be in various stages of use at various stages of cleanup
and because use and reuse can change.
Type of Use Optional Indicator: The Type of Use Indicator describes how acres at sites
or OUs included in the Universe Indicator are used at the point in time when the PFP or
RAU determination is made. Information on the type of use at a site or OU should be
classified under one of the following six primary categories:
Commercial
Commercial Use: Commercial use refers to use for retail shops, grocery stores, offices,
restaurants, and other businesses.
Public Service
Public Service Use: Public service use refers to use by a local or State government
agency or a non-profit group to serve citizens needs. This can include transportation
services such as rail lines and bus depots, libraries and schools, government offices,
public infrastructure such as roads, bridges, utilities, or other services for the general
public.
Agricultural Use
Agricultural Use: Agricultural use refers to use for agricultural purposes, such as
farmland for growing crops and pasture for livestock. Agricultural use also can
encompass other activities, such as orchards, agricultural research and development, and
irrigating existing farmland.
Recreational Use
Recreational Use: Recreational use refers to use for recreational activities, such as sports
facilities, golf courses, ball fields, open space for hiking /picnicking, and other
opportunities for indoor or outdoor leisure activities.
Ecological Use
Ecological Use: Ecological use refers to areas where proactive measures, including a
conservation easement, have been implemented to create, restore, protect, or enhance a
habitat for terrestrial and/or aquatic plants and animals, such as wildlife sanctuaries,
nature preserves, meadows, and wetlands.
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Industrial
Industrial Use: Industrial use refers to traditional light and heavy industrial uses, such as
processing and manufacturing products from raw materials, as well as fabrication,
assembly, treatment, and packaging of finished products. Examples of industrial uses
include factories, power plants, warehouses, waste disposal sites, landfill operations, and
salvage yards.
Military
Military Use: Military use refers to use for training, operations, research and
development, weapons testing, range activities, logistical support, and/or provision of
services to support military or national security purposes.
Other Federal
Other Federal Use: Other Federal use refers to use to support the Federal government in
Federal agency operations, training, research, and/or provision of services for purposes
other than national security or military.
Mixed
Mixed Use: Mixed use refers to areas at which uses cannot be differentiated on the basis
of acres. For example, a condominium with retail shops on the ground floor and
residential use on the upper floors would fall into this category. When selecting Mixed
Use, the individual types of uses should be identified, if possible.
Residential
Residential Use: Residential use refers to use for residential purposes, including single-
family homes, town homes, apartment complexes and condominiums, and child/elder
care facilities.
Undetermined
Undetermined: Undetermined refers to acres at a site or OU that cannot be identified as
one of the six Types of Use.
The CPRM indicators and performance measures will have their first data pull on
October 5, 2007 and will be pulled at least quarterly thereafter.
This includes those non-NPL Federal facilities (such as Base Realignment and Closure
(BRAC) or formerly Used Sites Remediation Action Program (FUSRAP) sites) and
FUDs where EPA has signed/concurred on a response action (at a minimum, completed a
Remedial Investigation/Feasibility Study (RI/FS), removal action, or other major cleanup
decision document) or a property transfer.
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B.B FY11 RESPONSE TARGETS AND MEASURES
B.B.I Remedial Action and Federal Facilities Response Action Target/Measures
The Superfund Comprehensive Accomplishments Plan (SCAP) is used by senior
Superfund managers in OSWER and OECA to monitor the progress each region is making
towards achieving the Annual Targets for its GPRA performance measures. In addition, SCAP
serves as an internal management tool to project and track Programmatic Measures and other
activities that contribute to the accomplishment of GPRA targets and support resource allocation.
The following pages contain, in pipeline order, the definitions of the FY 2011 remedial
activities, GPRA Annual Targets, Programmatic Measures, and remedial project support
activities. Exhibit B.I displays the full list of remedial activities defined in this Appendix.
Exhibit B.4 at the end of Appendix B lists the subject matter experts for each relevant subject
area.
EXHIBIT B.I. RESPONSE ACTION ACTIVITIES
ACTIVITY
Remedial Investigation (RI) Starts (NPL & Superfund Alternative)
Feasibility Study (FS) Starts (NPL & Superfund Alternative)
Combined RI/FS Starts (NPL & Superfund Alternative)
Treatability Studies
Start of Public Comment Period (Proposed Plan to Public) (NPL &
Superfund Alternative)
RI/FS Duration (NPL & Superfund Alternative)
Decision Document Developed
Final Remedy Selected
Engineering Evaluation/Cost Analysis (EE/CA)
RD Start (NPL & Superfund Alternative)
RD Completion (NPL & Superfund Alternative)
RA Start (NPL & PRP-lead Superfund Alternative)
RA Contract Award (NPL & PRP-lead Superfund Alternative)
Start of On-Site Construction
Operational and Functional (O&F)
Completion of a Response Action/ Activity (NPL & PRP-lead
Superfund Alternative)
GPRA
PROGRAM
Target
Measure
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
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ACTIVITY
NPL Site Construction Completions
Long-Term Response Action (LTRA & PRP LR) (NPL & PRP-lead
Superfund Alternative) Starts
Long-Term Response Action (LTRA & PRP LR) (NPL & PRP-lead
Superfund Alternative) Completions
Operation and Maintenance (O&M)
Cleanup Goals Achieved
NPL Site Completions
Five Year Reviews
Partial NPL Deletion
Final NPL Deletion
Sitewide Ready for Anticipated Use
Protective for People Under Current Conditions
Ready for Anticipated Use
Long-Term Human Health Protection Indicator
Migration of Contaminated Ground Water Under Control
Populations Protected
Cleanup Volumes
Support Agency Assistance
Technical Assistance
Pre-Design Assistance
GPRA
See Appendix G
See Appendix G
See Appendix G
See Appendix G
PROGRAM
Target
T
Measure
T
T
T
T
T
T
T
T
T
T
T
T
T
T
Note: Accomplishments are updated and reported on a daily basis. Selected National reports are run quarterly.
B.B.2 Response Action Definitions
PART I. REMEDY SELECTION
a. Remedial Investigation (RI) Starts (NPL & Superfund Alternative)
Definition:
The purpose of the RI is to collect data necessary to adequately characterize the site for
the purpose of developing and evaluating effective remedial alternatives. The RI provides
information to assess the risks to human health and the environment and to support the
development, evaluation, and selection of appropriate response alternatives.
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The RI may be conducted alone, as part of a site-wide integrated ESI/RI assessment, or as
a combined Remedial Investigation/Feasibility Study (RI/FS). The start of an RI/FS is a
program measure. The RI start and RI/FS start definitions are the same. Regions are not
required to enter the RI start date if the RI is being conducted as part of an ESI/RI or
RI/FS.
Obligation of funds for forward planning, community relations and/or other support
activities do not constitute a RI start. The appropriate use of Special Account funds for
remedial investigations is provided in the "Guidance on Key Decision Points in Using
Special Account Funds" dated September 28, 2001.
Definition of Accomplishment:
Fund-financed (Including F-, TR - and S-lead actions) - Credit for a Fund-financed RI
(Action Name = Remedial Investigation) start at an NPL or Superfund Alternative site is
received when funds are obligated and the actual start date (Actual Start) has been
recorded in CERCLIS. Funds are obligated when:
The contract modification or work assignment/task order for the RI has been
signed by the EPA Contracting Officer (CO); or
An IAG has been signed by the other federal agency [Bureau of Reclamation
(BUREC) or USAGE]; or
A Cooperative Agreement has been signed by the Regional Administrator or
designee to conduct a RI.
If a subsequent RI is initiated without a new obligation of funds, the start date as recorded
in CERCLIS is defined as EPA's written approval of the work plan for the subsequent RI.
PRP- financed from a Special Account (Including Special Account Financed Action
performed by EPA (SA-lead), the State (SS-lead), or Tribal Government (ST-lead)
actions) - Credit for a special account-financed RI (Action Name = Remedial
Investigation) start at an NPL or Superfund Alternative site is received when funds are
obligated and the actual start date (Actual Start) of the RI has been recorded in
CERCLIS. Funds are obligated when:
The contract modification or work assignment/task order for the RI has been
signed by the EPA Contracting Officer; or
An IAG has been signed by the other federal agency (BUREC or USAGE); or
A Cooperative Agreement has been signed by the Regional Administrator or
designee to conduct a RI.
If a subsequent RI is initiated without a new obligation of funds, the start date as recorded
in CERCLIS is defined as EPA's written approval of the work plan for the subsequent RI.
PRP-fmanced under federal enforcement (Includes RP- and MR-lead actions) - A PRP-
financed RI (Action Name = PRP RI) under federal enforcement at an NPL or Superfund
Alternative site starts when one of the following enforcement actions occurs:
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An Administrative Order on Consent (AOC), in which the Potentially
Responsible Parties (PRPs) agree to conduct the RI, is signed by the Regional
Administrator or delegate. The RI start date (Actual Start) is the date the AOC is
signed. This is reported in CERCLIS as the AOC (Action Name = Administrative
Order on Consent) completion date (Actual Complete); or
The date (Actual Complete) the PRPs provide notice of intent to comply
(SubAction Name = PRP Notify EPA of Intent to Comply) with a UAO for a RP-
lead RI signed (Actual Complete) by the designated regional official (Action
Name = Unilateral Admin Order) and the Response Act Pd by Parties of "PRP
RI"; or
A Consent Decree (CD), in which the PRPs agree to conduct the RI, is referred by
the region to Department of Justice (DOJ) or HQ. The RI start date (Actual Start)
is the date the Regional Administrator signs the memo transmitting the CD to HQ
or DOJ. This is recorded in CERCLIS as the CD (Action Name = Consent
Decree) actual start date (Actual Start).
PRP-fmanced under State enforcement (PS-lead actions) - A PRP-financed RI (Action
Name = PRP RI) under state enforcement at a NPL or Superfund Alternative site starts
when a state order or comparable enforcement document (Action Name = State Order or
State Decree), in which the PRPs agree to conduct the RI, is signed by the last
appropriate state official or party (Actual Complete) and the site is covered by one of the
following:
State enforcement Cooperative Agreement signed by the Regional Administrator;
or
Superfund Memorandum of Agreement (SMOA) signed by the appropriate state
and regional official containing a schedule for RI work at the site; or
A general SMOA signed by the appropriate state and regional officials covering
remedial work to be undertaken with schedules defined before work commences;
or
Other state/EPA agreement signed by the appropriate state and regional official.
If a subsequent RI is initiated without a new or amended AOC, CD, state order, or other
comparable state enforcement document, the start date for the RI as recorded in
CERCLIS is documented by a letter, form, or memo from EPA or the state approving the
work plan for the subsequent RI.
If an AOC, state order, or other comparable state enforcement document is amended for
the subsequent RI, the start date is the date the last state official or Regional
Administrator/delegate signs the amendment. If a federal CD is amended, the start date is
the date on which the memo transmitting the CD to HQ or DOJ is signed by the Regional
Administrator.
In-house (EP-lead action) - Credit for an in-house RI (Action Name = Remedial
Investigation) start at a NPL or Superfund Alternative site is received on the date that the
region conducts the initial RI scoping meeting. The start (Actual Start) is documented by
a memo to file containing the minutes from the meeting.
FY 11 SPIM B-15 October 1, 2010
-------
OSWER Directive 9200.3-14-1G-V
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
Regions should not enter the RI start date if the RI is being conducted as part of an RI/FS
or site-wide ESI/RI. The RI actual start date is reported site-specifically in CERCLIS. For
PRP-fmanced RIs, both the RI start (Actual Start) and the CD start (Actual Start) or
AOC, state order, or state decree or notice of intent to comply with a UAO completion
dates (Actual Complete) must be entered into CERCLIS; the RI start and enforcement
dates should be the same date. Funds for RIs and RI oversight are found in the pipeline
operations AOA. Superfund Alternative sites should be identified in CERCLIS using the
special initiatives indicator of "Superfund Alternative." This is a program measure.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action name
= Remedial
Investigation
(Rr>
(m.J
Activity
Type
Program
Measure
SPIM
Lead
F, TR,
S, SA,
SS, ST
Documentation
Required
Contract
modification or
work assignment/
task order; or An
IAG; or
Cooperative
Agreement.
Documentation
Approval/Date
Requirements
Signed by EPA
Contracting
Officer; or Signed
by other federal
agency; Signed by
Administrator or
dcsisncc
Data Must Be Entered By
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
entered prior to the quarterly pull for
the quarter in which the event
occurs. (Generally, the quarterly pull
occurs on the fifth business day
following the end of FYQ1, FYQ2
and FYQ3, and on the tenth business
day following the end of FYQ4.)
b. Feasibility Study (FS) Starts (NPL & Superfund Alternative)
Definition:
The primary objective of a FS is to ensure that appropriate remedial alternatives are
developed and evaluated such that an appropriate remedy may be selected.
The FS may be conducted alone or as part of a combined RI/FS. FS Starts and combined
RI/FS starts is a program measure. Regions should not enter the FS start date if the FS is
being conducted as part of a combined RI/FS. Obligation of funds for forward planning,
community relations and/or other support activities does not constitute an FS start.
The appropriate use of Special Account funds for feasibility studies is provided in the
"Guidance on Key Decision Points in Using Special Account Funds" dated September
28,2001.
Definition of Accomplishment:
Fund-financed (Including F, TR- and S lead actions) - Credit for a Fund-financed FS
(Action Name = Feasibility Study) start at an NPL or Superfund Alternative site is
October 1,2010
B-16
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
received when funds are obligated and the actual start date (Actual Start) is entered into
CERCLIS. Funds are obligated when:
The contract modification or work assignment/task order for the FS has been
signed by the EPA CO; or
- An IAG has been signed by the other federal agency (USAGE or BUREC); or
- A Cooperative Agreement has been signed by the Regional Administrator or his
designee to conduct a FS. If a first or subsequent FS is initiated without a new
obligation of funds, the start date as recorded in CERCLIS is defined as the date
of EPA's written approval of the work plan for the FS.
PRP- financed from a Special Account (Including Special Account Financed Action
performed by EPA (SA-lead), the State (SS-Lead), or Tribal Government (ST-lead)
actions) - Credit for a special account-financed FS (ActionName = Feasibility Study) start
at a NPL or Superfund Alternative site is received when funds are obligated and the
actual start date (Actual Start) is entered into CERCLIS. Funds are obligated when:
The contract modification or work assignment/task order for the FS has been
signed by the EPA Contracting Officer; or
An IAG has been signed by the other federal agency (USAGE or BUREC); or
A Cooperative Agreement has been signed by the Regional Administrator or
designee to conduct a FS.
If a first or subsequent FS is initiated without a new obligation of funds, the start date as
recorded in CERCLIS is defined as the date of EPA=s written approval of the work plan
for the FS.
PRP-financed under federal enforcement (Including RP- and MR-lead actions) - A
PRP- financed FS (Action Name = PRP FS) under federal enforcement at a NPL or
Superfund Alternative site starts when one of the following enforcement actions occurs:
An AOC that addresses FS activities is signed by the Regional Administrator or
delegate. The FS start date (Actual Start) is the date the AOC is signed. This is
recorded in CERCLIS as the AOC (Action Name = Administrative Order on
Consent) actual completion date (Actual Complete); or
- The date (Actual Complete) the PRPs provide notice of intent to comply
(SubAction Name = PRP Notify EPA of Intent to Comply) with a UAO for a RP-
lead FS signed (Actual Complete) by the designated regional official (Action
Name = Unilateral Admin Order) and the Response Acts Pd by Parties of "PRP
FS"; or
The Regional Administrator signs the memorandum transmitting the CD to DOJ
or HQ that addresses FS activities is referred by the region to DOJ or HQ. The FS
start date (Actual Start) is the date (Actual Start) the Regional Administrator signs
the memorandum transmitting the CD (Action Name = Consent Decree) to DOJ
orHQ.
PRP-financed under State enforcement (PS- lead actions) - A PRP-financed FS (Action
Name = PRP FS) under state enforcement at a NPL or Superfund Alternative site starts
FY 11 SPIM B-17 October 1, 2010
-------
OSWER Directive 9200.3-14-1G-V
when a state order or comparable enforcement document (Action Name = State Order or
State Decree), in which the PRPs agree to conduct the FS, is signed by the last
appropriate state official or party (Actual Complete), and the site is covered by one of the
following:
State enforcement Cooperative Agreement signed by the Regional Administrator;
or
SMOA signed by the appropriate state and regional official containing a schedule
for FS work at the site; or
- Other state/EPA agreement signed by the appropriate state and regional official. If
a first or subsequent FS is initiated without a new or amended AOC, CD, state
order, or other comparable state enforcement document, the start date of the FS is
documented by a letter, form, or memo from EPA or the state approving the work
plan for the subsequent FS.
If an AOC, state order, or other comparable state enforcement document is amended for
the first or subsequent FS, the actual start date is the date the last state official or the
Regional Administrator/delegate signs the amendment. If a federal CD is amended, the
start date is the date the Regional Administrator signs the memo transmitting the CD to
HQ or DOJ.
In-house (EP-lead action) - Credit for an in-house FS (Action Name = Feasibility Study)
start at a NPL or Superfund Alternative site is received on the date that the region
conducts the initial FS scoping meeting. The start date (Actual Start) is documented by a
memo to file containing the minutes from the meeting.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
Regions should not enter the FS start date if the FS is being conducted as part of a
combined RI/FS. The FS actual start date is entered into CERCLIS site-specifically. For a
PRP-fmanced FS, both the FS start date (Actual Start) and the CD start date (Actual
Start), or, AOC, state order or state decree or the notice of intent to comply with a UAO
actual completion date (Actual Complete) must be entered into CERCLIS; the RI start
and enforcement dates should be the same date. Funds for FS and FS oversight are
contained in the pipeline operations AOA. Superfund Alternative sites should be
identified in CERCLIS using the special initiatives indicator by designating these sites as
"Superfund Alternative." This is a program measure.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
name =
Feasibility
Activity
Type
Program
Measure
SPIM
Lead
F, TR,
S,EP
Documentation
Required
Contract modification
or work assignment/
task order; or IAG; or
Documentation
Approval/ Date
Requirements
Signed by the EPA CO;
Signed by other federal
agency (USACE or
Data Must Be Entered By
It is good management practice
to enter data regarding the event
as soon as practicable after the
October 1,2010
B-18
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
SPIM
Action/
Activity
Study (FS)
Action
name =
Feasibility
Study (FS)
Action
name =
PRPFS
^ '
Action
name =
PRPFS
(NK)
Activity
Type
Program
Measure
Program
Measure
Program
Measure
SPIM
Lead
SA,
SS,
ST
RP,
MR
PS
Documentation
Required
Cooperative
Agreement; or
Contract modification
or work assignment/
task order for the FS;
or An IAG; or
Cooperative
g
AOC; or Notice of
intent to comply with
a UAO; or Memo
transmitting CD to
DOJorHQ.
State order, or
comparable
enforcement
document State
enforcement
Cooperative
Agreement; SMOA;
or Other state/EPA
agreement.
Documentation
Approval/ Date
Requirements
BUREC); Signed by the
Regional Administrator
or his designee.
Signed by EPA
Contracting Officer;
Signed by other federal
agency (USACE or
BUREC); Signed by
Regional Administrator
or designee.
Signed by Regional
Administrator or
delegate;
Signed by all appropriate
state officials or parties
Signed by Regional
Administrator Signed by
appropriate state and
regional official Signed
by the appropriate state
and regional official.
Data Must Be Entered By
event occurs. However, data
must be entered prior to the
quarterly pull for the quarter in
which the event occurs.
(Generally, the quarterly pull
occurs on the fifth business day
following the end of FYQ1,
FYQ2 and FYQ3, and on the
tenth business day following the
endofFYQ4.)
It is good management practice
to enter data regarding the event
as soon as practicable after the
event occurs. However, data
must be entered prior to the
quarterly pull for the quarter in
which the event occurs.
(Generally, the quarterly pull
occurs on the fifth business day
following the end of FYQ1,
FYQ2 and FYQ3, and on the
tenth business day following the
endofFYQ4.)
It is good management practice
to enter data regarding the event
as soon as practicable after the
event occurs. However, data
must be entered prior to the
quarterly pull for the quarter in
which the event occurs.
(Generally, the quarterly pull
occurs on the fifth business day
following the end of FYQ1,
FYQ2 and FYQ3, and on the
tenth business day following the
endofFYQ4.)
It is good management practice
to enter data regarding the event
as soon as practicable after the
event occurs. However, data
must be entered prior to the
quarterly pull for the quarter in
which the event occurs.
(Generally, the quarterly pull
occurs on the fifth business day
following the end of FYQ1,
FYQ2 and FYQ3, and on the
tenth business day following the
endofFYQ4.)
FY 11 SPIM
B-19
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
c. Combined RI/FS Start (NPL & Superfund Alternative)
Definition:
The purpose of the RI/FS is to assess site conditions and evaluate alternatives to the
extent necessary to select a remedy.
The start of an RI/FS is a program measure. The RI/FS start and the RI start definition are
the same. Regions should not enter the RI start date if the RI is being conducted as part of
an RI/FS or a site-wide ESI/RI. Regions should not enter the FS start date if the FS is
being conducted as part of a RI/FS.
Obligation of funds for forward planning, community relations and/or other support
activities do not constitute an RI/FS start.
The appropriate use of Special Account funds for remedial investigations/feasibility
studies is provided in the A Guidance on Key Decision Points in Using Special Account
Funds@ dated September 28, 2001.
Definition of Accomplishment:
Fund-financed (Including F , TR- and S lead actions) - Credit for a Fund-financed RI/FS
(Action Name = Combined RI/FS) start at a NPL or Superfund Alternative site is
received when funds are obligated and the actual RI/FS start date (Actual Start) is
reported in CERCLIS. Funds are obligated when:
The contract modification or work assignment/task order 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 Cooperative Agreement has been signed by the Regional Administrator or
designee to conduct a RI/FS.
If a first or subsequent RI/FS is initiated without a new obligation of funds, the start date
is defined as the date of EPA's written approval of the work plan for the RI/FS.
PRP- financed from a Special Account (Including Special Account Financed Action
performed by EPA (SA-lead), the State (SS-Lead), or Tribal Government (ST-lead)
actions) - Credit for a special account-financed RI/FS (Action Name = Combined RI/FS)
start at a NPL or Superfund Alternative site is received when funds are obligated and the
actual RI/FS start date (Actual Start) is reported in CERCLIS. Funds are obligated when:
The contract modification or work assignment/task order 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 Cooperative Agreement has been signed by the Regional Administrator or
designee to conduct a RI/FS.
If a first or subsequent RI/FS is initiated without a new obligation of funds, the start date
is defined as the date of EPA's written approval of the work plan for the RI/FS.
October 1,2010 B-20 FY11SPIM
-------
OSWER Directive 9200.3-14-1G-V
PRP-financed under federal enforcement (Includes RP- and MR-lead actions) - A PRP-
fmanced RI/FS (Action Name = PRP RI/FS) under federal enforcement at a NPL or
Superfund Alternative site starts when one of the following enforcement actions occurs:
An Administrative Order on Consent (AOC), in which the PRPs agree to conduct
the RI/FS, is signed by the Regional Administrator or delegate. The RI/FS start
date (Action Name = PRP RI/FS) is the date the AOC is signed. This is recorded
in CERCLIS as the AOC (Action Name = Administrative Order on Consent)
completion date (Actual Complete); or
- The date (Actual Complete) the PRPs provide notice of intent to comply
(SubAction Name = PRP Notify EPA of Intent to Comply) with a UAO for a RP-
lead RI/FS signed (Actual Complete) by the designated regional official (Action
Name = Unilateral Admin Order), and the Response Acts Pd by Parties of "PRP
RI/FS"; or
- A Consent Decree (CD), in which the PRPs agree to conduct the RI/FS, is
referred by the region to DOJ or HQ. The RI/FS start date (Actual Start) is the
date the Regional Administrator signs the memo transmitting the CD to HQ or
DOJ. This is recorded in CERCLIS as the CD (Action Name = Consent Decree)
actual start date (Actual Start).
PRP-financed under State enforcement (PS-lead actions) - A PRP-fmanced RI/FS
(Action Name = PRP RI/FS) under state enforcement at a NPL or Superfund Alternative
site starts when a state order or comparable enforcement document (Action Name = State
Order or State Decree), in which the PRPs agree to conduct the RI/FS, is signed by the
last appropriate state official or party (Actual Complete) and the site is covered by one of
the following:
State enforcement Cooperative Agreement signed by the Regional Administrator;
or
SMOA signed by the appropriate state and regional official containing a schedule
for RI/FS work at the site; or
- Other State/EPA agreement signed by the appropriate state and regional officials.
If a first or subsequent RI/FS is initiated without a new or amended AOC, CD, state
order, or other comparable state enforcement document, the start date of the RI/FS is
documented by a letter, form, or memo from EPA or the state approving the work plan
for the subsequent RI/FS.
If an AOC, state order, or other comparable state enforcement document is amended for
the first or subsequent RI/FS, the start date is the date on which the last state official or
Regional Administrator/delegate signs the amendment. If a CD is amended, the start date
is the date the Regional Administrator signs the memorandum transmitting the CD to
DOJ or HQ.
In-house (EP-lead action) - Credit for an in-house RI/FS (Action Name = Combined
RI/FS) start at a NPL or Superfund Alternative site is received when the region has the
initial RI/FS scoping meeting and the date is entered into CERCLIS. The start (Actual
Start) is documented by a memo to file containing the minutes from the meeting.
FY 11 SPIM B-21 October 1, 2010
-------
OSWER Directive 9200.3-14-1G-V
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
Regions should not report a combined RI/FS start if a separate RI and FS are being
conducted and have been reported. The combined RI/FS actual start date is entered into
CERCLIS site-specifically. For a PRP-financed RI/FS, the RI/FS start date (Actual Start)
and the CD start date (Actual Start), or, AOC, state order, or state decree or notice of
intent to comply with a UAO actual completion date (Actual Complete) must be entered
into CERCLIS; the RI start and enforcement dates should be the same date. Funds for
RI/FS and RI/FS oversight are contained in the pipeline operations AOA. The Superfund
Alternative sites should be identified in CERCLIS using the special initiatives indicator
by designating these sites as "Superfund Alternative." This is a program measure.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
name =
Combined
RI/FS (CO)
Action
name =
PRP RI/FS
(BD)
Action
name =
PRP RI/FS
(BD)
Activity
Type
Program
Measure
Program
Measure
Program
Measure
SPIM
Lead
F, TR,
S, SA,
SS, ST
RP,
MR
PS
Documentation
Required
Contract modification or
work assignment/ task
order; or IAG; or
Cooperative Agreement
Administrative Order on
Consent (AOC); or
Notice of intent to
comply with a UAO for
a RP-lead RI/FS and the
Response acts Pd; or
Memo transmitting
Consent Decree (CD) to
HQorDOJ.
State order or
comparable enforcement
document State
enforcement
Documentation
Approval/ Date
Requirements
Signed by EPA CO;
Signed by other federal
agency (USAGE or
BUREC); Signed by the
Regional Administrator
or designee.
Signed by Regional
Administrator or
delegate, Signed by
designated regional
official and the Response
acts Pd signed by parties
of APRP RI/FS@, Signed
by Regional
Administrator
transmitting the Consent
T)PCTPP
J-/ ^t\s l^f^f .
Signed by all appropriate
state officials and parties
Signed by Regional
Administrator, Signed by
Data Must Be Entered By
It is good management
practice to enter data
regarding the event as soon as
practicable after the event
occurs. However, data must
be entered prior to the
quarterly pull for the quarter
in which the event occurs.
(Generally, the quarterly pull
occurs on the fifth business
day following the end of
FYQ1, FYQ2 and FYQ3, and
on the tenth business day
following the end of FYQ4.)
It is good management
practice to enter data
regarding the event as soon as
practicable after the event
occurs. However, data must
be entered prior to the
quarterly pull for the quarter
in which the event occurs.
(Generally, the quarterly pull
occurs on the fifth business
day following the end of
FYQ1, FYQ2 and FYQ3, and
on the tenth business day
following the end of FYQ4.)
It is good management
practice to enter data
regarding the event as soon as
practicable after the event
October 1,2010
B-22
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
SPIM
Action/
Activity
Action
name =
Combined
RI/FS (CO)
Activity
Type
Program
Measure
SPIM
Lead
EP
Documentation
Required
Cooperative Agreement;
SMOA; or Other
state/EPA agreement.
Memo containing the
minutes from initial
RI/FS scoping meeting.
Documentation
Approval/ Date
Requirements
the appropriate state and
regional official, Signed
by the appropriate state
and regional officials.
Not specified.
Data Must Be Entered By
occurs. However, data must
be entered prior to the
quarterly pull for the quarter
in which the event occurs.
(Generally, the quarterly pull
occurs on the fifth business
day following the end of
FYQ1, FYQ2 and FYQ3, and
on the tenth business day
following the end of FYQ4.)
It is good management
practice to enter data
regarding the event as soon as
practicable after the event
occurs. However, data must
be entered prior to the
quarterly pull for the quarter
in which the event occurs.
(Generally, the quarterly pull
occurs on the fifth business
day following the end of
FYQ1, FYQ2 and FYQ3, and
on the tenth business day
following the end of FYQ4.)
d. Treatability Studies
Definition:
Treatability studies are laboratory or field tests used to determine whether available
technologies will effectively decontaminate a given matrix in order to develop feasible
remedial alternatives.
Definition of Accomplishment:
Fund-financed (Including F-, EP-, S- or TR- lead) - The start date is the date of EPA=s
written approval, as reflected in CERCLIS, of the treatability study work plan. The
completion is the written approval of the report on the results of the treatability study.
PRP-financed (Including RP-, MR- or PS- lead) - The treatability study starts when
EPA approves, in writing, the treatability study work plan submitted by the PRP. The
completion is the approval of the report on the results of the treatability study.
PRP- financed from a Special Account (Including Special Account Financed Action
performed by EPA (SA-lead), the State (SS-Lead), or Tribal Government (ST-lead)
actions) - The treatability study starts when EPA approves, in writing, the treatability
study work plan. The completion is the approval of the report on the results of the
treatability study.
FY 11 SPIM
B-23
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
Treatability study (Action Name = Treatability Studies) planned and actual start and
completion dates are not required in CERCLIS. Treatability studies are funded as part of
an ESI/RI, RI/FS, or RD. Dollars are not budgeted, planned, or obligated separately. This
is a program measure.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action name
Treatability
Studies (TS)
Activity
Type
Program
Measure
SPIM
Lead
F,S,
TR, EP
RP,
MR,
PS, SA,
SS, ST
Documentation
Required
Start: EPA's written
approval of Treatability
study work plan.
Complete: Written
approval of report on
results of treatability
study.
Documentation
Approval/ Date
Requirements
Start: Not
specified.
Complete: Not
specified.
Data Must Be Entered By
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
entered prior to the quarterly pull
for the quarter in which the event
occurs. (Generally, the quarterly
pull occurs on the fifth business day
following the end of FYQ1, FYQ2
and FYQ3, and on the tenth
business day following the end of
FYQ4.)
e. Start of Public Comment Period (Proposed Plan to Public) (NPL & Superfund
Alternative)
Definition:
The FS or RI/FS report is released to the public when the contamination at the site has
been characterized and alternatives for remediation have been evaluated.
Definition of Accomplishment:
The Start of Public Comment Period (Proposed Plan to Public) is accomplished at a NPL
or Superfund Alternative site either (1) on the date the appropriate regional official signs
a letter transmitting RI/FS reports and the proposed plan to the site repository for public
review, or (2) when the first page of the approved proposed plan, which lists the dates the
public comment period starts and ends, is included in the site file. This date must be
recorded in CERCLIS as the actual start date (Actual Start) of the SubAction, Public
Comment Period (Action Name = Feasibility Study or Combined RI/FS or PRP FS or
PRP RI/FS and SubAction Name = Public Comment Period).
Changes in Definition FY10 - FY11:
None.
October 1,2010
B-24
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
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. Sites with SAA settlements should be identified in
CERCLIS using the appropriate special initiatives flag. This is a program measure.
Data Entry Timeliness Requirement:
SPIM Action/
Activity
Action name =
Feasibility Study
(FS) or
Combined RI/FS
(CO)orPRP
RI/FS (BD)
Sub Action Name
= Public
Comment Period
(PB)
Activity
Type
Program
Measure
SPIM
Lead
F S
TR,
SA, SS,
ST,EP
RP,
MR,
pc
Documentation
Required
Letter transmitting
RI/FS reports and
proposed plan 1st
page of approved
proposed plan.
Documentation
Approval/ Date
Requirements
Signed by
appropriate
regional official
Not specified.
Data Must Be Entered By
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
entered prior to the quarterly pull
for the quarter in which the event
occurs. (Generally, the quarterly
pull occurs on the fifth business
day following the end of FYQ1,
FYQ2 and FYQ3, and on the tenth
business day following the end of
FYQ4.)
f. RI/FS Duration (NPL & Superfund Alternative)
Definition:
The purpose of the RI/FS is to assess site conditions and evaluate alternatives to the
extent necessary to select a remedy.
The RI/FS starts with the obligation of Fund monies; or the signature of an AOC, state
order, or state decree for the RI or RI/FS; or the date the Regional Administrator signs the
memorandum transmitting the CD to DOJ or HQ for RI or RI/FS; or the date the PRPs
provide notice of intent to comply with a UAO; or the conduct of the RI/FS scoping
meeting and culminates 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 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 RI/FS projects at an NPL or Superfund Alternative site that
have a targeted completion date in FY 08/09. The RI/FS duration will be calculated based
on the RI or Combined RI/FS Start and Decision Document Developed (ROD
completion) definitions specified in this Manual. Regional performance in FY 08/09 will
be compared to:
FY 11 SPIM
B-25
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
- The regional and national average duration of RI/FS projects completed in FY
06/07 or FY 07/08;
The regional and national average duration of RI/FS projects completed in
previous quarters of FY 08/09.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
CERCLIS will automatically look at actual RI or RI/FS start dates and actual ROD
completion dates. HQ will perform the analysis of the average durations. Fund and PRP
durations at NPL or Superfund Alternative sites will be tracked. Sites with SAA
settlements should be identified in CERCLIS using the appropriate special initiative
indicator. RI/FS duration is a program measure.
g. Engineering Evaluation/Cost Analysis (EE/CA)
Definition:
The EE/CA identifies objectives for a Non-Time Critical (NTC) response action, and
includes an analysis of cost, effectiveness, and implementability of the various
alternatives that may be used to satisfy these objectives.
Definition of Accomplishment:
The actual start date of an EE/CA is the date that the appropriate regional official signs
the EE/CA Approval Memorandum. This information should be recorded in CERCLIS as
the actual start date (Actual Start) of the EE/CA (Action Name = Engineering Eval/Cost
Analysis). The actual completion date of an EE/CA is the date that the appropriate
regional official signs the Action Memorandum. This information should be recorded as
the actual completion date (Actual Complete) of the EE/CA (Action Name = Engineering
Eval/Cost Analysis).
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
EE/CAs are reported site-specifically in CERCLIS. Funds for EE/CAs are contained in
the pipeline operations AOA. This is a program measure.
Data Entry Timeliness Requirement:
SPIM Action/
Activity
Action name
= Engineering
Eval/Cost
Analysis (EE)
Activity
Type
Program
Measure
SPIM
Lead
F, S,
TR, SA,
SS, ST,
EP,RP,
Documentation
Required
Start: EE/CA
Approval
Memorandum.
Complete: Action
Documentation
Approval/ Date
Requirements
Start: Signed bv
appropriate regional
official. Complete:
Signed by
Data Must Be Entered By
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
October 1,2010
B-26
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
SPIM Action/
Activity
Activity
Type
SPIM
Lead
PS, MR,
CG
Documentation
Required
Memorandum.
Documentation
Approval/ Date
Requirements
appropriate regional
official.
Data Must Be Entered By
entered prior to the quarterly pull
for the quarter in which the event
occurs. (Generally, the quarterly
pull occurs on the fifth business
day following the end of FYQ1,
FYQ2 and FYQ3, and on the tenth
business day following the end of
FYQ4.)
h. Decision Documents Developed
Definition:
A "Decision Document" is developed to document decisions or changes to decisions (at
NPL, non-NPL, and Superfund Alternative sites) to:
Perform an emergency, time-critical, or Non-Time Critical (NTC) removal; or
- Perform a remedial action.
Definition of Accomplishment:
Removal Decision Documents (Emergency, Time Critical, or NTC) - The date the On-
Scene Coordinator (OSC), AA OSWER, or designated regional official signs the first or
original Action Memorandum for each removal. Regions will not receive credit for
subsequent Action Memos, (e.g., ceiling increases) at the same removal. The date of the
signature is recorded in CERCLIS as the actual completion date (Actual Complete) of the
Sub Action, Approval of Action Memo or Removal Action Memo Document. To receive
credit for the Action Memo, the region must enter the action, actual completion date, OU,
and Five Year Review information. EPA HQ is now responsible for data entry of the
following elements: media addressed, media name, selected alternative, response
technology, remedy cost data, and institutional control information.
Remedial Action Decision Documents (ROD, ROD Amendment, ESD, or Other) - A
response action decision document is documented in a Record of Decision (ROD), ROD
Amendment, Explanation of Significant Differences (ESD), or through other remedy
changes such as a letter to the file. After a ROD is signed, new information may be
generated that could affect the remedy selected. Three types of changes may occur: ROD
Amendment, Explanation of Significant Differences, and Other Remedy Change. The
Superfund Document Management System (SDMS) number for each of these documents
needs to be sent to the following e-mail group within 5 (five) days after signing: OSWER
OSRTI HQ DOC Center. Please ensure that the documents are text searchable PDFs of
the final version. The documents should also contain signed signature pages and all
attachments (especially figures and tables).
ROD: The ROD documents the selected remedy, provides the basis for taking action, and
documents compliance with statutory requirements. It is prepared after completion of
FY 11 SPIM
B-27
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
public comment period on the FS and proposed plan for an early action (remedial
authority) or long-term response action. The completion date for the ROD is the date the
designated regional official or the AA OSWER signs the ROD at a NPL or Superfund
Alternative site for each RA is the date recorded in CERCLIS. This date is reported in
CERCLIS as the ROD (Action Name = Record of Decision) completion date (Actual
Complete). To receive credit for a completed ROD, the region must enter the action,
appropriate lead, and actual completion date. EPA HQ is now responsible for data entry
of the following elements: media addressed, media name, selected alternative, response
technology, remedy cost data, and institutional control information.
For state-lead RODs under CERCLA that result from an F, S, TR, EP lead FS or RI/FS;
or a PS or MR-lead, PRP RI/FS or PRP FS where EPA concurs on the ROD should have
a lead of SC. Accomplishments are reported as the date of the latest signature from EPA
or the state, on the ROD at NPL or Superfund Alternative sites.
For state-lead RODs without EPA concurrence, the ROD should have a lead of'SW. The
ROD will not be included in accomplishment reporting; however, the ROD date should
be recorded in CERCLIS as the date the state signs the ROD.
ROD Amendments are Fundamental Changes to the ROD: When post-ROD remedy
change involves a fundamental or appreciable change or changes in the scope,
performance, and/or cost, or may be a number of significant changes that together have
the effect of a fundamental change, the change in remedy should be documented in a
ROD Amendment. A fundamental change may involve a change in the primary treatment
method (e.g., from containment remedy to an excavation and treatment remedy). 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 Administrative Record (AR) and a copy must be mailed to the above HQ address. A
fundamental change to the ROD should be recorded as a ROD amendment SubAction in
CERCLIS (Action Name = Record of Decision and SubAction Name = ROD
Amendment). The date the designated regional official or the AA OSWER signs the
amended ROD at a NPL or Superfund Alternative site should be recorded in CERCLIS as
the actual completion date (Actual Complete) of the ROD Amendment SubAction
(Action Name = Record of Decision and SubAction Name = ROD Amendment). To
receive credit for a completed ROD amendment, the region must enter the action,
appropriate lead, and actual completion date. EPA HQ is now responsible for data entry
of the following elements: media addressed, media name, selected alternative, response
technology, remedy cost data, and institutional control information. ROD Amendments
are tracked as an internal reporting measure.
Explanation of Significant Differences () are Significant Changes to the ROD: When a
post-ROD remedy change involves a portion of the remedy and does not fundamentally
alter the overall cleanup approach it may generally be documented as an Explanation of
Significant Differences (ESD). Examples of significant changes could include: biological
treatment is use in lieu of air stripping for ex-situ treatment of ground water. A copy of
the ESD is placed into the Administrative Record (AR), and a copy needs to be mailed to
October 1,2010 B-28 FY11SPIM
-------
OSWER Directive 9200.3-14-1G-V
the above address at HQ. The BSD is made available to the public for review. A formal
public comment period, public meeting, and responsiveness summary are not required.
While the BSD is being prepared and made available to the public, response activities
should continue. An BSD is not a new ROD and should not be coded as such in
CERCLIS. It should be entered as a Sub Action to the ROD (Action Name = Record of
Decision and SubAction Name = Explanation of Significant Dif). The date the BSD at a
NPL or Superfund Alternative site is signed by the designated regional official or the AA
OSWER is reported as the actual completion date (Actual Complete) of the BSD
SubAction (Action Name = Record of Decision and SubAction Name = Explanation of
Significant Diff). To receive credit for a completed BSD, the region must enter the action,
appropriate lead, and actual completion date. EPA HQ will enter response action and cost
data if they are changed by the BSD. ESDs are tracked as an internal reporting measure.
Other Remedy Changes Document Non-Significant Remedy Changes: Non-significant
remedy changes fall within the normal scope of changes occurring during the Remedial
Design/Remedial Action (RD/RA) or limited RA. 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 scope, performance, or cost of the remedy, they are considered minor or non-
significant.
Other Remedy Changes should be documented in a Note to File or Memorandum to File,
titled "Other Remedy Change." Copies of these documents shall be placed into the
Administrative Record (AR), and need to be mailed to the above address at HQ. Since the
document is placed into the AR, it is available for public review. A formal public
comment period, public meeting and responsiveness summary are not needed. An Other
Remedy Change is not a new ROD and should not be coded as such in CERCLIS. It
should be entered as a SubAction to the ROD (Action Name = Record of Decision and
SubAction Name = Other Remedy Change). Other Remedy Change data are entered into
CERCLIS at the time the document is signed. The date the Other Remedy Change at a
NPL or Superfund Alternative site is signed by the designated regional official or the AA
OSWER is reported as the actual completion date (Actual Complete) of the Other
Remedy Change SubAction (Action Name=Record of Decision and SubAction
Name=Other Remedy Change). Response action and cost data only need to be entered
when they change. Other Remedy Changes are tracked as an internal reporting measure.
RODs Requiring No Physical Construction: At some NPL sites, EPA may determine,
through the Remedial Investigation/Feasibility Study (RI/FS) (or other means), that no
physical construction is necessary to protect human health and the environment. Such a
determination may be documented in no action/no further action RODs, including RODs
that require only monitoring, and Limited Action RODs requiring monitored natural
attenuation or institutional controls only.
These ROD events should be coded into CERCLIS as follows:
Action Name = Record of Decision;
Alternative Name
FY 11 SPIM B-29 October 1, 2010
-------
OSWER Directive 9200.3-14-1G-V
- Media Name
- Media Type (Air, Ground Water, Leachate, Liquid Waste, Other, Residuals,
Sediment, Sludge, Soil, Solid Waste, Surface Waste); and
Selected Response Actions
• No Action RODs:
» No Action
» No Further Action
» Monitoring
Cost data should be entered as 0 (zero)
Limited Action RODs:
• Natural Attenuation
• Institutional Controls (Access Restriction, Access Restriction-Guards, Deed
Restriction, Drilling Restriction, Fishing Restriction, Institutional Controls
Not Otherwise Specified (N.O.S.), Land Use Restriction, Monitoring,
Recreational Restriction, Revegetation, Swimming Restriction, and Water
Supply Use Restriction
These decisions will be tracked separately but will be reported on a combined basis.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
To receive credit for an Action Memo, the region must enter the following data into
CERCLIS:
the media addressed through the action (Media Type and Media Name),
the Selected Response Actions,
the response action cost data,
the institutional control information, and
the Five Year Review year review information
To receive credit for a ROD, ROD amendment, BSD or Other Remedy Changes the
region must enter the following data into CERCLIS:
Action/Sub Action Name,
Actual Completion Date, and
For a ROD, ROD amendment, BSD, or Other Remedy Change, EPA HQ is now
responsible for entering the following data into CERCLIS:
the name of the selected alternative (Alternative Name),
the media addressed in the ROD (Media Type and Media Name),
the Selected Response Actions (which include institutional controls where
anticipated). If institutional controls are anticipated at the site, institutional control
objectives need to be defined and entered into CERCLIS, and
October 1,2010 B-30 FY11SPIM
-------
OSWER Directive 9200.3-14-1G-V
- associated cost data that are listed in the decision document that may be any or all
of the following costs (Capital Cost (must always be entered even if 0), Annual
O&M Cost, Total O&M Cost, Present Worth Cost, O&M Duration, and Discount
Rate)
CERCLIS will system generate the RI/FS or FS actual completion date if one does not
already exist and a predecessor relationship was established between the RI/FS and the
ROD.
Superfund Alternative sites should be identified in CERCLIS using the special initiatives
indicator by designating these sites as "Superfund Alternative." This is a program
measure.
SPIM Action/
Activity
Action name =
Record of
Decision (RO)
Action name =
ROD
Amendment (JQ)
Action name —
Record of
Decision (RO):
Sub Action Name
= Explanation of
Significant Diff
(EFT)
\J-^AA/
Activity
Type
Program
Measure
Program
Measure
Program
Measure
SPIM
Lead
F,FE,
S, TR,
SA, SS,
ST, EP,
RP,
MR, PS
F,FE,
S, TR,
SA, SS,
ST, EP,
RP,
MR, PS
F,FE,
S, TR,
SA, SS,
ST, EP,
RP,
MR, PS
Documentation
Required
ROD.
Amended ROD.
BSD.
Documentation
Approval/ Date
Requirements
Signed by designated
regional official or
the AA OSWER.
Signed by designated
regional official or
AA OSWER at an
NPL or Superfund
Alternative site.
Signed by regional
official or the AA
OSWER.
Data Must Be Entered By
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
entered prior to the quarterly pull
for the quarter in which the event
occurs. (Generally, the quarterly
pull occurs on the fifth business
day following the end of FYQ1,
FYQ2 and FYQ3, and on the tenth
business day following the end of
FYQ4.)
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
entered prior to the quarterly pull
for the quarter in which the event
occurs. (Generally, the quarterly
pull occurs on the fifth business
day following the end of FYQ1,
FYQ2 and FYQ3, and on the tenth
business day following the end of
FYQ4.)
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
entered prior to the quarterly pull
for the quarter in which the event
occurs. (Generally, the quarterly
pull occurs on the fifth business
day following the end of FYQ1,
FYQ2 and FYQ3, and on the tenth
business day following the end of
FYQ4.)
FY 11 SPIM
B-31
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
SPIM Action/
Activity
Action name =
Record of
Decision (RO)
Sub Action Name
= Other Remedy
Change (OT)
Activity
Type
Program
Measure
SPIM
Lead
F,FE,
S, TR,
SA, SS,
ST, EP,
RP,
MR, PS
Documentation
Required
Other Remedy
Change.
Documentation
Approval/ Date
Requirements
Signed by designated
regional official or
the AA OSWER.
Data Must Be Entered By
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
entered prior to the quarterly pull
for the quarter in which the event
occurs. (Generally, the quarterly
pull occurs on the fifth business
day following the end of FYQ1,
FYQ2 and FYQ3, and on the tenth
business day following the end of
FYQ4.)
i. Final Remedy Selected
Definition:
This measure will track the Final Remedy Selected measure at NPL sites. Final Remedy
Selected decisions will also be tracked in CERCLIS for non-NPL sites and reported
separately. A Final Remedy Selected decision occurs when a final decision has taken
place at a site (i.e. the final remedy has been selected at the last OU for a site). This can
include the signature of the final ROD, ROD Amendment, or Removal Action
Memorandum at a site. In general, an Explanation of Significant Difference (BSD) will
not constitute a Final Remedy Selected since ESDs generally document a non-
fundamental change to a remedy. Also, a partial deletion from the NPL can not be a Final
Remedy Selected since it does not constitute a final decision for the entire site.
Definition of Accomplishment:
Credit under CERCLA for a Final Remedy Selected will be given when:
Site has a Final ROD or ROD Amendment and no existing planned ROD, ROD
Amendment, Removal Action Memorandum, RI/FS or EE/CA and the action is
designated as the Final Remedy. This is reported in CERCLIS as a ROD (Action
Name = Record of Decision) or ROD Amendment (Action Name = ROD
Amendment) with the date the designated regional official or the AA OSWER
signs the ROD (Actual Complete) and the action has been designated a Final
Remedy (Qualifier = R); or
Site has a Removal Action Memorandum and no existing planned ROD, RI/FS, or
planned action memorandum and the action is designated as the Final Remedy.
This is reported in CERCLIS as an Action Memorandum (Action Name = Action
Memorandum) with the date the removal decision was completed (Actual
Complete) and the action is designated a Final Remedy (Qualifier = R).
Changes in Definition FY10 - FY11:
None.
October 1,2010
B-32
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
Special Planning/Reporting Requirements:
CERCLIS will automatically look for planned RODs, ROD Amendments, Removal
Action Memoranda, RI/FSs and EE/CAs when a user assigns the Final Remedy Selected
qualifier at a ROD, ROD Amendment or Action Memorandum. CERCLIS will not assign
the Final Remedy for a deleted site if a Final Remedy determination has already been
made at the site. As part of the development of the baseline for this measure, HQ worked
with the Regions to evaluate Construction Completion sites to determine whether they
constituted a Final Remedy Selected (as of 2003). There were a limited number of sites
where additional remedy selection was envisioned and a Final Remedy Selected
determination was not made. As of 2005, no further changes to the baseline number were
to be made.
Once a site is designated as Final Remedy Selected at the end of year pull, that site
cannot get credit for a change in status if is subsequently determined that addition
changes to the remedy are needed in the future. However, the database can track that
decision document that constitutes the most up to date document reflecting the actual
final remedy selected action, as opposed to the decision document for which credit for
Final Remedy Selected accomplishment was recorded.
Data Quality:
Data Entry Timeliness Requirement
The Final Remedy Selected decision will be marked by the Region as a qualifier
associated with a specific response measure decision document and operable unit. This
qualifier may be selected for a planned action that is expected to be the Final Remedy for
the site. The measure only includes sites for which the Final Remedy Selected qualifier is
assigned to a completed action (one for which the user enters the actual completion date).
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the activity occurs. Once a site is designated as a Final Remedy Selected
site, that designation cannot be removed from the site (although CERCLIS may track
what the new decision is that will be the Final Remedy document) and the site cannot get
credit for another Final Remedy Selected accomplishment in another year. (Generally,
the quarterly pull occurs on the fifth business day following the end of each quarter or the
10th business day following the end of the fourth fiscal quarter.)
Accuracy Requirement
The final remedy determination is tracked to the signature date of the decision document
that designates the remedy for the final OU at the site. The measure tracks the fiscal year
in which the final remedy determination was made and associates the measure to the
remedy decision document/action. The Final Remedy Selected measure at a site is locked
to the year in which the Final Remedy was originally selected/designated. The system
prevents users from changing the original Fiscal Year in which a final remedy selected
determination was made, once the fiscal year has past. If a new decision/action is made at
the site that supersedes the original Final Remedy Selected determination, the system
prompts users to "move" the Final Remedy Selected qualifier to the new measure/action
which becomes the new Final Remedy at the site. In these cases, the Region must
FY 11 SPIM B-33 October 1, 2010
-------
OSWER Directive 9200.3-14-1G-V
document the reason that the remedy changed. If the Fiscal year of the original Final
Remedy Selected action has passed, the measure counts the site in the original Fiscal
Year of the determination. The site is not counted twice if the Final Remedy Selected
qualifier is moved. Further, measures cannot be removed from CERCLIS after the end of
year accomplishment pull from CERCLIS is determined.
Reports and Guidance
SCAP 15
PART II. REMEDIAL IMPLEMENTATION
j. Removal Starts - Please see Appendix F
Any SUPERFUND FINANCED Removals shall adhere to APPENDIX F, Removals.
Removal Completions - Please see Appendix F?
k. Remedial Design (RD) Start (NPL & Superfund Alternative)
Definition:
The RD converts the remedy selected in the ROD into a final design document for the
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 an RD start.
Definition of Accomplishment:
Fund-Financed (Including F-, EP-, TR-, and S-lead actions) - A Fund-financed RD
(Action Name = Remedial Design) at a NPL or Superfund Alternative site is started
(Actual Start) when funds are obligated. An obligation is made when:
The EPA CO signs the contract modification or work assignment/task order for
the RD; or
A Cooperative Agreement is signed by the Regional Administrator or his
designee; or
An IAG is signed by the other federal agency.
In those instances where design assistance is conducted prior to ROD signature, and there
is not a new obligation of funds for a subsequent RD, the start of RD is defined as the
written approval of the work plan to conduct these activities. If there is a new obligation
of funds, the start of RD is defined as the date funds are obligated. When an 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 remedy will be used, the RD actual start
date is the same as the RA actual start date.
PRP-financed RD from a Special Account (including Special Account Financed
Action performed by EPA (SA-lead) the State (SS-Lead), or Tribal Governments (ST-
lead) actions) - A PRP-financed RD from a Special Account (Action Name = Remedial
October 1,2010 B-34 FY11SPIM
-------
OSWER Directive 9200.3-14-1G-V
Design) at an NPL or Superfund Alternative site is started (Actual Start) when funds are
obligated. An obligation is made when:
The EPA CO signs the contract modification or work assignment/task order for
the RD; or
- A Cooperative Agreement is signed by the Regional Administrator or his
designee; or
- An IAG is signed by the other federal agency.
In those instances where design assistance is conducted prior to ROD signature, and there
is not a new obligation of funds for a subsequent RD, the start of RD is defined as the
written approval of the work plan to conduct these activities. If there is a new obligation
of funds, the start of RD is defined as the date funds are obligated. When an 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 remedy will be used, the RD actual start
date is the same as the RA actual start date.
PRP-financed under federal enforcement (RP-lead) - The start (Actual Start) of an RP-
lead RD (Action Name = PRP RD) at a NPL or Superfund Alternative site is credited on
the date the earlier of the following actions takes place:
- The enforcement document under which the RD is to be conducted becomes
effective;
- For an Administrative Order on Consent (AOC), this is the date of signature of
the AOC for RD by the Regional Administrator or his delegate, or the date of
signature of an amendment to an existing AOC to include RD;
For a Unilateral Administrative Order (UAO), this is the date of the PRP's written
notice of intent to comply with the UAO;
- For a CD, this is the date the Regional Administrator signs the memorandum
transmitting the CD to DOJ or HQ; or
An official written notice to proceed is issued by EPA to the PRP.
PRP-financed under federal enforcement (MR-lead) - The start (Actual Start) of a MR-
lead RD (Action Name = PRP RD) at an NPL or Superfund Alternative site is credited on
the date the earlier of the following actions takes place:
- The enforcement document under which the RD is to be conducted becomes
effective:
For an Administrative Order on Consent (AOC), this is the date of signature of
the AOC for RD by the Regional Administrator or his delegate, or the date of
signature of an amendment to an existing AOC to include RD;
- For a CD, this is the date the Regional Administrator signs the memorandum
transmitting the CD to DOJ or HQ; or
An official written notice to proceed is issued by EPA to the PRP.
PRP-financed under State enforcement (PS-lead actions) - Credit will be given (Actual
Start) for a PS-lead RD (Action Name = PRP RD) at a NPL or Superfund Alternative site
based on the issuance or effective date of a state order or other comparable state
FY 11 SPIM B-35 October 1, 2010
-------
OSWER Directive 9200.3-14-1G-V
enforcement document for RD (or combined RD/RA). If the RD is covered by a pre-
existing state order, credit will be based on the notice to proceed date.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
The actual start date (Actual Start) of the RD (Action Name = Remedial Design or PRP
RD) must be entered into CERCLIS. Accomplishments are reported site-specifically.
Funds for RDs are in the pipeline operations AOA. This is a program measure. Superfund
Alternative sites should be identified in CERCLIS using the special initiatives indicator
by designating these sites as "Superfund Alternative."
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
name =
Remedial
Design
(RD)
Action
name =
PRPRD
(BE)
Action
name =
PRPRD
Activity
Tvne
J MT
Program
Measure
Program
Measure
Program
Measure
SPIM
Lead
F,EP,
TR,S,
SA,
SS ST
O O^ O -L
RP,
MR
PS
Documentation Required
Contract modification or work
assignment/task order for the
RD, Cooperative Agreement
or IAG.
Official written notice from
the EPA to the PRP or the
enforcement document under
which the RD is to be
conducted becomes effective
(this can be either the AOC ,
or an amendment to an
existing AOC to include RD;
or The PRP's written notice of
intent to comply with the
UAO; or Memo transmitting
theCDtoDOJorHQ).
State order or other
comparable state enforcement
document.
Documentation
Approval/ Date
Requirements
Signed by the EPA
CO; or Signed by the
Regional
Administrator or his
designee; or An IAG
signed by the other
federal agency.
Official written notice
from the EPA AOC
signed by the Regional
Administrator or his
delegate for the RD
PRP's written notice
Signed by Regional
Administrator.
Signature and date on
the enforcement
document.
Data Must Be Entered By
It is good management
practice to enter data
regarding the event as soon
as practicable after the event
occurs. However, data must
be entered prior to the
quarterly pull for the quarter
in which the event occurs.
(Generally, the quarterly pull
occurs on the fifth business
day following the end of
FYQ1, FYQ2 and FYQ3,
and on the tenth business
day following the end of
FYQ4.)
It is good management
practice to enter data
regarding the event as soon
as practicable after the event
occurs. However, data must
be entered prior to the
quarterly pull for the quarter
in which the event occurs.
(Generally, the quarterly pull
occurs on the fifth business
day following the end of
FYQl,FYQ2andFYQ3,
and on the tenth business
day following the end of
FYQ4.)
It is good management
practice to enter data
regarding the event as soon
October 1,2010
B-36
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
SPIM
Action/
Activity
(BE)
Activity
Type
SPIM
Lead
Documentation Required
Documentation
Approval/ Date
Requirements
Data Must Be Entered By
as practicable after the event
occurs. However, data must
be entered prior to the
quarterly pull for the quarter
in which the event occurs.
(Generally, the quarterly pull
occurs on the fifth business
day following the end of
FYQ1, FYQ2 and FYQ3,
and on the tenth business
day following the end of
FYQ4.)
1. RD Completion (NPL & Superfund Alternative)
Definition:
The RD converts the remedy selected in the ROD into a final design document for RA.
Definition of Accomplishment:
A RD at an NPL or Superfund Alternative site is complete when:
Fund-financed (Including F-, EP-, TR-, and S-lead actions) - EPA concurs
with, in writing, the final design document.
PRP-financed under federal enforcement (Including MR- and RP-lead actions)
- EPA concurs with, in writing, the final design document.
PRP-financed under State enforcement (PS-lead actions) - the state concurs
with the final design document.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
The actual completion date (Actual Complete) of the RD (Action Name = Remedial
Design or PRP RD) must be entered into CERCLIS. Accomplishments are reported site-
specifically. This is a program measure. Superfund Alternative sites should be identified
in CERCLIS using the special initiatives indicator by designating these sites as
"Superfund Alternative." Regions are required to copy technical data from the ROD at
completion of the RD. The regions are required to update any technical or cost data if
there are any changes. This can be accessed through the Selected Remedy Summary
screen.
FY 11 SPIM
B-37
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
TlilTYIP —
lldlllC
Remedial
T")pcipTi
-L/^/olgll
(RD)
Action
name =
PRPRD
(BE)
Action
name =
PRPRD
(BE)
Activity
Type
Program
Measure
Program
Measure
Program
Measure
SPIM
Lead
F,EP,
TR, S,
SA,
SS, ST
RP,
MR
PS
Documentation
Required
Written EPA
approval of the
final design
document.
Written EPA
approval of the
final design
document.
State approval of
final design
HoPllTTlPTlt
UAJl>> LllllVlll.
Documentation
Approval/ Date
Requirements
Not specified
Not specified.
Not Specified
Data Must Be Entered By
It is good management practice to enter
data regarding the event as soon as
practicable after the event occurs.
However, data must be entered prior to
the quarterly pull for the quarter in which
the event occurs. (Generally, the quarterly
pull occurs on the fifth business day
following the end of FYQ1, FYQ2 and
FYQ3, and on the tenth business day
following the end of FYQ4.)
It is good management practice to enter
data regarding the event as soon as
practicable after the event occurs.
However, data must be entered prior to
the quarterly pull for the quarter in which
the event occurs. (Generally, the quarterly
pull occurs on the fifth business day
following the end of FYQ1, FYQ2 and
FYQ3, and on the tenth business day
following the end of FYQ4.)
It is good management practice to enter
data regarding the event as soon as
practicable after the event occurs.
However, data must be entered prior to
the quarterly pull for the quarter in which
the event occurs. (Generally, the quarterly
pull occurs on the fifth business day
following the end of FYQ1, FYQ2 and
FYQ3, and on the tenth business day
following the end of FYQ4.)
m. Remedial Action (RA) Start (NPL & PRP-lead Superfund Alternative)
Definition:
Remedial Action - A Remedial Action (RA) is the actual construction or implementation
phase of a Superfund site cleanup, as selected in the remedy decision document (e.g.,
ROD, ROD amendment, BSD), that follows remedial design. Fund-financed remedial
actions (including RAs financed from a Special Account) can only be funded at sites that
are final on the NPL. PRP-fmanced RAs (unless financed from a Special Account) may
be performed at NPL and SAA settlement sites.
Limited Remedial Action - A Limited Remedial Action (Limited RA) is the
implementation of a remedy decision document where the only action selected is
Monitored Natural Attenuation, Monitored Natural Recovery, and/or Institutional
Controls. A Limited RA is distinguished from Remedial Action because the remedy
typically requires no remedial design and is distinguished from a No Action/No Further
October 1,2010
B-38
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
Action ROD because the remedy includes at least some remedial action component. In
the case of monitored natural attenuation, natural processes are used to attain cleanup
goals, and the Limited RA may only consist of adding monitoring wells and a
determination that the action is complete. Monitored natural recovery is a remedy that
typically uses known, ongoing, naturally occurring processes to contain, destroy, or
otherwise reduce the bioavailability or toxicity of contaminants in sediment. A monitored
natural recovery remedy generally includes site-specific cleanup levels and remedial
action objectives, and the Limited RA may only consist of monitoring to assess whether
risk is being reduced as expected. For an institutional control only remedy, the Limited
RA consists of ensuring the institutional controls are in place. To identify an RA as a
Limited RA in CERCLIS, a Region should attach the Limited RA Critical Indicator to the
RA action code (Action Name = Remedial Action or PRP RA).
Institutional Control Remedial Action - An institutional control remedial action is an
anomaly-coded action used solely to fund the institutional control implementation (or
oversight) component of a selected remedy where the remedial action for the selected
remedy has already been completed. This action is distinguished from a limited remedial
action, in which the selected remedy is monitored natural attenuation, monitored natural
recovery, and/or institutional controls only. Because this action is associated with an
existing completed remedial action, the Other Start and Completion anomaly code
(RAA_CODE = "OA") should be used. Where the selected remedy includes physical
construction as well as institutional controls, and the remedial action is not yet started or
is underway, implementation of the institutional controls should be included in the
remedial action and the anomaly code should not be used.
DISCLAIMER: The Remedial Action start is a program management accomplishment
that does not signify definition of physical on-site construction for purposes of
calculating a cost recovery statute of limitations. The date found in the remedial action
actual start column of a CERCLIS report is a programmatic measure only, and cannot be
relied upon to create any rights, substantive or procedural, enforceable by any party in
litigation with the United States. EPA reserves the right to change such data at any time
without public notice.
Definition of Accomplishment
The start date (Actual Start) of the RA, Limited RA, or Institutional Control Action
(Action Name = Remedial action or PRP RA), as defined below, is entered into
CERCLIS to record the start accomplishment.
Fund-financed (Including F-, EP-, TR-, and S-lead actions) Remedial Action and
Institutional Control Remedial Action
- A RA start at a final NPL site is the date a contract modification for the RA is
signed by the EPA CO or the IAG is signed by the other federal agency or a
Cooperative Agreement is awarded, and funds are obligated.
A RA start at a final NPL site, which is a subsequent RA start under an existing
IAG, is the date the amendment to the IAG to include the new work is approved.
FY 11 SPIM B-39 October 1, 2010
-------
OSWER Directive 9200.3-14-1G-V
Limited Remedial A ction
- A Limited RA start at a final NPL site is the date a ROD selecting a limited
remedial action is signed.
PRP- financed RA from a Special Account (including Special Account Financed
Action performed by EPA (SA-lead), the State (SS-Lead), or Tribal Governments
(ST-lead) actions).
- The appropriate use of Special Account funds for remedial actions is provided in
the "Guidance on Key Decision Points in Using Special Account Funds" dated
September 28, 2001.
Remedial Action and Institutional Controls Remedial Action
- A RA start at a final NPL site is the date a contract modification for the RA is
signed by the EPA CO or the TAG is signed by the other federal agency or a
Cooperative Agreement is awarded, and funds are obligated.
A RA start at a final NPL site, which is a subsequent RA start under an existing
TAG, is the date the amendment to the TAG to include the new work is approved.
Limited Remedial A ction
A Limited RA start at a final NPL site the date a ROD selecting a limited
remedial action is signed.
PRP-financed under federal enforcement (MR- lead actions) Remedial Action
A RA start at a NPL or SAA settlement site is the date either one of the following
occurs and has been recorded in CERCLIS:
If work is performed by the PRPs under the same CD as the RD, the RA start is
the date EPA approves, in writing, the PRP RD document (RD completion); or
Where the Fund performed the RD or the RD was done under a settlement/order
for RD only and the PRPs are doing the RA under the terms of a separate CD or
judgment for RA only, the RA start date is one of the following that occurs first:
» The date the Regional Administrator signs the memorandum transmitting
the CD (Action Name = Consent Decree) to DOJ or HQ; or
» The date the judgment (Action Name = Judicial/Civil Judgment) was
signed by the federal judge; or
» The date EPA approves, in writing, the final design document for the RD.
Institutional Control Remedial Action
A RA start at a NPL or Superfund Alternative site is the date the earlier of the
following actions takes place:
» The date of signature of the AOC for RA by the Regional Administrator or
his delegate, or the date of signature of an amendment to an existing AOC
to include the RA;
» The date the Regional Administrator signs the memorandum transmitting
the CD to DOJ or HQ; or
» An official written notice to proceed is issued by EPA to the PRP.
October 1,2010 B-40 FY11SPIM
-------
OSWER Directive 9200.3-14-1G-V
Limited Remedial A ction
- A Limited RA start at a NPL or SAA settlement site, under the terms of a CD or
judgment for RA only, is the date either one of the following occurs and is
recorded in CERCLIS:
» The CD (Action Name = Consent Decree) is transmitted by the Regional
Administrator to HQ or the DOJ; or
» The date the judgment (Action Name = Judicial/Civil Judgment) was
signed by the federal judge.
PRP-financed under federal enforcement (RP- lead actions)
Remedial Action
A RA start at a NPL or SAA settlement site is the date either one of the following
occurs and has been recorded in CERCLIS:
» If work is performed by the PRPs under the same CD as the RD, the RA
start is the date EPA approves, in writing, the PRP RD document; 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 separate CD, UAO (RP-lead RA only) or judgment for RA only, the RA
start date (Actual Start) is one of the following that occurs first:
The date of the PRP's written notice of intent to comply with the
UAO for the RP-lead RA (Action Name = Unilateral Admin Order
and Sub Action Name = PRP's Ntfy EPA, Intent to Comply); or
The date the Regional Administrator signs the memorandum
transmitting the CD (Action Name = Consent Decree); or
The date the judgment (Action Name = Judicial/Civil Judgment)
was signed by the federal judge; or
The date EPA approves, in writing, the final design document for
theRD.
Institutional Control Remedial Action
A RA start a NPL or SAA settlement site is the date the earlier of the following
actions takes place:
» The date of signature of the AOC for RA by the Regional Administrator or
his delegate, or the date of signature of an amendment to an existing AOC
to include the RA;
» The date the Regional Administrator signs the memorandum transmitting
the CD to DOJ or HQ; or
» An official written notice to proceed is issued by EPA to the PRP.
Limited Remedial A ction
- A Limited RA start at a NPL or SAA settlement site, under the terms of a CD,
UAO or judgment for RA only, is that date either one of the following occurs and
is recorded in CERCLIS:
The date of the PRP's written notice of intent to comply with the UAO (Action
Name = Unilateral Admin Order and Sub Action Name = PRP's Ntfy EPA, Intent
to Comply);
FY 11 SPIM B-41 October 1, 2010
-------
OSWER Directive 9200.3-14-1G-V
- The date the Regional Administrator signs the memorandum transmitting the CD
to DOJ or HQ; or
The date the judgment (Action Name = Judicial/Civil Judgment) was signed by
the federal judge.
PRP-financed under State enforcement (PS-lead actions)
Remedial Action
If the PRP is doing work under a state order or comparable enforcement
document, and the NPL or SAA settlement site is covered by a state enforcement
cooperative agreement or State Memorandum of Agreement (SMOA) with a
schedule for remedial action work at the site, and EPA approved the ROD, the RA
start is the date the state approves, in writing, the PRP RD document.
Institutional Control Remedial Action
The RA start at a NPL or SAA settlement site is the issuance or effective date of a
state order or other comparable state enforcement document for the RA. If the RA
is covered by a preexisting order, the RA start date is the notice to proceed date.
Limited Remedial A ction
If the PRP is doing work under a state order or comparable enforcement
document, and the NPL or SAA settlement site is covered by a state enforcement
cooperative agreement or State Memorandum of Agreement (SMOA) with a
schedule for remedial action work at the site, and EPA approved the ROD, the
Limited RA start is the issuance or effective date of the enforcement instrument.
For both Fund- and PRP-financed actions- The region must identify the technologies to
be constructed. To do this, the following information must be entered into CERCLIS: the
Alternative Name, Media Name, Media Type, and the technology of the RA into the
Response Action Type field (Selected Response Actions).
Changes in Definition FY10 - FY11:
Added a definition for Institutional Control Remedial Actions.
Special Planning/Reporting Requirements:
This is a program measure. The actual start date (Actual Start) of the RA (Action Name =
Remedial Action or PRP RA), the critical indicator (Long-Term Action or Limited
Remedial Action), and, for PRP-lead RAs, the appropriate enforcement information must
be entered into CERCLIS. The Region must also enter the Alternative Name, Media
Name, Media Type, and the remedial response actions (Selected Response Actions)
associated with the RA into CERCLIS. Fund-financed RAs are planned on a site-and
action-specific basis and are in the RA Site Allowance. Oversight of RP-lead RAs is
planned on a site-and action-specific basis and is funded through the Pipeline Operations
Site Allowance. SAA settlement sites should be identified in CERCLIS using the special
initiatives indicator by designating these sites as "SAA settlement."
October 1,2010 B-42 FY11SPIM
-------
OSWER Directive 9200.3-14-1G-V
Data Entry Timeliness Requirement:
SPIM Action/
Activity
Action name —
Remedial
Action (RA)
Action name =
PRP RA (BF)
Action name =
PRP RA (BF)
Action name =
PRP RA (BF)
Activity
Type
Program
Measure
Program
Measure
Program
Measure
Program
Measure
SPIM
Lead
F,EP,
TR, S,
SA,
SS, ST
MR
RP
PS
Documentation
Required
Contract modification for
the RA or IAG.
Written approval by the
EPA of the PRP RD
document,
Memo transmitting the
CDtoDOJorHQ
The judgment, or written
approval from the EPA of
the final design document
for the RD.
Written approval from
EPA of the PRP RD
document;
PRP's written notice of
intent to comply with
UAO
Memo transmitting the
CD and judgment
EPA written approval of
the final design document.
Written approval from the
state of the PRP RD
document.
Documentation
Approval/ Date
Requirements
RA signed by the
EPA CO; or
IAG signed by the
other federal
agency.
The date of written
approval.
Signed by the
Regional
Administrator
Signed by the
federal judge
The date of written
approval.
The date of written
notice
Memo signed by
the Regional
Administrator;
judgment signed by
the federal judge
100% design
approval by EPA
The date of written
approval.
Data Must Be Entered By
It is good management
practice to enter data regarding
the event as soon as
practicable after the event
occurs. However, data must be
entered prior to the quarterly
pull for the quarter in which
the event occurs. (Generally,
the quarterly pull occurs on the
fifth business day following
the end of FYQ1, FYQ2 and
FYQ3, and on the tenth
business day following the end
ofFYQ4.)
It is good management
practice to enter data regarding
the event as soon as
practicable after the event
occurs. However, data must be
entered prior to the quarterly
pull for the quarter in which
the event occurs. (Generally,
the quarterly pull occurs on the
fifth business day following
the end of FYQ1, FYQ2 and
FYQ3, and on the tenth
business day following the end
ofFYQ4.)
It is good management
practice to enter data regarding
the event as soon as
practicable after the event
occurs. However, data must be
prior to the quarterly pull for
the quarter in which the event
occurs. (Generally, the
quarterly pull occurs on the
fifth business day following
the end of FYQ1, FYQ2 and
FYQ3, and on the tenth
business day following the end
ofFYQ4.)
It is good management
practice to enter data regarding
the event as soon as
practicable after the event
occurs. However, data must be
entered prior to the quarterly
FY 11 SPIM
B-43
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
SPIM Action/
Activity
Action name =
Remedial
Action (RA):
Limited
Remedial
Action
Action name =
PRP RA (BF):
Limited
Remedial
Action
Action name =
PRP RA (BF):
Limited
Remedial
Action
Activity
Type
Program
Measure
Program
Measure
Program
Measure
SPIM
Lead
FTR
, l±v,
S,SA,
SS ST
OO^ O -L
RP
MR
Documentation
Required
Signed ROD.
PRP's written notice of
intent to comply with
UAO;
Memo transmitting the
CDtoDOJorHQ;
A judgment.
CD transmitted by the
Regional Administrator to
HQ or the DOJ; or
Judgment.
Documentation
Approval/ Date
Requirements
ROD signature
date
The date of written
notice.
Signed by the
Regional
Administrator
Signed by the
federal judge.
The date of CD
transmittal memo.
Signed by the
federal judge.
Data Must Be Entered By
pull for the quarter in which
the event occurs. (Generally,
the quarterly pull occurs on the
fifth business day following
the end of FYQ1, FYQ2 and
FYQ3, and on the tenth
business day following the end
ofFYQ4.)
It is good management
practice to enter data regarding
the event as soon as
practicable after the event
occurs. However, data must be
entered prior to the quarterly
pull for the quarter in which
the event occurs. (Generally,
the quarterly pull occurs on the
fifth business day following
the end of FYQ1, FYQ2 and
FYQ3, and on the tenth
business day following the end
ofFYQ4.)
It is good management
practice to enter data regarding
the event as soon as
practicable after the event
occurs. However, data must be
entered prior to the quarterly
pull for the quarter in which
the event occurs. (Generally,
the quarterly pull occurs on the
fifth business day following
the end of FYQ1, FYQ2 and
FYQ3, and on the tenth
business day following the end
ofFYQ4.)
It is good management
practice to enter data regarding
the event as soon as
practicable after the event
occurs. However, data must be
entered prior to the quarterly
pull for the quarter in which
the event occurs. (Generally,
the quarterly pull occurs on the
fifth business day following
the end of FYQ1, FYQ2 and
FYQ3, and on the tenth
business day following the end
October 1,2010
B-44
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
SPIM Action/
Activity
Action name =
PRP RA (BF):
Limited
Remedial
Action
Action name =
Remedial
Action (RA):
Institutional
Control
Remedial
Action
Action name =
PRP RA (BF):
Institutional
Control
Remedial
Action
Action name =
PRP RA (BF):
Institutional
Control
Remedial
Activity
Type
Program
Measure
SPIM
Lead
PS
F,EP,
TR, S,
SA,
SS, ST
MR
RP
Documentation
Required
Enforcement instrument.
Contract modification for
the RA or IAG.
Official written notice
from the EPA to the PRP
or the enforcement
document under which the
RD is to be conducted
becomes effective (this
can be either the AOC , or
an amendment to an
existing AOC to include
RD;or
The PRP's written notice
of intent to comply with
the UAO; or
Memo transmitting the
CDtoDOJorHQ).
Official written notice
from the EPA to the PRP
or the enforcement
document under which the
RD is to be conducted
Documentation
Approval/ Date
Requirements
The date of
issuance or
effective date.
RA signed by the
EPA CO; or
IAG signed by the
other federal
agency.
Official written
notice from the
T7T) A
EPA
AOC signed by the
Regional
Administrator or
his delegate for the
RD
PRP's written
notice
Signed by Regional
Administrator.
Official written
notice from the
EPA
AOC signed by the
Data Must Be Entered By
ofFYQ4.)
It is good management
practice to enter data regarding
the event as soon as
practicable after the event
occurs. However, data must be
entered prior to the quarterly
pull for the quarter in which
the event occurs. (Generally,
the quarterly pull occurs on the
fifth business day following
the end of FYQ1, FYQ2 and
FYQ3, and on the tenth
business day following the end
ofFYQ4.)
It is good management
practice to enter data regarding
the event as soon as
practicable after the event
occurs. However, data must be
entered prior to the quarterly
pull for the quarter in which
the event occurs. (Generally,
the quarterly pull occurs on the
fifth business day following
the end of FYQ1, FYQ2 and
FYQ3, and on the tenth
business day following the end
ofFYQ4.)
It is good management
practice to enter data regarding
the event as soon as
practicable after the event
occurs. However, data must be
entered prior to the quarterly
pull for the quarter in which
the event occurs. (Generally,
the quarterly pull occurs on the
fifth business day following
the end of FYQ1, FYQ2 and
FYQ3, and on the tenth
business day following the end
ofFYQ4.)
It is good management
practice to enter data regarding
the event as soon as
practicable after the event
occurs. However, data must be
FY 11 SPIM
B-45
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
SPIM Action/
Activity
Action
Action name =
PRP RA (BF):
Institutional
Control
Remedial
Action
Activity
Type
SPIM
Lead
PS
Documentation
Required
becomes effective (this
can be either the AOC , or
an amendment to an
existing AOC to include
RD;or
The PRP's written notice
of intent to comply with
the UAO; or
Memo transmitting the
CDtoDOJorHQ).
State order or other
comparable state
enforcement document.
Documentation
Approval/ Date
Requirements
Regional
Administrator or
his delegate for the
RD
PRP's written
notice
Signed by Regional
Administrator.
Signature and date
on the enforcement
document.
Data Must Be Entered By
prior to the quarterly pull for
the quarter in which the event
occurs. (Generally, the
quarterly pull occurs on the
fifth business day following
the end of FYQ1, FYQ2 and
FYQ3, and on the tenth
business day following the end
ofFYQ4.)
It is good management
practice to enter data regarding
the event as soon as
practicable after the event
occurs. However, data must be
entered prior to the quarterly
pull for the quarter in which
the event occurs. (Generally,
the quarterly pull occurs on the
fifth business day following
the end of FYQ1, FYQ2 and
FYQ3, and on the tenth
business day following the end
ofFYQ4.)
n. RA Contract Award (NPL & PRP-lead Superfund Alternative)
Definition:
Award of RA contract is the date a contract for construction of the remedy is awarded.
Definition of Accomplishment:
Fund-financed (Including F-, TR-, and S-lead actions) - Date (recorded in CERCLIS as
an Actual Complete) when the EPA, state, USAGE, or BUREC awards (signs) a contract
to initiate a Fund-financed RA.
If a RAC contractor is assigned RA responsibility, the award of RA contract at a final
NPL site is defined as the date the RA subcontract is signed by the contractor. If an
ERRS contractor will be performing the RA, award of RA contract is defined as the date
(Actual Complete) the contract modification for the RA is signed by the EPA CO.
PRP-financed under federal enforcement (Including MR-, RP-, and PS-lead actions) -
Date (recorded in CERCLIS as an Actual Complete) when the PRP awards a contract to
initiate the RA at a NPL or Superfund Alternative site, as documented in a memorandum
to the site file.
October 1,2010
B-46
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
The actual completion date (Actual Complete) must be placed in CERCLIS with the RA
Sub Action, Award of RA Contract (Action Name = Remedial Action or PRP RA and the
SubAction Name = Award of Contract). This is a program measure. Superfund
Alternative sites should be identified in CERCLIS using the special initiatives indicator
by designating these sites as "Superfund Alternative."
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action name
= Remedial
Action(RA)
Action name
= PRPRA
(BF)
Activity
Type
Program
Measure
Program
Measure
SPIM
Lead
F,TR,
S
MR,
RP,
PS
Documentation
Required
Contract,
subcontract, or
contract
modification.
Memo
documenting PRP
awarded contract.
Documentation
Approval/ Date
Requirements
EPA, state, USAGE, or
BUREC signed contract.
RA subcontract signed
by the RAC contractor or
the contract modification
for the RA signed by the
EPA CO.
The date of memo to the
site file.
Data Must Be Entered By
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
entered prior to the quarterly pull
for the quarter in which the event
occurs. Generally, the quarterly pull
occurs on the fifth business day
following the end of FYQ1, FYQ2
and FYQ3, and on the tenth
business day following the end of
FYQ4.)
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
entered prior to the quarterly pull
for the quarter in which the event
occurs. (Generally, the quarterly
pull occurs on the fifth business day
following the end of FYQ1, FYQ2
and FYQ3, and on the tenth
business day following the end of
FYQ4.)
o. Start of On-Site Construction
Definition:
This measure counts the initiation of on-site construction for all remedial actions at NPL
or Superfund Alternative sites. A remedial action (RA) is the actual construction or
implementation of a discrete scope of activities supporting a Superfund site cleanup.
Each RA project is designed to achieve progress toward specific remedial action
objectives (RAOs) identified in a CERCLA remedy decision document (e.g., ROD, ROD
amendment, ESD). Fund-financed remedial actions (including RAs financed from a
Special Account) can only be funded at sites that are final on the NPL. PRP-fmanced
FY 11 SPIM
B-47
October 1,2010
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OSWER Directive 9200.3-14-1G-V
RAs (unless financed from a Special Account) may be performed at NPL and Superfund
Alternative sites.
Definition of Accomplishment:
RA On-Site Construction for a Remedial Action begins when the EPA, RAC contractor,
USAGE, state or PRP, or their contractors have begun on-site construction work at a site
for the remedial action selected in the ROD or other decision document.
Fund-financed (Including F-, TR-, and S- lead actions) - EPA, the state or their
contractors have begun work for on-site construction of the remedy at a site on the
final NPL. A memo to file documenting that the contractor has mobilized and
began substantial and continuous physical on-site remedial action is required.
This date is entered into CERCLIS as the RA On-Site Construction SubAction
(Action Name = Remedial Action and SubAction Name = RA On-Site
Construction Start) actual completion date (Actual Complete).
PRP- financed from a Special Account (including Special Account Financed
Action performed by EPA (SA-lead), the State (SS-Lead), or Tribal
Governments (ST-lead) actions) - EPA, the state or their contractors have begun
work for on-site construction of the remedy at a site on the final NPL. A memo to
file documenting that the contractor has mobilized and began substantial and
continuous physical on-site remedial action is required. This date is entered into
CERCLIS as the RA On-Site Construction SubAction (Action Name = Remedial
Action and SubAction Name = RA On-Site Construction Start) actual completion
date (Actual Complete).
PRP-financed under federal enforcement (Including RP- and MR- lead
actions) - The PRPs or their contractors have begun work at a NPL or Superfund
Alternative site for on-site construction of the remedy. The date of on-site
construction must be documented in a memorandum to the site file stating when
the contractor began substantial and continuous physical on-site remedial action.
A copy of a report of start up from the contracting party is also acceptable. The
date of on-site construction must be entered into CERCLIS as the RA On-Site
Construction SubAction (Action Name = PRP RA and SubAction Name = RA
On-Site Construction Start) actual completion date (Actual Complete).
In addition, to receive credit under this measure, the PRPs must be in compliance
with a UAO, or an enforcement instrument signed by EPA and the PRPs, or a
judgment signed by a federal judge. The following information must be entered
into CERCLIS for the enforcement instrument:
» The date (Actual Complete) the PRPs provide notice of intent to comply
(Action Name = PRP Notify EPA of Intent to Comply) with a UAO for
the RP-lead RA signed (Actual Complete) by the designated regional
official (Action Name = Unilateral Admin Order), and the Response Acts
Pd by Parties of "PRP RA" or
» The date the CD (Action Name = Consent Decree) was signed by the
PRPs, the designated regional official, and the federal judge (Actual
Complete), and the Response Acts Pd by Parties of "PRP RA"; or
October 1,2010 B-48 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
» The date a judgment (Action Name = Judicial/Civil Judgment) was signed
by the federal judge (Actual Complete), and the Response Acts Pd by
Parties of "PRPRA".
PRP-financed under State enforcement (PS-lead actions) - The PRPs or their
contractors have begun work at a NPL or Superfund Alternative site for on-site
construction of the remedy. The date of on-site construction must be documented
in a memorandum to the site file stating when the contractor began substantial and
continuous physical on-site remedial action. A copy of a report of start up from
the contracting party is also acceptable. The date of on-site construction must be
entered into CERCLIS as the RA On-Site Construction SubAction (Action Name
= PRP RA and SubAction Name = RA On-Site Construction Start) actual
completion date (Actual Complete). In addition, to receive credit under this
measure, the PRPs must be working under a state enforcement instrument.
Changes in Definition FY10 - FY11:
Definition and requirements for Ground Water Monitoring (Post-ROD) were moved to
Section B.B.2.V.
Special Planning/Reporting Requirements:
RA starts will be tracked separately for management purposes. The date of RA on-site
construction (SubAction Name = RA On-site Construction Start) will be used for
purposes of establishing the Statute of Limitation (SOL) determination. It is also used as
the trigger date for a statutory Five Year Review, if applicable. The Five Year Review
planned completion date is set for five years after the RA On-Site Construction Start
planned start date. The Five Year Review planned completion date will be greyed out and
uneditable once the actual start date for the RA On-Site Construction Start is entered.
This is a program measure.
Data Entry Timeliness Requirements:
SPIM Action/
Activity
Action name =
Remedial Action
(RA): SubAction
name = RA On-
Site Construction
(RG)
Action name =
PRP RA (BF):
Activity
Type
Program
Measure
Program
SPIM
Lead
F, TR,
S
RP,
Documentation
Required
rVlcmo
Memo or a copy of a
report of start up from
Documentation
Approval/ Date
Requirements
The date of memo to
the site file.
Memo to site file.
Data Must Be Entered By
It is good management practice
to enter data regarding the
event as soon as practicable
after the event occurs.
However, data must be entered
prior to the quarterly pull for
the quarter in which the event
occurs. (Generally, the
quarterly pull occurs on the
fifth business day following the
endofFYQl,FYQ2and
FYQ3, and on the tenth
business day following the end
ofFYQ4.)
It is good management practice
to enter data regarding the
FY 11 SPIM
B-49
October 1,2010
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OSWER Directive 9200.3-14-1G-V
SPIM Action/
Activity
Sub Action name
= RA On-Site
Construction
(RG)
Action name =
PRP RA (BF):
Sub Action name
= RA On-Site
Construction
(RG)
Action name =
Unilateral Admin
Order (UA)
Consent Decree
(CD)
Judicial/Civil
Judgment (JG)
Activity
Type
Measure
Program
Measure
Program
Measure
SPIM
Lead
MR
PS
MR,
RP
Documentation
Required
the contracting party
Memo or a copy of a
report of start up from
the contracting party.
State enforcement
instrument
PRP's written notice
of intent to comply
with UAO; or Memo
transmitting the CD to
DOJorHQjor
Judgment signed by
the federal judge.
Documentation
Approval/ Date
Requirements
Memo to site file.
The date of PRP's
written notice.
Signed by the
Regional
Administrator
Signed by the
federal judge.
Data Must Be Entered By
event as soon as practicable
after the event occurs.
However, data must be entered
prior to the quarterly pull for
the quarter in which the event
occurs. (Generally, the
quarterly pull occurs on the
fifth business day following the
endofFYQl,FYQ2and
FYQ3, and on the tenth
business day following the end
ofFYQ4.)
It is good management practice
to enter data regarding the
event as soon as practicable
after the event occurs.
However, data must be entered
prior to the quarterly pull for
the quarter in which the event
occurs. (Generally, the
quarterly pull occurs on the
fifth business day following the
endofFYQl,FYQ2and
FYQ3, and on the tenth
business day following the end
ofFYQ4.)
It is good management practice
to enter data regarding the
event as soon as practicable
after the event occurs.
However, data must be entered
prior to the quarterly pull for
the quarter in which the event
occurs. (Generally, the
quarterly pull occurs on the
fifth business day following the
endofFYQl,FYQ2and
FYQ3, and on the tenth
business day following the end
ofFYQ4.)
p. Operational and Functional (O&F)
Definition:
O&F activities are conducted after physical construction of the remedy is complete to
ensure that it is functioning properly and operating as designed. A remedy is determined
to be operational and functional either one year after construction is complete, or when
EPA and the state concur that the remedy is functioning properly and is performing as
October 1,2010
B-50
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
designed (whichever is earlier). EPA may grant extensions to the one-year period, as
appropriate. O&F activities occur during the last year of the RA activities, and generally
guide the schedule for transferring O&M responsibilities to States for fund-financed
remedies.
O&F determinations are only made for those remedies that have an operation and
maintenance (O&M), Long-term response action (LTRA), or PRP Long-term response
action (PRP LR) component. All leads except Federal facilities may have an O&F
determination. Monitored natural attenuation also has a simplified O&F determination.
EPA is responsible for the O&F determination (with concurrence from the appropriate
parties); therefore all O&F subactions are given a Fund-financed lead code. Upon O&F
completion, the remedy moves into LTRA, PRP LR, or O&M.
Definition of Accomplishment:
O&F activities are completed when the appropriate parties (e.g., state, PRP) concur that
the remedy is operational and functional, and the completion (Actual Completion Date)
of O&F (SubAction Name = Operational and Functional) is documented by a letter from
EPA to the appropriate parties. The O&F completion date directly corresponds to the start
date for the LTRA, PRP LR or O&M action that follows.
The Interim or Final RA Report is only used to document RA completion, and should no
longer be used to document O&F determinations due to potential delays in preparing RA
reports. O&F completions should be documented by a letter from EPA to the appropriate
parties, independent from the RA report. This will ensure timely transfer of O&M
responsibilities to States at fund-financed remedies.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
The completion (Actual Complete) of O&F (SubAction Name = Operational and
Functional) are reported site and OU specifically in CERCLIS. This is a program
measure. As a subaction, O&F does not receive funding.
Data Entry Timeliness Requirement:
SPIM Action/
Activity
SubAction
Name ~~
Operational
and
Functional
fvivn
^ V IV L)
Activity
Type
Program
Measure
SPIM
Lead
F
Documentation
Required
Letter to the
interested
parties.
Documentation
Approval/ Date
Requirements
Signed by the
designated regional
official within 1 year
of remedy
construction, unless an
extension has been
granted
Data Must Be Entered By
It is good management practice to
enter data regarding the event as soon
as practicable after the event occurs.
However, data must be entered prior
to the quarterly pull for the quarter in
which the event occurs. (Generally,
the quarterly pull occurs on the fifth
business day following the end of
FYQ1, FYQ2 and FYQ3, and on the
FY 11 SPIM
B-51
October 1,2010
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OSWER Directive 9200.3-14-1G-V
SPIM Action/
Activity
Activity
Type
SPIM
Lead
Documentation
Required
Documentation
Approval/ Date
Requirements
Data Must Be Entered By
tenth business day following the end
ofFYQ4.)
q. Completion of a Response Action (NPL & PRP-lead Superfund Alternative)
Definition:
Remedial Action - A Remedial Action (RA) is the actual construction or implementation
phase of a Superfund site cleanup, as selected in the remedy decision document (e.g.,
ROD, ROD amendment, BSD), that follows remedial design. Fund-financed remedial
actions (including RAs financed from a Special Account) can only be funded at sites that
are final on the NPL. PRP-fmanced RAs (unless financed from a Special Account) may
be performed at NPL and SAA settlement sites.
Limited Remedial Action - A Limited Remedial Action (Limited RA) is the
implementation of a remedy decision document where the only action selected is
Monitored Natural Attenuation, Monitored Natural Recovery, and/or Institutional
Controls. A Limited RA is distinguished from Remedial Action because the remedy
typically requires no remedial design and is distinguished from a No Action/No Further
Action ROD because the remedy includes at least some remedial action component. In
the case of monitored natural attenuation, natural processes are used to attain cleanup
goals, and the Limited RA may only consist of adding monitoring wells and a
determination that the action is complete. Monitored natural recovery is a remedy that
typically uses known, ongoing, naturally occurring processes to contain, destroy, or
otherwise reduce the bioavailability or toxicity of contaminants in sediment. A monitored
natural recovery remedy generally includes site-specific cleanup levels and remedial
action objectives, and the Limited RA may only consist of monitoring to assess whether
risk is being reduced as expected. For an institutional control only remedy, the Limited
RA consists of ensuring the institutional controls are in place. To identify an RA as a
Limited RA in CERCLIS, a Region should attach the Limited RA Critical Indicator to the
RA action code (Action Name = Remedial Action or PRP RA).
Institutional Control Remedial Action -An institutional control remedial action is an
anomaly-coded action used solely to fund the institutional control implementation (or
oversight) component of a selected remedy where the remedial action for the selected
remedy has already been completed. This action is distinguished from a limited remedial
action, in which the selected remedy is monitored natural attenuation, monitored natural
recovered, and/or institutional controls only. Because this action is associated with an
existing completed remedial action, the Other Start and Completion anomaly code
(RAA_CODE = "OA") should be used. Where the selected remedy includes physical
construction as well as institutional controls, and the remedial action has not yet started
or is underway, implementation of the institutional controls should be included in the
remedial action and the anomaly code should not be used.
October 1,2010
B-52
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
Ground Water Monitoring (Post- ROD) -Ground Water Monitoring (Post-ROD) is the
collection and analysis of ground water samples as a result of a Record of Decision that
addresses ground water contamination at a site or operable unit. The purpose of the
ground water monitoring is to ensure that ROD assumptions regarding no action on the
ground water are correct rather than to verify performance of a ground water restoration
or containment remedy.
Definition of Accomplishment:
The completion date (Actual Completion) of the RA, Limited RA, or Institutional Control
Action (Action Name = Remedial action or PRP RA), as defined below, is entered into
CERCLIS to record the complete accomplishment. The completion date (Actual
Completion) of the Ground Water Monitoring (Post-ROD) Action (Action Name =
Grndwtr Monitor (Post-ROD)), as defined below, is entered into CERCLIS to record the
complete accomplishment.
Remedial Action Completion
Remedial Action and Limited Remedial Action
A Fund-financed RA completion at a final NPL site or a PRP-lead RA completion
at a NPL or SAA settlement site is the date the designated regional official
approves the Interim or Final Remedial Action Report.
An action qualifier must be entered into CERCLIS indicating the RA was
completed via an Interim or Final RA Report (Action Qualifier = Interim RA or
Final RA).
Examples of Remedial action completions and criteria for EPA approval of the Interim
and Final RA Reports are in Chapter 2 of the Closeout Procedures for National Priorities List
Sites (OSWER 9320.2-09A-P).
Institutional Control Remedial Action
A Fund-financed RA completion at a final NPL site or a PRP-lead RA completion
at a NPL or SAA settlement site is the date it is determined, through the
appropriate institutional control documentation vehicle designated in the ROD
(e.g. deed restriction, well drilling restriction, ground water use restriction) is
implemented, as appropriate.
Ground Water Monitoring (Post-ROD) Completion
A Fund-financed ground water monitoring (post-ROD) completion at a final NPL
site or a PRP-lead ground water monitoring (post-ROD) completion at a NPL or
SAA settlement site is the date EPA determines, through a Final Superfund Close-
Out Report or memorandum signed by the appropriate regional official, that
ground water monitoring is no longer necessary.
Changes in Definition FY10 - FY11:
Language has been updated to include Institutional Control Remedial Actions.
FY 11 SPIM B-53 October 1, 2010
-------
OSWER Directive 9200.3-14-1G-V
Special Planning/Reporting Requirements:
Remedial action, limited remedial action, institutional control remedial action, and
ground water monitoring (post-ROD) completions will be tracked separately but
accomplishments, with the anomaly-coded remedial actions, will be reported on a
combined basis. Regions must enter an action qualifier into CERCLIS indicating the RA
was completed via an Interim or Final RA Report for Remedial Action and Limited
Remedial Actions.
SPIM Action/
Activity
Action name =
Remedial
Action (RA) or
PRP RA (BF)
Action name =
Remedial
Action (RA) or
PRP RA (BF):
Limited
Remedial
Action
Action name =
Remedial
Action (RA) or
PRP RA (BF):
Institutional
Control
Remedial
Action
Action name =
Grndwtr
Monitor (Post-
ROD)(GM)
Activity
Type
Program
Measure
Program
Measure
SPIM
Lead
F,EP,
TR, S,
SA,
SS, ST,
MR,
RP, PS
F,EP,
TR, S,
SA,
SS, ST,
MR,
RP,PS
F,EP,
TR, S,
SA,
SS, ST,
MR,
RP, PS
F, S,
TR,
MR,
RP,PS
Documentation
Required
Written approval of
the Interim or Final
Remedial Action
Report.
Interim or Final RA
Report.
Signature of the
institutional control
documentation
vehicle designated
in the Record of
Decision
Final Superfund
Close-out Report,
Five-Year Review
report,
Documentation
Approval/ Date
Requirements
Written approval
from the designated
regional official of
the Interim or Final
Remedial Action
Report.
Signed by the
designated regional
official
Sionntiirp on tnp
Ol^lldLLll^/ \J11 111V
institutional control
documentation
Signed by the
Regional
Administrator, with
HQ concurrence.
Data Must Be Entered By
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
entered prior to the quarterly pull
for the quarter in which the event
occurs.(Generally, the quarterly
pull occurs on the fifth business
day following the end of FYQ1,
FYQ2 and FYQ3, and on the tenth
business day following the end of
FYQ4.)
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
entered prior to the quarterly pull
for the quarter in which the event
occurs. (Generally, the quarterly
pull occurs on the fifth business
day following the end of FYQ1,
FYQ2 and FYQ3, and on the tenth
business day following the end of
FYQ4.)
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
entered prior to the quarterly pull
for the quarter in which the event
occurs. (Generally, the quarterly
pull occurs on the fifth business
day following the end of FYQ1,
FYQ2 and FYQ3, and on the tenth
business day following the end of
FYQ4.)
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
October 1,2010
B-54
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
SPIM Action/
Activity
Activity
Type
SPIM
Lead
Documentation
Required
memorandum
Documentation
Approval/ Date
Requirements
Not specified.
Signed by
appropriate regional
official
Data Must Be Entered By
entered prior to the quarterly pull
for the quarter in which the event
occurs. (Generally, the quarterly
pull occurs on the fifth business
day following the end of FYQ1,
FYQ2 and FYQ3, and on the tenth
business day following the end of
FYQ4.)
r. Construction Completion (NPL & PRP-lead Superfund Alternative)
Definition:
Construction at an NPL or PRP-lead Superfund Alternative site is considered complete
when physical construction is complete for the entire site as a result of one or more
removal and/or remedial actions, and a Preliminary Close Out Report (PCOR) has been
signed by the designated regional official and concurred with by HQ. The report must
address construction activities for the entire site. There is only one Construction
Completion accomplishment per site. For more detailed information on the specific
requirements for Construction Completion, see OSWER Directive 9320.2-09A-P, "Close
Out Procedures for National Priorities List Sites."
Definition of Accomplishment:
The Construction Completion designation requires that the remedy is documented in a
final ROD, physical construction of the remedy is complete, a pre-fmal inspection has
been conducted and only minor punch list items remain, and the designated regional
official has signed the PCOR.
Construction Completion is achieved when the Region enters the signature date (Actual
Complete) of the PCOR into CERCLIS (Action Name = Prelim Close-Out Rep Prepared)
AND HQ selects the appropriate special initiative indicator in CERCLIS (Indicator Name
= Construction Completion or Indicator Name = SAA Construction Completion). This action
constitutes HQ concurrence with the construction completion documentation. EPA is
responsible for documenting Construction Completion; therefore all PCOR actions are
given a Fund-financed lead code.
If a site meets both the Construction Completion and Site Completion criteria
simultaneously, then a PCOR is not needed. In this situation, a Final Close Out Report
may be prepared in order to satisfy documentation requirements for both milestones. The
same CERCLIS rules apply for the signature date (Actual Complete) of the FCOR
(Action Name = Close Out Report) and HQ selection of the special initiative indicator.
For NPL sites addressed entirely through removal actions, the following documentation
and coding requirements apply:
Fund-Financed: Contractor has demobilized, as recorded in POLREP.
FY 11 SPIM
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October 1,2010
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OSWER Directive 9200.3-14-1G-V
PRP-Financed: Region certifies that PRPs or their contractor have completed the
removal specified in the Action Memorandum and fully met the terms of the AO,
CD or judgment.
Both Fund- and PRP-Financed: The designated regional official has signed the
FCOR. The FCOR must demonstrate that the removal process included an
EE/CA, which complies substantially with NCP requirements.
The region enters the following into CERCLIS: The removal (Action Name = Removal
Action or PRP Removal) actual completion date (Actual Complete) as reported in the
POLREP; and the Qualifier that indicates that the site is Cleaned Up; and the actual
completion date (Actual Complete) of the Final Close-Out Report (Action Name = Close
Out Report); AND HQ selects the appropriate special initiative indicator in CERCLIS
(Indicator Name = Construction Completion). This action constitutes HQ concurrence
with the construction completion documentation. EPA is responsible for documenting
Construction Completion; therefore all PCOR and FCOR actions are given a Fund-
financed lead code.
Changes in Definition FY10 - FY11:
The Construction Completion milestone now applies to PRP-lead sites with Superfund
Alternative Agreements (Indicator Name = Site with SA Agreement per OECA Policy),
in addition to NPL sites. However, sites with Superfund Alternative Agreements will not
be included in annual target setting and accomplishment reporting.
Special Planning and Reporting Requirements:
Regions will not receive credit for Construction Completion until the actual completion
date of the Preliminary or Final Close-Out Report is entered into CERCLIS, the
necessary documentation is submitted to HQ, and HQ selects the appropriate special
initiative indicator in CERCLIS. For NPL sites, Regions identify sites to meet the goal
prior to the start of the FY. Regions may receive credit under this measure and the NPL
Site Completion measure as a result of the same remedial action or removal action. This
is a GPRA annual performance goal, with respect to NPL sites only. Sites with Superfund
Alternative Agreements do not count toward meeting annual Construction Completion
goals.
Policy Five Year Review planned completion date is set for five years after the PCOR or
FCOR planned completion date. The Five Year Review planned completion date will be
grayed out once the actual completion date of the PCOR or FCOR is entered.
PART III. POST CONSTRUCTION COMPLETION
s. Long-Term Response Action (LTRA and PRP LR) (NPL & PRP-lead Superfund
Alternative)
Definition:
LTRA at a final NPL site is defined as the Fund-financed, or PRP-financed from a special
account, operation of ground water and surface water restoration actions (including
October 1,2010 B-56 FY11SPIM
-------
OSWER Directive 9200.3-14-1G-V
monitored natural attenuation) involving treatment or other measures to restore ground-
or surface-water quality to a level that assures protection of human health and the
environment. The period of LTRA is administratively complete when:
- Measures restore ground- or surface-water quality to a level that assures
protection of human health and the environment;
- Measures restore ground- or surface-water to such a point that the reductions in
contaminant concentrations are no longer significant; or
Ten years have elapsed; whichever is earliest.
PRP LR (PRP long-term response) is a specific type of O&M for those remedies with
operation of ground water and surface-water restoration actions (including monitored
natural attenuation) involving treatment or other measures to restore ground- or surface-
water quality to a level that assures protection of human health and the environment. The
period of PRP LR is administratively complete when:
- Measures restore ground- or surface-water quality to a level that assures
protection of human health and the environment; or
- Measures restore ground- or surface-water to such a point that the reductions in
contaminant concentrations are no longer significant; whichever is earliest.
Note that LTRA and PRP LR do not apply to other remedies that require a long time to
achieve cleanup goals, such as bioremediation or soil vapor extraction. LTRA and PRP
LR also do not apply to ground water or surface water containment measures, ground
water monitoring, ground water or surface water measures initiated for the primary
purpose of providing a drinking water supply.
The appropriate use of Special Account funds is provided in the "Consolidated Guidance
on the Establishment, Management and Use of CERCLA Special Accounts" dated
October 4, 2002.
Definition of Accomplishment:
Fund-financed LTRA, PRP-fmanced from a Special Account (Including Special Account
Financed Action performed by EPA (SA-lead), the State (SS-lead), or Tribal Government
(ST-lead) actions) or PRP LR Start: LTRA at a final NPL site or PRP-LR at a NPL or
Superfund Alternative site (Action Name = Long Term Response or PRP LR) begins
(Actual Start Date) on the date the remedy is determined to be O&F. Note that RA
completion may occur later than LTRA start because the Interim RA Report is to be
submitted to the region for approval within 90 days of the O&F determination.
Fund-financed LTRA or PRP-fmanced from a Special Account Completion: LTRA at a
final NPL site is complete (Actual Complete Date) ten years after it begins, when cleanup
goals are achieved as documented in the final RA Report, or when a technical
impracticability determination is made, whichever is earlier. LTRA transitions to O&M if
cleanup goals have not been achieved within the ten-year period.
FY 11 SPIM B-57 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
PRP LR Completion: PRP LR at a NPL or Superfund Alternative site is complete (Actual
Complete Date) when cleanup goals are achieved as documented in the final RA Report
or when a technical impracticability determination is made, whichever is earlier.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
LIRA and PRP LR are planned on a site-specific basis (Action Name = Long-term
Response or PRP LR) in CERCLIS and are used for resource allocation purposes only.
Funds for LTRA are issued site-specifically in the RA AOA. Funds for oversight of the
PRP LR are contained in the pipeline operations AOA.
Superfund Alternative sites should be identified in CERCLIS using the special initiatives
indicator by designating these sites as "Superfund Alternative."
October 1,2010 B-58 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
name =
Long
Term
Response
(LR)
Action
name =
PRPLR
(ME)
Activity
Type
Program
Measure
Program
Measure
SPIM
Lead
F, S,
TR,
SA,
SS, ST
RP,
MR,
PS,
SR
Documentation
Required
Start
Letter documenting
O&F completion
Complete
Letter to the state
confirming LTRA
transfer; or Final
RA Report; or
Technical
impracticability
determination
Start
Letter documenting
O&F completion
Complete
Final RA Report; or
Technical
impracticability
determination
Documentation Approval/
Date Requirements
Start Written approval from the
designated regional official.
Complete Signed by the
appropriate regional official.
Date is 10 years after LTRA
began; or Written approval
from the designated regional
official (Branch Chief or
above). Date is when cleanup
goals are achieved; or Written
approval from the designated
regional official.
Start Written approval from the
designated regional official.
Complete Written approval
from the designated regional
official (Branch Chief or
above). Date is when cleanup
goals are achieved; or Written
approval from the designated
regional official.
Data Must Be Entered By
It is good management
practice to enter data
regarding the event as soon as
practicable after the event
occurs. However, data must
be entered prior to the
quarterly pull for the quarter
in which the event occurs.
(Generally, the quarterly pull
occurs on the fifth business
day following the end of
FYQ1, FYQ2 and FYQ3, and
on the tenth business day
following the end of FYQ4.)
It is good management
practice to enter data
regarding the event as soon as
practicable after the event
occurs. However, data must
be entered prior to the
quarterly pull for the quarter
in which the event occurs.
(Generally, the quarterly pull
occurs on the fifth business
day following the end of
FYQ1, FYQ2 and FYQ3, and
on the tenth business day
following the end of FYQ4.)
t. Operation and Maintenance (O&M)
Definition:
O&M are the activities required to maintain the effectiveness or the integrity of the
remedy, and, in the case of Fund-financed or PRP-fmanced from a special account
measures to restore ground- or surface- waters, continued operation of such measures
beyond the LTRA period until cleanup goals are achieved. Except for Fund-financed or
PRP-fmanced from a special account ground- or surface- water restoration actions
covered under Section 300.435(f)(4) of the NCP, O&M measures are initiated after the
remedy has achieved the remedial action objectives and remediation goals in the ROD,
and is determined to be O&F (see definition of O&F).
Depending on the remedy that was implemented at the site/OU, O&M may not be
required, may only be required for a defined timeframe, or may be required to be
performed indefinitely. Examples of remedies where O&M may have an indefinite period
of performance are sites where waste is contained on-site and the integrity of the cap
must be maintained or sites where institutional controls must be maintained. In some
FY 11 SPIM
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OSWER Directive 9200.3-14-1G-V
instances, O&M may be complete when the ground- or surface- water restoration goals
are met. The state or PRP is totally responsible for O&M.
Ground water and surface water restoration measures, including monitored natural
attenuation conducted by the PRPs, are technically defined as O&M. However, to better
track these types of restoration remedies, regions should use PRP LR to indicate that
these activities are being performed at the site.
The appropriate use of Special Account funds is provided in the "Consolidated Guidance
on the Establishment, Management and Use of CERCLA Special Accounts" dated
October 4, 2002.
Definition of Accomplishment:
O&M Action Name = Operations and Maintenance starts when the state or PRPs assume
responsibility for all activities necessary to operate and/or maintain the long-term
effectiveness or integrity of the actions selected in the ROD. O&M starts (Actual Start
Date) on the date the remedy is declared O&F. Note that RA completion may occur later
that O&M start because the Final RA Report is to be submitted to the region for approval
within 90 days of the O&F determination.
For OUs where LTRA is required (either Fund-financed or PRP-financed through a
Special Account), O&M (Action Name = Operation and Maintenance) begins when
LTRA is complete (see Definition of Long-Term Response Action (LTRA)).
Where appropriate, the completion of O&M is defined as the date (Actual Complete) the
performance standards or conditions specified in the Cooperative Agreement that
provides funds for the RA, Superfund State Contract (SSC), or CD signed by EPA, the
PRPs and federal judge have been met with respect to O&M. If O&M must be conducted
indefinitely, regions should not enter an actual completion date.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
This is a program measure. O&M is planned site-specifically (Action Name = Operation
and Maintenance) in CERCLIS and is used for resource allocation purposes only. Funds
for oversight of O&M are contained in the pipeline operations AOA and/or a site specific
special account. If O&M is not required, regions should not enter the action into
CERCLIS. Where O&M must be conducted indefinitely, regions should not enter a
planned or actual completion date for the O&M action.
If the only O&M activities being conducted by the PRPs at the site are ground water or
surface water restoration, including monitored natural attenuation, regions should use the
'PRP LR Action instead of the 'Operations and Maintenance' Action. In this situation,
regions should not enter both Actions.
October 1,2010 B-60 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
Data Entry Timeliness Requirement:
SPIM Action/
Activity
Action Name =
Operations and
Maintenance
(OM) Start
Activity
Type
Program
Measure
SPIM
Lead
RP,PS,
MR,
SA, SS,
ST, SR,
SN
Documentation
Required
Letter
documenting
O&F completion
Letter to the state
confirming
LTRA transfer
Documentation
Approval/ Date
Requirements
Start: Signed by the
designated regional
official. Signed by the
appropriate regional
official. Date is 10
years after LTRA
began.
Data Must Be Entered By
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
entered prior to the quarterly pull
for the quarter in which the event
occurs. (Generally, the quarterly
pull occurs on the fifth business
day following the end of FYQ1,
FYQ2 and FYQ3, and on the tenth
business day following the end of
FYQ4.)
u. Cleanup Goals Achieved
Definition:
This measure is used to indicate when cleanup goals are achieved for ground water and
surface water restoration remedies, including monitored natural attenuation. It tracks
achievement of cleanup goals for these remedies because they were not achieved at
Remedial Action completion.
Definition of Accomplishment:
Cleanup goals are achieved when the designated regional official (Branch Chief or
above) approves in writing the Final Remedial Action Report for a ground water or
surface water restoration remedy. This report should update information previously
prepared in the Interim Remedial Action Report. For more detailed information, see
OSWER Directive 9320.2-09A-P, "Close Out Procedures for National Priorities List
Sites."
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
Cleanup Goals Achieved is planned on a site-specific basis (Action Name = LTRA or
PRP LR or Operations & Maintenance and SubAction Name = Cleanup Goals Achieved)
in CERCLIS. This is a program measure.
Data Entry Timeliness Requirement:
SPIM Action/
Activity
Action Name =
LTRA (LR) or
Activity
Type
Program
Measure
SPIM
Lead
F
Documentation
Required
Final Remedial
Action Report
Documentation
Approval/ Date
Requirements
Written approval
from regional
Data Must Be Entered By
It is good management practice to
enter data regarding the event as soon
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OSWER Directive 9200.3-14-1G-V
SPIM Action/
Activity
PRP LR (ME) or
O&M
Sub Action =
Cleanup Goals
Achieved (OQ)
Activity
Type
SPIM
Lead
Documentation
Required
Documentation
Approval/ Date
Requirements
official (Branch
Chief or above)
Data Must Be Entered By
as practicable after the event occurs.
However, data must be entered prior to
the quarterly pull for the quarter in
which the event occurs. (Generally, the
quarterly pull occurs on the fifth
business day following the end of
FYQ1, FYQ2 and FYQ3, and on the
tenth business day following the end of
FYQ4.)
v. Ground Water Monitoring
Definition:
This measure addresses ground water monitoring at non-NPL, NPL, or Superfund
Alternative sites that is specifically intended to ensure that assumptions that form the
basis of a No Action ROD for ground water are correct. If the ROD specifies that ground
water monitoring is the only activity that will be implemented during a ground water
cleanup, then it is a No action or No Further Action ROD. For this type of activity,
regions should enter a ground water monitoring activity (Action Name = Grndwtr
Monitor (Post-ROD)) into CERCLIS.
This measure is not intended to track routine ground water monitoring activities that
occur during site characterization or to verify performance of a ground water remedy
(e.g., extraction and treatment to restore an aquifer). Nor should this action be used to
track monitoring activities associated with monitored natural attenuation or monitored
natural recovery remedies (see description of Limited Remedial Actions, B.B.2.m.).
Definition of Accomplishment:
Credit is given for the start (Actual Start) of a Ground Water Monitoring (Post-ROD)
activity (Action Name = Grndwtr Monitor (Post-ROD)) when:
Fund-financed (Including F-, TR-, and S- lead actions) - Fund-financed ground
water monitoring starts on the date of a memo to the file documenting the first
sample was taken or a new well was installed.
PRP-financed under federal enforcement (Including MR- and RP- lead actions) -
PRP-fmanced ground water monitoring under federal enforcement starts on the
date of a memo to the file documenting the first sample was taken or a new well
was installed.
PRP-financed under State enforcement (PS-lead actions) - PRP-fmanced ground
water monitoring under state enforcement starts when a state order or comparable
state enforcement document is signed by the last state official.
The completion date (Actual Completion) of the Ground Water Monitoring (Post-ROD)
Action (Action Name = Grndwtr Monitor (Post-ROD)), as defined below, is entered into
CERCLIS to record the complete accomplishment.
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OSWER Directive 9200.3-14-1G-V
- A Ground Water Monitoring (Post-ROD) completion under all leads is the date
EPA determines, through a Final Close-Out Report (FCOR), Five-Year Review
report, or memorandum signed by the appropriate regional official, that ground
water monitoring is no longer necessary. An Interim or Final Remedial Action
Report is not appropriate because this activity only occurs in situations where no
remedial action is necessary.
Changes in Definition:
This action now appears in its own section to eliminate previous confusion regarding a
perceived linkage to remedial actions.
Special Planning and Reporting Requirements
Ground water monitoring and oversight of ground water monitoring is covered under the
Pipeline Operations AOA.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
name =
Grndwtr
Monitor
(Post-
ROD)
(GM)
Action
Name =
Grndwtr
Monitor
(Post-
ROD)
(GM)
Action
name =
Grndwtr
Monitor
(Post-
ROD)
(GM)
Activity
Type
Program
Measure
Program
Measure
Program
Measure
SPIM
Lead
F, TR,
S,MR,
RP
PS
F, TR,
S,MR,
RP, PS
Documentation
Required
Start: Signed ROD
and Memo.
,SY/7/"/* Stutp orHpr
i-JlLAll. OLdlX- \J1UX/1
or comparable state
enforcement
HnPllTTlPTlt"
UAJLrfLlll.lt 111.
Final Superfund
Close-Out Report,
Five Year Review
report,
memorandum.
Documentation
Approval/ Date
Requirements
Start: The date of
memo to file
documenting first
sample or new well.
Memo to site file.
Start: Signed by last
state official.
Signed by the
Regional
Administrator, with
HQ concurrence.
Not Specified.
Signed by
appropriate regional
official.
Data Must Be Entered By
It is good management practice to enter
data regarding the event as soon as
practicable after the event occurs.
However, data must be entered prior to
the quarterly pull for the quarter in
which the event occurs. (Generally, the
quarterly pull occurs on the fifth
business day following the end of
FYQ1, FYQ2 and FYQ3, and on the
tenth business day following the end of
FYQ4.)
It is good management practice to enter
data regarding the event as soon as
practicable after the event occurs.
However, data must be entered prior to
the quarterly pull for the quarter in
which the event occurs. (Generally, the
quarterly pull occurs on the fifth
business day following the end of
FYQ1, FYQ2 and FYQ3, and on the
tenth business day following the end of
FYQ4.)
It is good management practice to enter
data regarding the event as soon as
practicable after the event occurs.
However, data must be entered prior to
the quarterly pull for the quarter in
which the event occurs (Generally, the
quarterly pull occurs on the fifth
business day following the end of
FYQ1, FYQ2 and FYQ3, and on the
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OSWER Directive 9200.3-14-1G-V
SPIM
Action/
Activity
Activity
Type
SPIM
Lead
Documentation
Required
Documentation
Approval/ Date
Requirements
Data Must Be Entered By
tenth business day following the end of
FYQ4.)
w. NPL Site Completions
Definition:
An NPL site must meet all six criteria below to be eligible for site completion:
- Cleanup goals specified in the RODs or removals are met;
- Institutional controls are in place;
- All Remedial Action Reports, On-Scene Coordinator Reports, and Pollution
Reports have been completed;
All RODs, ROD Amendments, and Explanation of Significant Differences
(ESDs) have been completed;
The site is protective of human health and the environment; and
The only remaining activities, if any, at the site are operation and maintenance
activities that are performed by the state, Federal facility, or responsible parties.
There is only one NPL Site Completion per NPL site, and the site must be final on the
NPL. For more detailed information, see OSWER Directive 9320.2-09A-P, "Close Out
Procedures for National Priorities List Sites."
Definition of Accomplishment:
A NPL Site Completion occurs when the Final Close-out Report (FCOR) has been signed
by the Regional Administrator and concurred with by HQ. The region must enter the
completion date (Actual Complete) of the Final Close-Out Report Action Name = Close-
Out Report into CERCLIS. EPA is responsible for documenting site completion;
therefore all FCOR actions are given a Fund-financed lead code.
For examples of when to prepare FCORs, see the table in section B.A.S.q, Completion of
Response Action/Activity.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
Regions may receive credit under this measure and the NPL Site Construction
Completion measure as a result of the same Final Closeout Report. This is a program
measure.
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OSWER Directive 9200.3-14-1G-V
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
name =
Close-Out
Report
(CQ)
Activity
Type
Program
Measure
SPIM
Lead
F
Documentation
Required
Final Close-out
Report (FCOR).
Documentation
Approval/ Date
Requirements
Signed by the
Regional
Administrator with
HQ concurrence.
Data Must Be Entered By
It is good management practice to enter data
regarding the event as soon as practicable
after the event occurs. However, data must
be entered prior to the quarterly pull for the
quarter in which the event occurs.
(Generally, the quarterly pull occurs on the
fifth business day following the end of
FYQ1, FYQ2 and FYQ3, and on the tenth
business day following the end of FYQ4.)
x. Five Year Reviews
Definition:
A Five Year Review is a review of remedial action(s) selected under CERCLA '121(c).
The purpose of the Five Year Review is to determine whether the remedy at a site
is/remains protective of human health and the environment and to evaluate the
implementation and performance of the selected remedy. Where remedial actions are still
under construction, a Five Year Review determines whether immediate threats have been
addressed and whether EPA continues to expect the remedy to be protective when all
remedial actions are complete. EPA conducts statutory reviews of any site at which a
post-SARA remedy, upon attainment of cleanup levels specified in the ROD, will not
allow for unlimited use and unrestricted exposure. EPA conducts policy reviews at sites
where remedial actions will attain cleanup levels that, upon completion, will allow for
unlimited use and unrestricted exposure but will take longer than five years to complete,
at sites with pre-SARA remedies at which the cleanup levels do not allow for unlimited
use and unrestricted exposure, and atNPL removal only sites where cleanup levels do not
allow unlimited use and unrestricted exposure. EPA may also conduct Five Year Reviews
at their discretion for other sites.
Definition of Accomplishment:
Five Year Review Starts:
Fund-financed (Including F-, TR-, S- or EP-lead actions) - EPA or the state
begins any of the tasks discussed in the latest Five Year Review Guidance. This
action may be documented by a memo to the file or EPA approval of a workplan
for the Five Year Review. Note: EP-lead Five Year Reviews should have no
associated funding.
PRP-financed (Including RP- or PS-lead actions) - EPA approves the Five Year
Review workplan submitted by the PRPs under the terms of an enforcement
instrument. These lead codes indicate who finances and may perform some of the
work. The Five Year Review is still required to be approved and signed by EPA.
FY 11 SPIM
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OSWER Directive 9200.3-14-1G-V
PRP-financed from a Special Account (Special Account Financed Action
performed by EPA (SA lead) - A PRP-financed Five Year Review from a Special
Account is started when EPA approves the Five Year Review workplan.
The actual start date (Actual Start) for the Five Year Review (Action Name = Five Year
Review) is not required to be entered into CERCLIS.
Five Year Review Completions
Planned Completion Date:
Five Year Review planned completion dates, and the Report Due (SubAction Name =
FYR Report Due) date are system generated based on Five Year Review type entered at
the time of ROD completion or when the Five Year Review action is entered through the
project schedule.
Statutory:
The Five Year Review and FYR Report Due planned completion date fields are
populated for five years after the RA On-Site Construction Start SubAction planned
completion date. Both the Five Year Review planned completion date and the FYR
Report Due planned completion date will be updated by the system based on the changes
to the planned or actual completion dates for the triggering RA On-Site Construction
Start subaction. The Five Year Review planned completion date will be editable. The
FYR Report Due planned completion date will be greyed out and uneditable and will be
locked once the actual completion date for the RA On-Site Construction Start subaction
is entered.
Policy:
The Five Year Review and FYR Report Due planned completion dates are populated for
five years after the PCOR or FCOR planned completion date. Both the Five Year Review
planned completion date and the FYR Report Due planned completion date will be
updated by the system based on changes to the planned or actual completion dates for the
triggering PCOR or FCOR. The Five Year Review planned completion date will be
editable. The FYR Report Due planned completion date will be greyed out and uneditable
and will be locked once the actual completion date of the PCOR or FCOR is entered.
Discretionary:
The Five Year Review planned completion date is based on the date set by the user at the
time of entry of Five Year Review type.
No Review:
No Five Year Review action will be generated.
Actual Completion Date:
The Five Year Review is complete on the date the designated regional official signs the
Five Year Review report stating whether the remedy is, or is not, protective of human
health and the environment. The actual completion date (Actual Complete) for the Five
Year Review (Action Name = Five Year Review) must be entered into CERCLIS.
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OSWER Directive 9200.3-14-1G-V
Five Year Review Addendum Completion Subaction
Planned Completion Date:
Five Year Review Addendum (Subaction name = FYR Addendum) planned completion
date is system generated based on the date entered into the Five Year Review
Protectiveness determination tab in the "Planned Date of Addendum" text box for sites
that have a "Protectiveness Deferred" OU-specific or sitewide determination. The FYR
Addendum Planned Completion date will be editable.
Actual Completion Date:
A Five Year Review Addendum is complete on the date the designated regional official
signs the Five Year Review addendum stating a new protectiveness determination of all
remedies that have deferred protectiveness determinations. The actual completion date
(Actual Complete) for the Five Year Review Addendum subaction must be entered into
CERCLIS.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
A new Five Year Review module was implemented in CERCLIS on June 26, 2006.
While the data that is being captured is still the same, there are several noticeable
differences. In CERCLIS there is now:
A Five Year Review addendum subaction for completed reviews with
protectiveness deferred statements;
The ability to update a trigger on a planned Five Year Review;
The ability to modify the Five Year Review type on a planned review;
The ability to associate issues/recommendations with the correct OU and response
actions;
The ability to enter/track more that one Five Year Review with multiple OUs for
each site;
- A Missing Data Tab is available on the FYR screen that informs the user of all
missing information and includes the OU that it affects; and
The ability to update milestone dates for Five Year Review Issues and
Recommendations to track implementation.
In order to receive credit for a Five Year Review completion the region must enter the
following data into CERCLIS through the SCAP screens:
applicable OUs
the associated remedy (ies) with issues
associated issue for each OU (if there is no issue, enter the relevant OU(s) with
the "No Issue" category)
recommendations or follow-up actions (a party responsible, oversight agency, and
milestone date must be identified for each recommendation or follow-up action)
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OSWER Directive 9200.3-14-1G-V
- protectiveness determination for each remedy/OU (if a determination is deferred,
enter a date for when a protectiveness determination will be made)
protectiveness statement as it appears in the Five Year Review
If the Construction Completion flag has been checked for the site, the user must enter the
following information:
site protectiveness determination
site-wide protectiveness statement as it appears in the Five Year Review
In order to receive credit for the FYR addendum subaction completion, the user must
enter the following information:
- The new protectiveness determination for those OUs that were deferred;
- Protectiveness statement as it appears in the Five Year Review; and
If new issues/recommendations are referenced in the Five Year Review
Addendum, enter them into the Five Year Review screens through the FYR parent
action for the addendum subaction.
All Sites must have the following information:
- If future Five Year Reviews are not necessary at the site, indicate that this is the
final Five Year Review at the site
Five Year Review completes must be planned and reported site-specifically (Action
Name = Five Year Review) in CERCLIS. Funds are allocated in the Remedial Action
AOA. This is a program target for Superfund. Five Year Review completes are a Program
Measure for Federal facilities (See Exhibit B.I in Appendix B and Exhibit D.I in
Appendix D).
Data Entry Timeliness Requirement:
SPIM Action/
Activity
Action name =
Five Year
Review
Action name =
Five Year
Review
Action name =
Five Year
Review
Activity
Type
Program
Target
SPIM Lead
F, TR, S, EP
MR, RP,
PS, SA
F, TR, S,
EP,MR,
RP, PS, SA
Documentation
Required
Start: Memo; or
Workplan
Start: Five Year
Review workplan
Comolete: Five Year
Review report
Documentation
Approval/ Date
Requirements
Date of memo to file
documenting tasks. EPA
approval
EPA approval
Signed by regional
official.
Data Must Be
Entered By
Within 5 working
days, but no later than
10 working days.
Within 5 working
days, but no later than
10 working days.
Within 5 working
days, but no later than
10 working days.
y. Partial NPL Deletion
Definition:
EPA will consider partial deletion for portions of sites when no further response is
appropriate for that portion of the site. Such portion may be a defined geographic unit of
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the site, perhaps as small as a residential unit, or may be a specific medium at the site
(e.g., ground water), depending on the nature or extent of the release(s). The criteria for
partial deletion are the same as for final deletion. EPA must consider, in consultation with
the state, whether the following criteria have been met for that portion of the site:
- Responsible or other parties have implemented all appropriate response actions
required;
All appropriate Fund-financed response under CERCLA has been implemented,
and no further cleanup by responsible parties is appropriate; or
The remedial investigation has shown that the release poses no significant threat
to public health, or the environment and, therefore, taking of remedial measures is
not appropriate.
Definition of Accomplishment:
The partial NPL deletion process begins when a Notice of Intent to Partially Delete
(Action Name = Notice of Intent to Partially Delete) is published in the Federal Register
for the specified portion of a site on the NPL. Notice of Intent to Partially Delete is
completed (Actual Complete) the day the Federal Register is published. If the Direct
Final Process for Partial Deletions is used, the process begins when the Direct Final
Action Notice is published in the Federal Register (Action Name = Notice of Intent to
Partially Delete).
The partial NPL deletion process (Action Name = Partial NPL Deletion) is complete
(Actual Complete) when the Notice of Partial Deletion is published in the Federal
Register for the specified portion of a site on the NPL. If the Direct Final Process for
Partial Deletions is used and the comment period has ended with no adverse comments,
the actual completion (Actual Complete) is the effective date of deletion specified in the
Direct Final Action Notice.
Start dates are not required for either the Notice of Intent to Partially Delete (NOIPD) or
the Partial NPL Deletion actions. The completion of the NOIPD action signifies the start
of the partial deletion action.
HQ will enter the Partial Deletion and the Notice of Intent to Partially Delete from the
NPL Action and the completion dates into CERCLIS.
For more detailed information, see OSWER Directive 9320.2-09A-P, "Close Out
Procedures for National Priorities List Sites."
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
Partial NPL deletions are tracked separately from final NPL deletions. Partial site NPL
deletions will be entered by HQ if a portion or portions of the release remain listed on the
NPL following completion of the partial deletion. Partial deletions will only be coded at
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OSWER Directive 9200.3-14-1G-V
specific Operable Units (OUs) when a single OU is subject to the partial deletion and the
particular OU is specified in the Notice of Intent to Partially Delete in the Federal
Register.
Partial deletion actions that address multiple OUs or areas that do not directly correspond
to a specific OU will be coded at OUOO (sitewide).
A site deletion (Action Name = Deletion from NPL) will be entered by HQ if the deletion
activity addresses the remaining release listed on the NPL (either as a one-time deletion
activity for the entire site as originally listed, or as the last deletion activity associated
with a site subject to previous partial deletions). This is a program measure.
Data Entry Timeliness Requirement:
SPIM Action/
Activity
Action name = Notice
of Intent to Partially
Delete (TV)
Completion
Action name = Partial
NPL Deletion (GR)
Completion
Activity
Type
Program
Measure
Program
Measure
SPIM
Lead
F
F
Documentation
Required
Notice of Intent to
Partially Delete or Direct
Final Action Notice.
Notice of Partial Deletion
or Direct Final Action
Notice.
Documentation
Approval/ Date
Requirements
Published in the
Federal Register.
Published in the
Federal Register.
Data Must Be
Entered By
Within 5 working
days, but no later
than 10 working
days.
Within 5 working
days, but no later
than 10 working
days.
z. Final NPL Deletion
Definition:
With state concurrence, EPA may delete sites from the NPL when it determines that no
further response is appropriate under CERCLA. In making that determination, EPA
considers:
Responsible or other parties have implemented all appropriate response actions
required;
All appropriate Fund-financed response under CERCLA has been implemented,
and no further cleanup by responsible parties is appropriate; or
- The remedial investigation has shown that the release poses no significant threat
to public health or the environment and, therefore, taking of remedial measures is
not appropriate.
Definition of Accomplishment:
The deletion process for the entire site begins when a Notice of Intent to Delete (Action
Name = Notice of Intent to Delete) is published in the Federal Register. If the Direct
Final Process for Deletions is used, the process begins when the Direct Final Action
Notice is published in the Federal Register (Action Name = Notice of Intent to Delete).
October 1,2010
B-70
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
The deletion process for the entire site (Action Name = Deletion from the NPL) is
complete (Actual Complete) when the Notice of Deletion is published in the Federal
Register. If the Direct Final Process for Deletions is used and the comment period has
ended with no adverse comments, the actual completion (Actual Complete) is the
effective date of deletion specified in the Direct Final Action Notice.
Start dates are not required for either the Notice of Intent to Delete (NOID) or the
Deletion from the NPL actions. The completion of the NOID action signifies the start of
the deletion action.
HQ will enter the Final Deletion from the NPL Action and the actual completion dates
into CERCLIS. For more detailed information, see OSWER Directive 9320.2-09A-P,
"Close Out Procedures for National Priorities List Sites."
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
The Action, Final Deletion from the NPL, will be used whether deletion is accomplished
through the Notice of Deletion or the Direct Final Action Notice. When the Notice of
Deletion is published or the date of deletion is effective, HQ will change the NPL Status
in CERCLIS to "Deleted from Final NPL." This is a program measure.
Data Entry Timeliness Requirement:
SPIM Action/
Activity
Action name = Notice
of Intent to Delete
(TU) Completion
Action name =
Deletion from the
NPL(ND)
Completion
Activity
Type
Program
Measure
Program
Measure
SPIM
Lead
F
F
Documentation
Required
Notice of Intent to
Delete or Direct Final
Action Notice.
Notice of Deletion or
Direct Final Action
Notice.
Documentation
Approval/ Date
Requirements
Published in the
Federal Register.
Published in the
Federal Register.
Data Must Be
Entered By
Within 5 working
days, but no later
than 10 working
days.
Within 5 working
days, but no later
than 10 working
days.
PART IV. CROSS PROGRAM REVITALIZATION MEASURES (CPRM)
aa. Sitewide Ready for Anticipated Use
Definition
The Sitewide Ready for Anticipated Use (RAU) measure reports sites documented as
ready for reuse where, for the entire construction complete final or deleted NPL site:
FY 11 SPIM
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OSWER Directive 9200.3-14-1G-V
- All cleanup goals in the Record(s) of Decision or other remedy decision
document(s) have been achieved for media that may affect current and reasonably
anticipated future land uses of the site, so that there are no unacceptable risks; and
All institutional or other controls required in the Record(s) of Decision or other
remedy decision document(s) have been put in place.
In addition, construction complete PRP-lead Superfund Alternative sites can now be
designated as SWRAU once they meet the above criteria.
For more information about this measure, please refer to OSWER 9365.0-36, "Guidance
for Documenting and Reporting the Superfund Sitewide Ready-for-Reuse Performance
Measure" and OSWER 9200.1-74, "Guidance for Documenting and Reporting Performance in
Achieving Land Revitalization.
Definition of Accomplishment
A site meets SWRAU when a hard copy checklist has been completed, signed by a
regional approving official, submitted to headquarters, and the entire site meets the
criteria established in the guidance. All acres that are part of the Superfund site universe
must be documented as RAU within CERCLIS prior to the region's submission of a
property reuse evaluation checklist. The SWRAU date entered into CERCLIS should be
the signature date on the Checklist of the regional reviewing official.
Change in Definition FY10 - FY11:
In 2006, this GPRA measure was known as Sitewide Ready for Reuse. In 2007, it was
renamed Sitewide Ready for Anticipated Use.
The SWRAU designation now applies to construction complete PRP-lead sites with
Superfund Alternative Agreements (Indicator Name = Site with SA Agreement per
OECA Policy), in addition to construction complete final or deleted NPL sites. However,
sites with Superfund Alternative Agreements will not be included in annual target setting
and accomplishment reporting.
Special Planning/Reporting Requirements:
The SWRAU designation is for construction complete Superfund final and deleted NPL
sites and PRP-lead sites with Superfund Alternative Agreements only. Regions will
submit completed Checklists for the Sitewide RAU designation to Headquarters for
approval before the reported site may be designated as Sitewide RAU. Only construction
complete Superfund final and deleted NPL sites may be counted to meet the annual net
GPRA target for the SWRAU measure.
The Sitewide RAU completion date that is entered into CERCLIS should be the exact
date that the Regional approving official signs the hard-copy Sitewide RAU Checklist
form. Regions began reporting Sitewide Ready for Reuse sites in FY 2006. In FY 2007,
the name of the measure was changed to Sitewide Ready for Anticipated Use. This is a
GPRA annual performance goal with respect to NPL sites only. Sites with Superfund
Alternative Agreements do not count toward meeting annual SWRAU goals. EPA will
October 1,2010 B-72 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
continue to track the SWRAU measure as a discrete GPRA measure with targets with
respect to construction complete final and deleted NPL sites.
The determination that a site is SWRAU is based on the information available at the time
the determination is made. That determination may revert if site conditions change, or if
new or additional information is discovered regarding the contamination at the site. If the
SWRAU determination does revert, a retraction form should be sent to Headquarters.
These forms can be obtained from Headquarters. The site can be redesignated as
SWRAU only when the requirements are met. If, at the time of determination or at any
other time, EPA becomes aware of other environmental problems that pose unacceptable
risk relevant to site use or reuse, including risks addressed under other cleanup or public
health authorities, the site should not be reported as SWRAU. Sites with Superfund
Alternative Agreements that no longer meet the SWRAU designation will not be counted
against SWRAU annual net GPRA targets.
A site's CPRM data will only be counted in Superfund totals if the site has the Special
Initiative flag of (CPRM Universe) associated to it at the site level. This flag places the
site in the Superfund universe, therefore ensuring that its CPRM data is being captured.
SPIM
Action/
Activity
Action Name
= PRP/RAU
Evaluation
Checklist
Activity
Type
GPRA
APG
Action
Lead
EP
Documentation
Required
Property Reuse
Evaluation
Documentation
Approval/ Date
Requirements
Signed by
Regional division
director or
designee.
Data Must Be Entered By
It is good management practice to enter
data regarding the event as soon as
practicable after the event occurs.
However, data must be entered prior to the
quarterly pull for the quarter in which the
event occurs. (Generally, the quarterly
pull occurs on the fifth business day
following the end of FYQ1, FYQ2 and
FYQ3, and on the tenth business day
following the end of FYQ4.)
bb. Protective for People Under Current Conditions (PFP)
Definition:
This new measure is based on the existing Site-Wide Human Exposure Environmental
Indicator and reports sites and land area, as measured in acres that are protective for
people under current conditions.
The PFP performance measure reports the number of sites and acres at which there is no
complete pathway for human exposures to unacceptable levels of contamination, based
on current site conditions. Reporting on a particular site for this measure should be based
on an understanding of current conditions, presence and toxicity of contamination, routes
of contaminant migration (e.g., vapor intrusion), and routes of exposures to humans (e.g.,
dermal, inhalation, ingestion).
FY 11 SPIM
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October 1,2010
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OSWER Directive 9200.3-14-1G-V
Achieving the PFP measure means, at a minimum, that all identified human exposure
pathways from contamination at the site are under control or possible exposures are
below health-based levels for current land use conditions. "Under control" means that
adequately protective controls are in place to prevent any unacceptable human exposure
under current land use conditions. Achieving the PFP measure does not involve
consideration of future use conditions or ecological receptors. The PFP measure can be
achieved through temporary solutions based on current conditions and associated
exposures at a given point in time, and does not necessarily require that all cleanup goals
be met at a site or OU.
For the purposes of this measure, the entire site or individual OUs at a site can be counted
so long as the criteria are met for those areas.
For the purposes of this measure, a site or OU will achieve the PFP performance measure
when it can be determined that the entire area comprising the site or OU meets any one of
the three possible designations for the current Human Exposures Under Control
Environmental Indicator, which currently apply to NPL sites only. The current
Environmental Indicators Guidance is included in Appendix B. The three designations in
the existing Site-Wide Human Exposure Environmental Indicator that ensure acres meet
PFP include:
Current Human Exposures Under Control;
Current Human Exposures Under Control and Protective Remedy or Remedies in
Place; or
- Current Human Exposures Under Control and Long-Term Human Health
Protection Achieved.
Note that an OU or entire site may meet PFP if the ground water is contaminated yet no
human exposure pathways exist, and the soil above the plume has been investigated to
ensure it meets PFP, or is safe for human exposure. It should also be noted that a site may
have several OUs with different designations, some of which have met PFP criteria, some
of which have also met RAU criteria, and some of which do not meet either performance
measure (i.e., are not protective).
The total number of sites with one or more OUs meeting the PFP measure will be
determined from information recorded in CERCLIS and routinely reported for
management and communication purposes.
Definition of Accomplishment:
Acres can be claimed as Protective for People Under Current Conditions when all
identified human exposure pathways from contamination at the site or individual
OUs/parcels are under control or possible exposures are below health-based levels for
current land use conditions.
The Protective for People designation is achieved when the following occurs:
October 1,2010 B-74 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
- PFP/RAU Checklist: The date that EPA completes (Actual Completion Date) and
saves the data on the Checklist form, or the date a user revises a completed form
(Action Name = PRP/RAU Evaluation Checklist).
Change in Definition FY10 - FY11:
These performance measures were implemented at the end of FY 2007.
Special Planning/Reporting Requirements:
A new CERCLIS Land Reuse module was designed to track these new measures in
CERCLIS. The module was released in June 2007.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action Name
= PFP/RAU
Evaluation
Checklist
Activity
Type
Program
Measure
Action
Lead
EP
Documentation
Required
Checklist Form
Documentation
Approval/ Date
Requirements
Signed by
Regional division
director or
designee.
Data Must Be Entered By
It is good management practice to enter
data regarding the event as soon as
practicable after the event occurs.
However, data must be entered prior to
the quarterly pull for the quarter in which
the event occurs. (Generally, the quarterly
pull occurs on the fifth business day
following the end of FYQ1, FYQ2 and
FYQ3, and on the tenth business day
following the end of FYQ4.)
cc. Ready for Anticipated Use (RAU)
Definition:
This new measures replaces "Acres of Land Ready for Reuse" as well as "Sites Ready for
Reuse" as defined in the 2004 Guidance. This RAU measure also includes the land area,
as measured in acres, at sites that meet the 2006 Sitewide RfR (now renamed "Sitewide
RAU") Guidance for continued and anticipated use, as well as any other acres that meet
RAU criteria.
Ready for Anticipated Use (RAU) Performance Measure: The RAU performance
measure captures the acreage within sites or OUs that are PFP and meet the following
two additional criteria:
All cleanup goals have been achieved for media that may affect current and
reasonably anticipated future land uses (or decision documents confirm
uncontaminated acres) for the site or OU such that there is no unacceptable risk,
and
- All institutional or other controls identified as part of the response action to help
ensure long-term protection have been put in place.
The definition of this measure as it applies to an entire site is consistent with the Sitewide
RAU measure. Therefore, all sites and acres counted toward the Sitewide RAU measure
FY 11 SPIM
B-75
October 1,2010
-------
OSWER Directive 9200.3-14-1G-V
will also count toward the RAU measure. In addition, the RAU measure described here
may also include individual OUs and a broader universe of sites (i.e., SA, NTCRA,
certain non-NPL Federal facilities, FUDs, etc) than those included in the Sitewide RAU
measure.
The determination that an OU achieves the RAU measure can occur at any particular
point in time and the OUs reported status should be revised if the site's conditions change
or if new or additional information is discovered regarding the contamination or
conditions at the site (e.g., contaminant occurrence, migration, toxicity levels for specific
contaminants, and exposures). If at the time of the determination, or at any other time,
EPA becomes aware of other environmental problems that pose unacceptable risk
relevant to the site or reuse, including risks addressed under other cleanup or public
health authorities, the site should not be reported under the RAU measure.
Documentation that OUs achieve the RAU measure should be changed accordingly if, or
when, information becomes available that would bring into question whether the OUs
continue to meet the RAU definition. Those specific acres associated with the OU in
question should only be re-recorded as meeting the RAU measure if and when acres once
again meet the RAU definition.
The total number of sites with one or more OUs meeting the RAU measure will be
determined from information recorded in CERCLIS and routinely reported for
management and communication purposes.
For more information about this measure, please refer to the "Guidance for Documenting and
Reporting Performance in Achieving Land Revitalization: The Office of Superfund Remediation and
Technology Innovation (OSRTI) and Federal Facilities Restoration and Reuse Office (TFRROV
Definition of Accomplishment:
The RAU performance measure captures the acreage within sites or OUs that are PFP and
meet the following two additional criteria: (1) all cleanup goals have been achieved for
media that may affect current and reasonably anticipated future land uses (or decision
documents confirm uncontaminated acres) for the site or OU such that there is no
unacceptable risk, and (2) all institutional or other controls identified as part of the
response action to help ensure long-term protection have been put in place.
The Total RAU designation at a site or OU is achieved when the following occurs:
- PFP/RAU Checklist: The date that EPA completes (Actual Completion Date) and
saves the data on the Checklist form, or the date a user revises a completed form
(Action Name = PRP/RAU Checklist).
Change in Definition FY10 - FY11:
These performance measures were implemented at the end of FY 2007.
Special Planning/Reporting Requirements:
Universe Indicator: The Universe Indicator seeks to count the total number of acres and
sites that have been investigated at all sites since program inception. In order to be
included in the Universe Indicator, the site should be eligible for investigation under
October 1,2010 B-76 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
CERCLA, or as the result of EPA's involvement at BRAC facilities. For sites that are
proposed for, listed on, or deleted from the NPL, or for SA sites, acres included in the
Universe Indicator should be investigated in a manner consistent with the Guidance for
Conducting Remedial Investigations and Feasibility Studies Under CERCLA. Similarly,
NTCRA sites should be investigated in a manner consistent with Guidance on
Conducting Non-Time-Critical Removal Actions Under CERCLA. Both remedial and
NTCRA sites and acres where initial investigations indicate that no unacceptable risks
exist, and therefore no further action is required, should be included in the Universe
Indicator.
The Universe Indicator and performance measures apply to the following contaminated
or potentially contaminated media - land, wetlands, surface water, and/or sediments -
provided that media is subject to Superfund and Federal facilities remedial investigation,
oversight, and/or response action. However, the acres captured under the Universe
Indicator do not include land areas overlying a ground water plume where those land
areas are not intended to be assessed consistent with applicable EPA guidance. For
example, if a plume extends under a land area and EPA has no intention of investigating
these acres of land for contamination unrelated to the plume, then those land acres would
not be included in the acreage reported by the Universe measure. By extension, a site
with only ground water contamination would not be captured by the Universe Indicator.
Note that there may also be exceptions in which sites with areas of surface water,
sediments, and/or tidal basins will not automatically be included due to site-specific
circumstances. These types of sites will be dealt with on a case-by-case basis.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action Name
= PFP/RAU
Evaluation
Checklist
Activity
Type
Program
Measure
Action
Lead
EP
Documentation
Required
Checklist Form
Documentation
Approval/ Date
Requirements
Signed by
Regional division
director or
designee.
Data Must Be Entered By
It is good management practice to enter
data regarding the event as soon as
practicable after the event occurs.
However, data must be entered prior to
the quarterly pull for the quarter in which
the event occurs. (Generally, the quarterly
pull occurs on the fifth business day
following the end of FYQ1, FYQ2 and
FYQ3, and on the tenth business day
following the end of FYQ4.)
PART V. ENVIRONMENTAL INDICATORS
dd. Human Exposure Under Control
The Human Exposure Under Control documents for Proposed, Final, and Deleted NPL
sites and SAA settlement sites, the progress achieved towards providing long-term human
health protection by measuring the incremental progress achieved in controlling
unacceptable human exposures at a site. This is a GPRA performance measure.
FY 11 SPIM
B-77
October 1,2010
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OSWER Directive 9200.3-14-1G-V
- Reducing the level of contamination. For purposes of this policy, "contamination"
generally refers to media containing contaminants in concentrations above
appropriate protective risk-based levels associated with complete exposure
pathways to the point where the exposure is no longer "unacceptable;" and/or
- Preventing human receptors from contacting contaminants in-place; and/or
- Controlling human receptor activity patterns (e.g., by reducing the potential
frequency or duration of exposure).
Five categories have been created to describe the level of human health protection
achieved at a site:
- Insufficient data to determine human exposure control status;
- Current human exposures not under control;
- Current human exposures under control;
- Current human exposures under control and protective remedy or remedies in
place; and
- Current human exposures under control, and long-term human health protection
achieved.
The criteria for determining the Site-Wide Human Exposure status at a site are found in
the Environmental Indicators Guidance Manual, the Long-Term Human Health
Protection Data Quality Objectives document, and on the Superfund Environmental
Indicators Website.
Indicator name has changed from Long-Term Human Health Protection indicator to Site-
Wide Human Exposure Environmental Indicator. As of FY 2008, the Site-Wide Human
Exposure Indicator is required for NPL Proposed and Superfund Alternative sites in
addition to Final and Deleted NPL sites.
The HE evaluation reflects current, site-wide conditions. For sites that have been
categorized as current human exposures under control and long-term human health
protection achieved, it also reflects reasonably anticipated future, site-wide conditions.
As data collection and analysis or response actions occur or environmental conditions
change, it is expected that Regions will update HE evaluations and update CERCLIS to
reflect changes in status. This should generally occur within 10 days of a known change.
It is expected that Regions will review the status of all HE evaluations at a minimum
annually and confirm that each site has an updated and accurate HE evaluation.
Update CERCLIS within 10 days of determining that the HE status has changed.
If there is no change in the status of the site, update the "Last Review Date" in CERCLIS
on the HE tab in the Environmental Indicators module within 10 days of the review.
Entering Human Exposure Data in the Justification Field of the HE CERCLIS
Module
EPA has committed to providing current human exposure evaluations to the public via its
Superfund Site Profiles available on the internet. As part of this effort, the Agency will
provide descriptions of situations where a site is categorized as "Insufficient Data" or
October 1,2010 B-78 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
"Not Under Control." This information will be derived from CERCLIS. Consequently, it
is critical Regions maintain the quality of the "justification" descriptions in the CERCLIS
data base.
When making a Human Exposure Not Under Control or Insufficient Data evaluation in
CERCLIS, Regions must record exposure descriptions in the "Justification" field in order
to save the evaluation as draft. The purpose of this approach is to provide the public with
a succinct and clear description of why a site is so listed, along with information about
the steps EPA plans to take to address the exposures. Upon OSRTI review and approval
of the justification text, the human exposure evaluation will be saved in CERCLIS as
final.
To help standardize the descriptions entered into CERCLIS, and to assure that similar
exposure scenarios are described consistently across Regions, the templates below should
be used when populating the "Justification" field. The information entered in this field
will appear on the publicly available Superfund Site Progress Profiles Webpage, so it
should be accurate, updated when necessary, and contain the information outlined below.
The (insert site name) Superfund site is considered "Current Human Exposure Not Under
Control" because (insert a detailed description of the current completed human exposure
pathway(s) not under control; include the contaminants of concern and media).
As of (date) the planned activities to address this pathway are ( ).
(As appropriate, add:
In addition, EPA (or state, or PRP or Federal Agency as appropriate) is currently (insert
summary descriptions of actions underway to address human exposures. (Include any
temporary controls that have been put in place to address this exposure scenario e.g., fish
advisory, fencing, signs))
The Site X Superfund site is considered "Current Human Exposure Not Under Control"
because residents and recreational users of the creek can be exposed through direct
contact to arsenic and lead contaminated soils and sediments.
As of July 2007, the planned activities to address this pathway are continuation of
ongoing removal of arsenic and lead contaminated soils.
EPA has already begun cleaning up the contaminated soil. Removal actions started in
April 2007. Temporary fences to prevent access to the site were installed in May 2007.
Warning signs identifying the area as a Superfund site were posted in June 2007.
As of (insert date) there is insufficient information to determine the site-wide Human
Exposure Control status at (insert site name) Superfund Site.
(Provide general context for why there is insufficient data at the site. An example:
FY 11 SPIM B-79 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
(Insert site name) was (proposed/finalized) for the NPL on MM/DD/YY, and there has
been no evaluation of the human health exposure indication yet. This does not necessarily
mean that unacceptable exposures are occurring.)
As of (date) the planned activities to collect sufficient information to make a human
exposure evaluation are ( ).
(As appropriate add the following:
In addition, EPA (or state, or PRP or Federal Agency as appropriate) is currently (insert
descriptions of actions underway to address human exposures. (Include any temporary
controls that have been put in place to address this exposure scenario e.g., fish advisory,
fencing, signs))
As of (insert date) there is not sufficient information available to determine the site-wide
Human Exposure Control status at X Superfund Site because of a newly identified
potential exposure pathway and/or contaminant(s) (insert a detailed description of the
human exposure pathway of concern, include the contaminants of concern and media).
The activities planned to make the HE evaluation include ( ) (list whatever activity is
necessary to make the evaluation: e.g., data needed, conduct sampling, monitor
basements for vapor intrusion, complete risk assessment, and conduct well surveys).
(As appropriate, add the following:
In addition, EPA (or state, or PRP or Federal Agency as appropriate) is currently (insert
summary of actions underway to address human exposures. (Include any temporary
controls that have been put in place to address this exposure scenario e.g., fish advisory,
fencing, signs))
October 1,2010 B-80 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
EXHIBIT B.2. HUMAN EXPOSURE EVALUATION
FLOWCHART
Site Name:
Date:
Estimated Current HE Under Control Date:
Estimated Current LTIIHP tinder Control Dale:
RPM Certified:
Exposure Paragraph for HE "Not Under Control" or "Insufficient Data" Sites is Entered in CERC1.IS?
Yes: (date) No:
No
I. Is Iliere sufficient known and reliable information to
make an evaluation on human exposure at (his site?
Response:
Yes
2. Have dj long-term human exposure-related cleanup
goals been met for the entire site?
Response:
No
3. Are there complete human exposure pathways
l>etween contaminated ground water, soil, surface water,
sediment, or air media and human receptors such that
exposures can be reasonably expected under current
conditions?
Resjwnse:
No
Insufficient Data to
Determine 11 uinan
Exposure Control Status
(HEID)
Yes
Current Human
Exposure* lender Control
and Long-Term Human
Health Protection
Achieved (II HP A)
Resulting Current Human Exposure
Evaluation:
No
Current Human
Exposures Not Under
Control (HENC)
5, Is the site Construction Complete, is the remedy
operating as intended, and are engineering and
institutional controls (if required), in place and effective'1
Response:
If one or
more
criteria from
Step 5 are
not met
Current Human
Exposures Under Control
(HEUC)
If all
criteria
from Step
5 are met
Current Human
Exposures Under Control
and Protective Remedies
in Place (HEI'K)
FY 11 SPIM
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October 1,2010
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OSWER Directive 9200.3-14-1G-V
As data collection and analysis or response actions occur or environmental conditions
change, it is expected that the Region will review the status of all HE evaluations and
update CERCLIS to reflect the change in status. This should generally occur within ten
days. It is expected that Regions will review the status of all HE and GM evaluations at a
minimum annually, and confirm that each site has an updated and accurate HE
evaluation. HE and GM evaluations must be made (and entered) or reviewed at all
Proposed, Final, and Deleted NPL sites and Superfund Alternative sites prior to the end
of the fiscal year, September 30. HE and GM changes entered after September 30 will be
counted as accomplishments for the fiscal year beginning on October 1. This practice
may differ from that required for other measures; special notice should be taken. Site
condition changes may be documented in RODs, ROD Amendments, Removal Action
Memoranda, Pollution Reports, Close Out Reports, and Five Year Reviews.
The Site-Wide Human Exposure Environmental Indicator is designed to allow RPMs to
make first-hand determinations based on their knowledge of current conditions at a site as
well as actions undertaken at a site. Complete certainty regarding the above factors is not
a necessary condition to make a Site-Wide Human Exposure evaluation at a site. In
characterizing a site as "current human exposures not under control", a region is making a
determination that: 1) there are currently completed human exposure pathways and 2)
that those exposure pathways pose an unacceptable risk to humans based on the
magnitude, frequency, duration and route(s) of exposure relative to the exposure
concentrations and chemical intakes. Where a region lacks sufficient information to make
such a determination on whether there are completed pathways or whether a completed
pathway poses an unacceptable risk, a site should be classified as "insufficient data to
determine human exposure control status". A site is placed in one of the three "under
control" categories when a Region has determined that there are not currently completed
human exposure pathways or that exposure(s) that may be occurring do not pose an
unacceptable risk to humans based on the magnitude, frequency, duration and route(s) of
exposure relative to the exposure concentrations and chemical intakes. Documents such
as RI/FS reports, RODs, Action Memoranda, Pollution Reports, and Close Out Reports
are typically consulted by RPMs to assist completion of the HE worksheet. To support
the response for each worksheet question, the RPMs are required to provide the SDMS
number in the SDMS document field for every document referred to in answering each
question. Further, the RPM is required to provide the complete citation of each
referenced document in the Reference section of the worksheet and also provide a
complete copy of each referenced document."
- SCAP 15
Program Management 11 (PGMT-11)
- Program Management 12 (PGMT-12)
Program Management 13 (PGMT-13)
- PGMT-12 Errors Report
October 1,2010 B-82 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
ee. Migration of Contaminated Ground Water Under Control
Definition:
The Migration of Contaminated Ground Water Under Control indicator assesses for NPL
sites only whether ground water contamination is below protective, risk-based levels or,
if not, whether the migration of contaminated ground water is stabilized and there is not
unacceptable discharge to surface water and monitoring will be conducted to confirm that
affected ground water remains in the original area of contamination. This indicator is
limited to sites with known past and/or present ground water contamination. This is a
GPRA measure.
Definition of Accomplishment:
The criteria for determining if ground water migration is controlled are found in
Migration of Contaminated Ground Water Under Control Survey (refer to Exhibit B.3),
the Environmental Indicators Guidance Manual, the Long-Term Human Health
Protection Data Quality Objectives document, and on the Superfund Environmental
Indicators Website.
Changes in Definition FY 06/07 - FY 08/09:
None.
FY 11 SPIM B-83 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
EXHIBIT B.3. SUPERFUND MIGRATION OF CONTAMINATED GROUND WATER UNDER
CONTROL WORKSHEET
Definition: Is the migration of contaminated ground water being controlled through engineered or natural processes?
Insufficient
Data/No
Insufficient
Data
Insufficient
Data
Insufficient
Data
Insufficient
Data
Insufficient
Data
Q, Does the site currently have contaminated ground water or did site conditions
warrant EPA's investigation or remediation of ground water contamination in the
past?
No
Yes
Stop, you do not
need to
complete the
GMEI
Step 1. Based on the most current data on the site, has all available relevant/
significant information on known and reasonably suspected releases to ground water
been considered in this evaluation?
List Reference Document(s):
Yes
Step 2. Is ground water known or reasonably suspected to be "contaminated" above
appropriately protective risk-based "levels" (applicable promulgated standards, as
well as other appropriate standards, guidelines, or criteria) as a result of a release
from the site?
List Reference Document(s):
No
Contaminated
Ground Water
Migration Under
Control
v Yes
Step 3. Is the migration of contaminated ground water stabilized (such that
contaminated ground water is expected to remain within "existing area of
contaminated ground water") as defined by the monitoring locations designated at the
time of this evaluation?
List Reference Document(s):
No
Yes
Step 4. Does "contaminated" ground water discharge into surface water bodies?
List Reference Document(s):
No
Yes
Step 5. Can the discharge of "contaminated" ground water into surface water be
shown to be "currently acceptable" as defined (i.e., not cause unacceptable impacts
to surface water, sediments, or ecosystems that should not be allowed to continue
until a final remedy decision can be made and implemented)?
List Reference Document(s):
Yes
Step 6. Will ground water monitoring/measurement data (and surface water/
sediment/ecological data as necessary) be collected in the future to verify that
contaminated ground water has remained within the horizontal (or vertical, as
necessary) dimensions of the "existing area" of contaminated ground water?
List Reference Document(s):
No
No
Insufficient Data to
Determine
Contaminated Ground
Water Migration
Under Control Status
1 Yes
Contaminated
Ground Water
Migration Under
Control
Contaminated
Ground Water
Migration Not
Under Control
Special Planning/Reporting Requirements:
The Migration of Contaminated Ground Water Environmental Indicator worksheet must
be completed in CERCLIS and/or reviewed before the end of the fiscal year. If there is a
October 1,2010
B-84
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
known change in GM status, CERCLIS should be updated within ten days (Program
Management/Environmental Indicators).
Data Entry Timeliness Requirement:
As data collection and analysis or response actions occur or environmental conditions
change, it is expected that the Region will review the status of all GM evaluations and
update CERCLIS to reflect the change in status. This should generally occur within ten
days. It is expected that Regions will review the status of all GM evaluations at a
minimum annually, and confirm that each site has an updated and accurate HE
evaluation. HE and GM evaluations must be made (and entered) or reviewed at all
Proposed, Final, and Deleted NPL sites and Superfund Alternative sites prior to the end
of the fiscal year in order to be included in the SCAP end of year report pull (Generally,
the year-end pull is done on the tenth business day of October). Site condition changes
may be documented in RODs, ROD Amendments, Removal Action Memoranda,
Pollution Reports, Close Out Reports, and Five Year Reviews.
Accuracy Requirement:
The Ground Water Migration approach was designed to allow RPMs to make first-hand
determinations based on their knowledge of current conditions at a site as well as actions
undertaken at a site. These determinations must be made with reasonable certainty using
all available documentation on media contamination for current land and ground water
use. Documents such as RI/FS reports, RODs, Action Memoranda, Pollution Reports, and
Close Out Reports are typically consulted by RPMs to assist completion of the surveys.
To support the response for each worksheet question, the RPMs are required to provide
the SDMS number in the SDMS document field for every document referred to in
answering each question. Further, the RPM is required to provide the complete citation of
each referenced document in the Reference section of the worksheet and also provide a
complete copy of each referenced document."
Reports and Guidance:
- SCAP 15
Program Management 11 (PGMT-11)
- Program Management 12 (PGMT-12)
Program Management 13 (PGMT-13)
ff. Populations Protected
Definition:
This measure tracks the environmental progress achieved at NPL, Superfund Alternative
and non-NPL sites through the protection of human receptors from immediate threats of
exposure to contaminated media. The following information will be reported under this
measure:
The number of human receptors protected during removals and remedial actions
that result in:
» Relocation of affected populations; or
FY 11 SPIM B-85 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
» Provision of an alternate water supply.
Definition of Accomplishment:
Population Protected data is required upon a removal or remedial action start where a
population has been either relocated and/or provided an alternative drinking water supply
in association with the following actions: Removal; PRP Removal; FF Removal;
Remedial Action; PRP RA; FF RA; PRP Emergency Removal; or Initial Remedial
Measure.
The following information must be entered into CERCLIS for each action resulting in a
population being relocated or provided an alternative source of drinking water:
- Action - action associated with the population relocation or the provision of
alternative drinking water;
Affected Date - date the population was relocated or provided alternative drinking
water;
Protection Level - level (permanently, temporarily, or returned/reinstated) at
which the population was relocated and or provided alternative drinking water;
and
- Number Affected- number of people relocated or provided alternative drinking
water.
The Populations Protected screen can be accessed through one of the following: Program
Management/Environmental Indicators or the El icon can be used on the Removal or
Remedial schedule when one of the following actions is selected: Removal; PRP
Removal; FF Removal; Remedial Action; PRP RA; FF RA; PRP Emergency Removal; or
Initial Remedial Measure.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Population Protected data is required to be updated
once per year. Data documenting relocation or provision of alternative drinking water can
typically be found in RODs, Action Memoranda, Pollution Reports, Remedial Actions
Reports and Close Out Reports. An SDMS source document and tracking number should
be entered in CERCLIS for this measure. This is a program measure.
gg. Cleanup Volume
Definition:
This measure tracks the amount of contaminated media that has been treated, stabilized,
contained, or removed through the use of risk management technologies, engineering
techniques, or institutional controls.
October 1,2010 B-86 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
Definition of Accomplishment:
Cleanup Volume data is required in association with a removal action (Removal, PRP
Removal, FF Removal) start or complete as defined in the Removal Start and Removal
Completion measures or a remedial action (Remedial Action, PRP RA, FF RA, PRP
Emergency Removal, Initial Remedial Measure) start or complete as defined in the Start
of a Response Action/Activity or Completion of a Response Action/Activity measures.
The following information must be entered into CERCLIS for each medium addressed by
the completed response action:
- Cleanup Date - date contaminated media was addressed
- Media Name - media name as documented in the Add/Edit Media screen and
media type
- Original Amount - amount of contaminated media addressed
- Original Unit - volumetric unit of contaminated media
The Cleanup Volumes screen can be accessed through the following: Program
Management/Environmental Indicators or the El icon can be used on the Removal or
Remedial schedule when one of the following actions is selected: Removal; PRP
Removal; FF Removal; Remedial Action; PRP RA; FF RA; PRP Emergency Removal; or
Initial Remedial Measure.
Changes in Definition FY10 - FY11:
None.
Special Planning and Reporting Requirements:
Cleanup Volume data is required to be updated once per year. Data documenting volumes
of contaminated media addressed can typically be found in RODs, Action Memoranda,
Pollution Reports, Remedial Actions Reports and Close Out Reports. This is a program
measure.
PART VI. SUPPORT ACTIVITIES
hh. Support Agency Assistance
Definition:
The activities performed by another entity to support an EPA response are support
agency assistance. The support agency furnishes necessary data to EPA, reviews response
data and documents, and provides other assistance to EPA. EPA may provide states,
political subdivisions, and Indian tribes with funding to carry out a variety of
management responsibilities via a support agency Cooperative Agreement to ensure
meaningful and substantial involvement in response activities.
Unless otherwise specified in the Cooperative Agreement, all support agency costs, with
the exception of RA support agency costs, may be planned under a single Superfund
FY 11 SPIM B-87 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
account number designated specifically for support agency activities. RA support agency
activities must be planned site-specifically and require cost share provisions.
Definition of Accomplishment:
The start of support agency assistance (Action Name = Management Assistance) is the
signature of the Cooperative Agreement by the Regional Administrator or his designee.
The completion of support agency assistance is the expiration or termination of the
assistance agreement.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
Funds for support agency assistance are contained in the pipeline operations,
enforcement, or Federal facility AOA. Planned and actual start and completion dates are
not required in CERCLIS. Funds may be planned or obligated site or non-site and OU
specifically; however, they must be outlayed site-specifically. This is a program measure.
Data Entry Timeliness Requirement:
SPIM Action/
Activity
Action name =
Management
Assistance
(MA)
Activity
Type
Program
Measure
SPIM
Lead
F
Documentation
Required
Start:
Cooperative
Agreement.
Complete:
Expiration or
termination of the
assistance
agreement.
Documentation
Approval/ Date
Requirements
Start: Signed bv
Regional
Administrator or his
designee Complete:
Expiration or
termination of the
assistance agreement.
Data Must Be Entered By
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
entered prior to the quarterly pull
for the quarter in which the event
occurs. (Generally, the quarterly
pull occurs on the fifth business
day following the end of FYQ1,
FYQ2 and FYQ3, and on the tenth
business day following the end of
FYQ4.)
ii. Technical Assistance
Definition:
Technical assistance is support provided by a third party to EPA regions to conduct
response activities. Third parties that may provide assistance include U.S. Army Corps of
Engineers (USAGE), U. S. EPA laboratories, U.S. Fish and Wildlife Service, Superfund
Technical Assistance and Response Team (START), and Response Action Contracts
(RAC) contractors.
October 1,2010
B-88
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
Definition of Accomplishment:
The start of technical assistance (Action Name = 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 FY10 - FY11:
None
Special Planning/Reporting Requirements:
Technical assistance is paid for by the response program and is contained in the pipeline
operations AOA. Planned and actual start and completion dates are not required in
CERCLIS. Funds may be planned or obligated site- or non-site and OU specifically;
however, they must be outlayed site-specifically. This is a program measure.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action name
= Technical
Assistance
(TA)
Activity
Type
Program
Measure
SPIM
Lead
EP,F,
S, TR,
RP,PS,
MR
Documentation
Required
Start: Obligation
of funds.
Completion:
Completion of
response
activities.
Documentation
Approval/ Date
Requirements
Not specified
Data Must Be Entered By
It is good management practice to enter
data regarding the event as soon as
practicable after the event occurs.
However, data must be entered prior to
the quarterly pull for the quarter in which
the event occurs. (Generally, the
quarterly pull occurs on the fifth
business day following the end of FYQ1,
FYQ2 and FYQ3, and on the tenth
business day following the end of
FYQ4.)
B. C SUBJECT MA TTER EXPERTS
The following table identifies the subject matter experts for Appendix B Response
Actions.
EXHIBIT B.4. SUBJECT MATTER EXPERTS
Subject Matter Expert
Jennifer Hovis
David Reynolds
Rich Norris
Mary Bell
Amanda Sutton
Randy Hippen
Steve Ridenour
Subject Area
Construction Completion
Data Quality
Environmental Indicators
Enforcement
Federal facilities
Remedy Selection
Five Year Reviews
Phone #
703-603-8888
703-603-8895
703-603-9053
202-564-2256
703-603-0055
703-603-8829
703-603-8922
Email
ho vis . i ennifer(S,epa. eov
revnolds.david@,epa.aov
norris.rich(S),epa.aov
bell.marv(3),epa. aov
sutton.amandaiSepa.aov
hippen.randy(2>epa.ROv
ridenour.steve(2>epa.Rov
FY 11 SPIM
B-89
October 1,2010
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OSWER Directive 9200.3-14-1G-V
Subject Matter Expert
Jeff Heimerman
Greg Sullivan
Jennifer Hovis
John J. Smith
David E. Cooper
Phyllis Anderson
Renee Hamilton
Jayne Michaud
Doug Ammon
Bruce Pumphrey
Nancy Browne
Tracey Stewart
Filomena Chau
Melissa Friedland
Subject Area
Innovative Technology
Institutional Controls
Post-Construction
Remedial Implementation
Remedial Lead
Response Appendix Coordinator
Risk Assessment
Superfund Alternative Approach
SF Special Accounts
Superfund Redevelopment
Phone #
703-603-7191
202-564-1298
703-603-8888
703-603-8802
703-603-8763
703-603-8971
703-603-9092
703-603-8847
703-347-8925
202-564-4222
202-564-4219
202-564-1582
202-564-4224
703-603-8864
Email
heimerman.ieff(5),epa.aov
sullivan. area(2>epa. aov
ho vis . i ennifer(o>epa. aov
smith.iohnj (Sjepa.gov
cooper.davide(2>epa.aov
anderson.phvllis(S),epa. aov
hamilton.renee(2>epa.aov
michaud.iayne(2),epa.aov
ammon.doua.area(2),epa.aov
pumphrev.bruce(S),epa. aov
browne.nancv(2),epa. aov
stewart.tr acev(2>epa.aov
chau.filomena(2>epa. aov
friedland.melissa(2),epa.aov
October 1,2010
B-90
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
Superfund Program Implementation Manual FY 11
Appendix C: Enforcement
FY 11 SPIM October 1, 2010
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OSWER Directive 9200.3-14-1G-V
This Page Intentionally Left Blank
October 1, 2010 FY 11 SPIM
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OSWER Directive 9200.3-14-1G-V
APPENDIX C: Enforcement
Table of Contents
C.A FY11 Enforcement C-l
C.A.I FY11 Targets and Measures for Enforcement C-l
a. New OECAGPRA Measure C-l
b. Past Costs Addressed >$200,000 Via Settlements, Referrals, Write-Offs, or
Claims in Bankruptcy C-2
c. Pre-Remedial Enforcement Action at Superfund Sites C-4
C.A.2 Promoting the Superfund Enforcement Program C-6
C.A.3 Criteria for Credit of Enforcement Activities at Superfund Alternative Sites C-9
a. Potentially Responsible Party (PRP) Search Starts C-10
b. PRP Search Completions C-l I
c. Section 104(e) Referrals and Orders Issued C-12
d. Submittal ofPre-Referral Negotiation (PRN) Package to DOJfor RD/RA
Negotiations C-12
e. Issuance of General Notice Letters (GNLs) C-l 3
f. Issuance of Special Notice Letters (SNLs) C-l 3
g. Expanded Site Inspection/Remedial Investigation/Feasibility Study
(ESI/RI/FS) Negotiation Starts C-14
h. Remedial Design/Remedial Action (RD/RA) Negotiation Starts (NPL &
Superfund Alternative) C-14
i. Completion or Termination of Negotiations for RD/RA (NPL & Superfund
Alternative) C-l 6
j. Completion or Termination of Negotiations for Cleanup (RD/RA, Removals,
and Other) (NPL & Superfund Alternative) C-17
k. Percentage of Remedial Action Starts Initiated by PRPs at Non-Federal
Facility NPL and Superfund Alternative Sites C-20
1. Total Response Commitments (Including Dollar Value) C-20
m. Total Amount of Response Commitments Secured through Financial
Assurance C-22
n. Minimis Settlements and Number of Parties C-23
o. Cashout Settlements C-25
p. Section 106, 106/107, 107 Case Resolution (Including Claim in Bankruptcy) C-26
q. Issuance of Demand Letter C-27
r. Total Cost Recovery Settlements (Including Dollar Value) C-27
s. Recoverable Past Costs That Have Been Addressed by Program to Date Via
Settlements, Referrals, Write-Offs, or Claims in Bankruptcy C-28
t. Number and Amount of CERCLA Penalties Assessed C-30
u. Number and Amount of CERCLA Supplemental Environmental Projects
(SEPs) C-31
v. Number of Settlements Where EPA Settled Based on Ability-to-Pay
Determinations C-32
w. Bona Fide Prospective Purchaser Agreements C-33
x. Prospective Purchaser Agreements (PPAs) & Prospective Lessee
Agreements (PLAs) C-33
y. Issuance of Comfort/Status Letters C-35
FY 11 SPIM C-i October 1, 2010
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OSWER Directive 9200.3-14-1G-V
z. Contiguous Property Owners (CPOs) C-35
aa. Windfall Lien Resolution -Finalized. C-36
bb. Orphan Share -EPA Offer and Compensation C-37
cc. Non-Exempt De Micromis Parties Settlements and Number of Parties C-39
dd. PRP Oversight Administration C-40
ee. Settlements Designating Funds for Deposit to Special Accounts C-41
ff. Deposits Into Special Accounts C-43
gg. Settlements Designating Funds for Disbursement from Special Accounts to
PRPs C-44
hh. Disbursements from Special Accounts for Response Actions C-45
ii. Closure of Special Accounts C-46
jj. Management of Special Accounts C-47
C.A.4 Institutional Controls and Site Revitalization C-49
a. Institutional Controls C-49
b. Site Revitalization C-50
C.B Subject Matter Experts. C-51
List of Exhibits
EXHIBIT C.I ENFORCEMENT ACTIVITIES C-7
EXHIBIT C.2 SUBJECT MATTER EXPERTS C-51
October 1,2010 C-ii FY11SPIM
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OSWER Directive 9200.3-14-1G-V
APPENDIX C: ENFORCEMENT
C.A FY11 ENFORCEMENT
C.A.1 FY11 Targets and Measures for Enforcement
a. New OECA GPRA Measure
The FY 2011 - FY 2015 EPA Strategic Plan shifts the Superfund Enforcement Program
from Goal 3: Cleaning up Communities to Goal 5: Enforcing Environmental Laws (See
Appendix G for a link to the strategic plan.) Within Goal 5, Superfund Enforcement is
under Objective 5.1 which states: Pursue vigorous civil and criminal enforcement that
targets the most serious water, air, and chemical hazards in communities. Assure strong,
consistent, and effective enforcement of federal environmental laws nationwide.
As part of the Goal 5 subobjective, Support Cleaning up Our Communities, OECA has
added the following new GPRA measure which primarily affects the Superfund
Enforcement and RCRA Corrective Action programs:
By 2015, obtain commitments to clean up 1.5 billion cubic yards of contaminated soil
and groundwater media as a result of concluded CERCLA and RCRA corrective action
enforcement actions.
OECA has reported the Volume of Contaminated Media Addressed for contaminated
groundwater and for contaminated soil in its Annual Results since FY 2004. The new
measure combines the two measures at the GPRA level.
Superfund VCMA data for contaminated soil and/or water should be entered into the
ICIS database for the following actions:
Superfund remedial actions, at the time an enforcement document is finalized
(e.g. issuance of a unilateral order or corrective action order, signing of an
agreement on consent or consent decree) using data available from the remedial
investigation, feasibility study, and/or record of decision (or any other relevant
data).
Superfund non-time critical removal actions, at the time an enforcement
document is finalized using data available from the engineering evaluation/cost
analysis, and/or the action memorandum (or any other relevant data).
Superfund time-critical removal actions, at the time an enforcement document is
finalized using data available from the action memorandum (or any other relevant
data). Sometimes few data are available for such cases at the time of the action
memorandum. If insufficient data exist for an estimate at the time of the action
memorandum, the value for the measure should be entered at the soonest practical
time after the settlement as data are available to calculate the measure; with the
caveat that the best available value for the measure should always be entered in
the same fiscal year in which the enforcement document is finalized.
FY 11 SPIM C-l October 1, 2010
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OSWER Directive 9200.3-14-1G-V
The new OECA GPRA measure is a national measure with a target of 300 million cubic
yards per year. As such, the Regions are not required to post targets in the Annual
Commitment System. Information for this target is entered into OECA's ICIS database.
Further information on calculating the VCMA measures may be found in the "Final
Methodology for Estimating Superfund and RCRA Corrective Action (CCDS)
Environmental Benefits 12-12-03."
b. Past Costs Addressed >$200,000 Via Settlements, Referrals, Write-Offs, or
Claims in Bankruptcy
Definition:
Past Costs Addressed $200,000 is the decision either to take cost recovery action by use
of administrative cost recovery settlement, to transmit a Section 106/107 or 107 judicial
referral for cost recovery, including settlements for past costs under a CD (with no prior
litigation referral); to prepare a decision document or 10-point settlement analysis
document not to pursue cost recovery, or to file a claim in bankruptcy.
It only covers cases where EPA has incurred Superfund costs > $200,000. It is vital to the
management of the cost recovery program that sites with upcoming Statute of Limitations
(SOLs) be addressed prior to the expiration of the SOL. Therefore, regions will not be
allowed to substitute FY 10/11 targeted sites that have SOLs occurring in or before FY
09/10 or in the first quarter of FY 11.
Definition of Accomplishment:
Credit is given at non-Federal facility NPL, Superfund Alternative, and non-NPL sites.
Administrative Settlements - Credit is given on the date the regional office or DOJ
receives payment from the PRPs in direct response to a demand letter for voluntary cost
recovery, or the date the Regional Administrator or delegate signs the Administrative
Order on Consent (AOC) or Consent Agreement (CA) that recovers 100 percent of the
Trust Fund expenditures or settles a claim where the total response costs are less than
$500,000. The accomplishment of the administrative settlement is recorded in CERCLIS
as the actual completion date (Actual Complete) of the administrative/voluntary cost
recovery (Action Name = Admin/Voluntary Cost Recovery), AOC (Action Name =
Admin Order on Consent), or CA (Action Name = Consent Agreement). If the settlement
is compromised and total response costs are more than $500,000, the AOC must be sent
to DOJ for approval prior to signature by the Regional Administrator or delegate.
Section 107 or 106/107 Judicial Referrals - Credit is given on the date of the Regional
Administrator's memo transmitting the referral to DOJ or HQ (Action Name = Litigation
(Generic), Section 107 Litigation, or Section 106 & 107 Litigation) as recorded in
CERCLIS as the actual start date (Actual Start).
This includes Consent Decree (CD) settlements (Action Name = Consent Decree) for
RD/RA with a cost recovery component or CD settlements for cost recovery only that
were not the result of a prior litigation referral. Credit is given for these CD settlements
October 1,2010 C-2 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
on the date of the Regional Administrator's memo transmitting the settlement to DOJ or
HQ and recorded in CERCLIS as the actual start date (Actual Start).
CD settlements that are for cost recovery only and result from a previous litigation
referral do not count towards this target. The start date (Actual Start) for these actions is
not reported in CERCLIS. Only the lodged (SubAction Name = Lodged by DOJ) and
entered (SubAction Name = Entered by Court) SubActions, the SubAction actual
completion date (Actual Complete), and the actual completion date (Actual Complete) of
the CD are recorded. The actual completion date of the CD is the date it is entered by the
court.
Decision Documents not to Pursue Cost Recovery - Credit is given when the decision
document (Action Name = Cost Recovery Decsn Docmt - No Sue) is signed by the
regional office and recorded in CERCLIS as the actual completion date (Actual
Complete). The decision not to pursue cost recovery also may be documented in an
enforcement instrument 10-point settlement analysis. For both the Cost Recovery
Decision Document Not to Sue and the 10-point analysis, the past costs that will not be
recovered (Past Costs Written Off) and the reason the costs were written off should be
reported in CERCLIS.
Bankruptcy Filing - Credit is given based on the date the Claim in Bankruptcy
Proceedings is transmitted to DOJ (Action Name = Claim in Bankruptcy Proceedings).
This date is reporting in CERCLIS as the actual start date (Actual Start). For each Claim
in Bankruptcy, the "Federal Costs Sought - Past" must be entered into CERCLIS.
Changes in Definition FY10 - FY11:
Credit for past costs addressed via a Claim in Bankruptcy Proceedings was previously
given based on the date the bankruptcy strategy package was prepared or on the date of
the first creditor committee meeting. These dates are reported in CERCLIS as
SubActions to the Claim in Bankruptcy Proceedings Action. Beginning in FY 2010, only
the Claim in Bankruptcy Proceedings Action actual start date is required to receive credit
for addressing past costs via a claim in bankruptcy.
Special Planning/Reporting Requirements:
All dates must be entered into CERCLIS. 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 DOJ or HQ for additional work but will be reinstated upon re-referral. For each
settlement, the region must enter "Federal Costs Settled - Past" into CERCLIS. For each
judicial referral, regions must enter "Federal Costs Sought - Past." For each decision not
to pursue cost recovery, the "Past Costs Written Off" must be entered. Regions must take
credit for addressing past costs via a Claim in Bankruptcy during the fiscal year in which
the action was taken. If, as is often the case, a bankruptcy settlement is reached in a later
fiscal year and credit for addressing past costs was not taken at the time of the claim in
bankruptcy, Regions will not receive credit for addressing past costs in the fiscal year in
which the bankruptcy settlement occurs. Accomplishments are reported on a site-specific
basis. Any changes to the target require prior approval by the OSRE. This is a GPRA
annual performance goal.
FY 11 SPIM C-3 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
c. Pre-Remedial Enforcement Action at Superfund Sites
Definition:
This measure will support the Government Performance and Results Act (GPRA) goal of
maximizing PRP participation at Superfund sites, thus promoting "Enforcement First".
The GPRA goal is for EPA to reach a settlement or take an enforcement action by the
time of the Remedial Action (RA) start at 95% of non-federal Superfund sites (with RA
starts during the fiscal year) that have known, viable, liable parties. The objective of this
measure is to take an enforcement action or to reach a settlement with PRPs prior to an
RA start at a site.
For purposes of GPRA reporting, this measure will count:
The number of PRP-fmanced RA starts (in the FY);
The number of Fund-financed RA starts (in the FY) with an enforcement action
(i.e., Consent Decree (CD), Administrative Order on Consent (AOC), Consent
Agreement (CA), Unilateral Administrative Order (UAO), voluntary cost
recovery action, or litigation referral) at the site, prior to the Fund-financed RA
start (in the FY).
The number of Fund-financed RA starts (in the FY) at sites with identified viable,
liable Potential Responsible Parties (PRPs), but no enforcement actions prior to a
Fund-financed RA start (in the FY).
The GPRA accomplishment is the percentage resulting from the division of the
numerator by the denominator as follows:
Numerator = The number of PRP-fmanced RA starts (in the F Y) + the number of
Fund-financed RA starts (in the FY) with enforcement actions prior to the RA
start.
Denominator = The number of PRP-fmanced RA starts (in the FY) + Fund-
financed RA starts (in the FY) with prior enforcement actions at the site + Fund-
financed RA starts (in the FY) with viable, liable PRPs, at the site, but no
enforcement actions prior to the RA start.
DISCLAIMER: Regions will receive credit in the management of the Superfund
program for "start" of a remedial action even though "initiation of physical on-site
construction" may not have occurred for purposes of calculating a cost recovery statute of
limitations. The date found in the remedial action actual start column of a CERCLIS
report is a programmatic measure only, and cannot be relied upon to create any rights,
substantive or procedural, enforceable by any party in litigation with the United States.
EPA reserves the right to change such data at any time without public notice.
Definition of Accomplishment:
This measure counts non-Federal facility NPL and PRP-fmanced Superfund Alternative
sites with:
1. PRP-fmanced RA starts (in the FY) as defined in Appendix B.
October 1,2010 C-4 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
2. Fund-financed RA starts (in the FY) with prior enforcement actions at the site:
These are Fund- financed RA starts as defined in Appendix B with enforcement
actions at the site where the following dates of these actions are prior to the start
date of the Fund-financed RA:
» Date (Actual Complete) that the AOC, CA or UAO (Action Name =
Admin Order on Consent, Consent Agreement, or Unilateral Admin
Order) is signed by the Regional Administrator or delegate. This does not
include orders that are for access or information only.
* Date (Actual Start) that the CD settlements (Action Name = Consent
Decree) is referred by the Regional Administrator or delegate to either
DOJ or HQ.
* Date (Actual Complete) that the CD for cost recovery only and resulting
from a previous litigation referral is entered by the court. If the actual
completion date for the Lodged (SubAction Name = Lodged by DOJ)
exists, that date will be used instead of the entered date.
* Date (Actual Complete) that the regional office or DOJ receives payment
from the PRPs in direct response to a demand letter for voluntary cost
recovery (Action Name = Admin/Voluntary Cost Recovery).
* Date (Actual Start) of the litigation referral (Action Name = Section 106 &
107 Litigation, Litigation (Generic), Section 106 Litigation, or Section 107
Litigation).
3. Fund-financed RA starts (in the FY) with PRPs, at the site, but no enforcement
actions prior to the RA start: These are Fund-financed RA starts as defined in
Appendix B with no enforcement actions at the site where the date of these
actions as specified in #2 above are prior to the start date of the RA, but have
viable, liable PRPs designated at the site (Parties Associated with Site,
Noticed/Enf Act flag is set, and Not PRP Determination Made flag is not set).
Calculation of Accomplishment:
The numerator (the number of PRP-financed RA starts (in the FY) + Fund-financed RA
starts (in the FY) with enforcement actions prior to the RA start), is divided by the
denominator (the number of PRP-financed RA starts (in the FY) + Fund-financed RA
starts (in the FY) with prior enforcement actions at the site + Fund-financed RA starts (in
the FY) with viable, liable PRPs, at the site, but no enforcement actions prior to the RA
start), to arrive at the GPRA percentage of RA starts with enforcement actions at sites
with viable, liable PRPs.
(This measure will not include Fund-financed RAs at sites without enforcement actions
prior to the RA start and where PRPs have not been identified.)
Changes in Definition from FY10 - FY11:
None.
Special Planning/Reporting Requirements:
This is a GPRA annual performance goal.
FY 11 SPIM C-5 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
C.A.2 Promoting the Superfund Enforcement Program
The Superfund enforcement program GPRA goals and measures will continue to ensure a
fairer, more effective, and more efficient Superfund program. The program goals continue to
focus on maximizing PRP participation, addressing past costs, reducing transaction costs,
entering into fair settlements, and eliminating barriers to redevelopment. The major areas of
emphasis for the Superfund enforcement program include the following:
• Maximizing PRP Involvement/Enforcement First: Maximizing PRP participation is
critical to achieve the greatest possible number of cleanups, and to conserve Trust
Fund resources. Key areas of emphasis are early initiation of PRP searches,
completing negotiations in a timely manner, and maximizing PRP-lead cleanup
activities. EPA will continue to seek to maximize PRP participation at Superfund
sites including NPL and Superfund Alternative sites. As a result of the enforcement
first strategy, PRPs have undertaken the majority of new cleanup actions over the past
years, leveraging Fund resources to maximize total cleanups.
• Addressing Past Costs > $200,000: Each year, address all unaddressed costs for
Statute of Limitations cases for sites with total past costs equal to or greater than
$200,000 via settlements, referrals to DOJ, filing a claim in a bankruptcy proceeding,
or where appropriate write-off.
• Completing Clean-up Negotiations in a Timely Manner: Remedial Design/Remedial
Action (RD/RA) negotiations should be completed within 120 days of the issuance of
Special Notice Letters (SNLs). SNLs should be issued within 90 days after the
signature of the Record of Decision (ROD).
• Reducing Transaction Costs through De minimis Settlements: EPA will continue to
pursue '122(g) de minimis settlements, and resolve the potential liability of qualified
small volume waste contributors, at the earliest date possible.
• Entering Into Fair Settlements/Orphan Share Offers: EPA will compensate a portion
of the Superfund cleanup costs attributable to parties that are financially insolvent as
a way to ensure that remaining viable PRPs are not asked to pay for substantially
more than their share of the site costs.
• Eliminating Barriers to Redevelopment: Under the new Brownfields Amendment,
parties who qualify as bonafide prospective purchasers (BFPPs) should no longer
need agreements with the federal government to purchase contaminated property.
EPA recognizes that, in certain instances, the public interest will be served by
entering into agreements with BFPPs who will perform work exceeding reasonable
steps at a site of federal interest.
• Providing PRP Oversight : EPA will continue to focus on efforts to engage in
dialogue with PRPs that have settlements with EPA to promote oversight that ensures
the development and implementation of protective cleanups; gives careful
consideration to the associated costs being charged to PRPs; and maximizes EPA
recovery of oversight EPA will continue to offer to discuss EPA=s oversight
expectations for upcoming activities with settling PRPs who conduct non-time critical
removals, remedial investigations/feasibility studies, remedial designs, or remedial
October 1,2010 C-6 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
actions during the fiscal year; and issue oversight bills that include appropriate cost
documentation.
• Providing for Responsible Fiscal Management: EPA will place a high priority on
sound fiscal management by managing and collecting Superfund accounts receivable.
To accomplish this, program focus will be on:
- Maximizing site-specific charging (intramural and extramural);
- Maintaining prompt, current and accurate oversight billing;
Maximizing collections of monies due the Trust Fund; and
- Resolving outstanding collection disputes.
• Ensuring Compliance with Orders/Settlements: EPA will continue to monitor
compliance of PRP performance and payment obligations under administrative
orders, consent decrees, and judgments; ensure compliance; and address substantial
noncompliance in a timely manner.
• Using Special Accounts for Site Cleanup: EPA will continue to emphasize the use of
special accounts for site cleanup. This includes finalizing settlements that provide for
deposits to and disbursements from special accounts, approving actual deposits and
disbursements, reclassifying special account funds, where appropriate, and closing
out such accounts in a timely manner, thus freeing up such funds for future use at
other sites, through the general appropriation process.
• Using Alternative Dispute Resolution (ADR): EPA is continuing to use ADR as a
way to reduce the costs of achieving settlement with PRPs. Also, ADR can be used in
other contexts (e.g., disputes with states regarding cleaning up sites).
• Issuing Unilateral Administrative Orders (UAOs) Equitably: EPA will issue UAOs to
the maximum manageable number of PRPs wherever there is sufficient basis to
include them. Issuance of these UAOs will compel those PRPs to participate in, and
share the cost of, the specific response actions. The participation of these PRPs, even
if only through a financial contribution, will reduce the portion of the cleanup cost
that is borne by PRPs who have settled with EPA.
EXHIBIT C.I ENFORCEMENT ACTIVITIES
FY11 Enforcement Performance Measures
The following table represents the FY11 Enforcement Performance Measures. This table
is only relevant for Appendix C: Enforcement.
ACTIVITY
Potentially Responsible Party (PRP)
Search Starts
PRP Search Completions
Section 104(e) Referrals and Order
Issued
Submittal of Pre-Remedial Negotiation
GPRA
EPASR.
MANAGERS
INQUIRIES:
CONGRESS/
GAO/OIG/OMB
RESOURCE
WORK
PLANNING*
P
P
P
P
FY 11 SPIM
C-7
October 1,2010
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OSWER Directive 9200.3-14-1G-V
ACTIVITY
(PRN) package to DOJ for RD/RA
Negotiations
Issuance of General Notice Letters
(GNLs)
Issuance of Special Notice Letters
(SNLs)
Expanded Site Inspection/Remedial
Investigation/Feasibility Study
(ESI/RI/FS) Negotiation Starts
Remedial Design/Remedial Action
(RD/RA) Negotiation Starts (NPL &
Superfund Alternative)
Completion or Termination of
Negotiations for RD/RA (NPL &
Superfund Alternative)
Completion or Termination of
Negotiations for Cleanup (RD/RA,
Removals, and Other) (NPL &
Superfund Alternative)
Percentage of Remedial Action Starts
Initiated by PRPs at non-Federal facility
NPL & Superfund Alternative Sites
Total Response Commitments
(Including Dollar Value)
Total Amount (Dollar Value) of
Response Commitments Secured
through Financial Assurance
De Minimis Settlements and Number of
Parties
Cashout Settlements
Section 106, 106/107, 107 Case
Resolution
Issuance of Demand Letter
Total Cost Recovery Settlements
(Including Dollar Value)
Past Costs Addressed > $200,000 Via
Settlements, Referrals, Filing a Claim in
Bankruptcy Proceedings, or where
appropriate Write-Off
Recoverable Past Costs That Have Been
Addressed by Program to Date Via
Settlements, Write-Offs, or Referrals
Number and Amount of CERCLA
Penalties Assessed
GPRA
Report dollar
value
Report the
value of
costs
recovered
T
EPASR.
MANAGERS
T
T
T
T
T
T
T
T
T
T
T
T
T
INQUIRIES:
CONGRESS/
GAO/OIG/OMB
T
T
T
RESOURCE
WORK
PLANNING*
P
P
P
P
P
P
T
P
P
P
P
P
P
P
P
P
October 1,2010
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
ACTIVITY
Number and Amount of CERCLA
Supplemental Environmental Projects
Number of Settlements Where EPA
Settled Based on Ability-to-Pay
Determinations
Bona Fide Prospective Purchaser
Agreements
Prospective Purchaser (PPAs) &
Prospective Lessee (PLA) Agreements
Contiguous Property Owners (CPOs)
Windall Lien Resolution Agreements
(WL)
Issuance of Comfort/Status Letters
Orphan Share - EPA Offer and
Compensation
Non Exempt De Micromis Parties
Settlements and Number of Parties
PRP Oversight Administration
Settlements Designating Deposits to
Special Accounts
Deposits into Special Accounts
Settlements Designating Disbursements
from Special Accounts to PRPs
Disbursements from Special Accounts
for Response Actions
Closure of Special Accounts
Pre-Remedial Enforcement Action at
Superfund Sites
Management of Special Accounts
Institutional Controls
Site Revitalization
GPRA
T
EPASR.
MANAGERS
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
INQUIRIES:
CONGRESS/
GAO/OIG/OMB
T
T
T
T
T
T
T
RESOURCE
WORK
PLANNING*
P
P
P
P
P
P
P
P
P
T
P
P
P
P
P
P
P
P
*T = Program Target
P = Program Measure
NOTE: Accomplishments are pulled from CERCLIS on a quarterly basis. Measures are planned and reported
quarterly.
C.A.3 Criteria for Credit of Enforcement Activities at Superfund Alternative Sites
Note: CERCLIS coding requirements contained in the definitions below are only for key data elements. For a full
list of requirements and suggested data elements, see the SCAP Coding Guide for the current FY.
Criteria for Credit of Enforcement Activities at Sites with Superfund Alternative Sites
This section applies only to enforcement activities (i.e. RD/RA negotiation starts and
completions) at sites with Superfund Alternative Approach (SAA) agreements that meet the
FY 11 SPIM
C-9
October 1,2010
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OSWER Directive 9200.3-14-1G-V
criteria in the 2004 Superfund Alternative guidance (i.e., the site would score high enough for
listing on the NPL, the site is anticipated to need long term remedial action, there is a willing,
cooperative, capable PRP who has signed an agreement with EPA that contains the appropriate
SAA provisions). Proposed NPL sites are included in this category. Regions should maintain
adequate site documentation to support the use of the SAA. Credit for PRP-lead remedial actions
at non-NPL sites will only be given for activities conducted pursuant to an SAA agreement. Sites
that meet these criteria should be identified in CERCLIS using the special initiatives indicator
designating the agreement as an SAA agreement. At the end of each fiscal year, Headquarters
will run a report showing GPRA Superfund measure accomplishments at sites having an SAA
agreement in place.
a. Potentially Responsible Party (PRP) Search Starts
Definition:
A PRP search identifies PRPs at the site and establishes PRP liability, capability, and
financial viability. At all sites, the PRP search activities should be initiated as soon as
possible after the region decides that a response (removal or remedial) action is likely to
be required at the site. For sites where remedial actions will be conducted, the PRP search
should be initiated in time to send an SNL (at least 90 days prior to the obligation of
funds for an ESI/RI, RI/FS or RA). For sites where removal actions will be conducted,
the PRP search should be initiated as soon as the need for the removal has been identified
in order to give a verbal notice of potential liability or to issue a general notice letter.
Definition of Accomplishment:
If the National Priorities List (NPL) PRP search (Action Name = NPL RP Search) or
non-NPL PRP search (Action Name = Non-NPL PRP Search) is being conducted by a
contractor, the actual start date (Actual Start) is considered to be the date the PRP search
work assignment or procurement request is signed by the Contracting Officer (CO) or the
designated Contracting Officer Representative (COR). The start for both the NPL and
non-NPL PRP search is documented by the signed procurement request or work
assignment. If the NPL or non-NPL PRP search is conducted by EPA in-house, the actual
start date (Actual Start) is the date EPA staff develops the PRP search plan, the date the
On-Scene Coordinator (OSC) receives confirmation of a spill identification number from
the Regional Finance Office, or the date EPA initiates and documents search activities by
some other means.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
PRP searches (Action Name = Non-NPL PRP Search or NPL RP Search) are planned and
funds requested on a site-specific basis. PRP Search Starts is a program measure.
October 1,2010 C-10 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
b. PRP Search Completions
Definition:
A PRP search completion constitutes the completion of the activities taken by the region
to identify PRPs at a site. In conducting the PRP search, the region must consider which
of the criteria outlined below are cost effective and reasonable to meet relative to the
anticipated overall cleanup costs at the site. Upon completion, regions should document
in the site file that they have met all reasonable achievable criteria. Criterion 1 is
mandatory for all PRP search completions. The PRP search should ideally be completed
prior to completion of cleanup negotiations; however, it is recognized that this may not
be achievable in all situations.
The recommended criteria for a thorough PRP search are:
1. PRPs have been afforded opportunities to participate in or contribute to the PRP
search, and the information contributed has been verified and/or authenticated and
incorporated in the PRP search;
2. All relevant and material leads from CERCLA Section 104(e) responses,
interviews, and their primary or source documents have been pursued;
3. Sufficient information and evidence have been obtained to support the
government's liability case or to determine that no viable PRPs exist or can be
found;
4. PRPs have been categorized and financial and waste contribution information
needed to perform orphan share calculations has been collected;
5. Ability to pay determinations (including but not limited to the investigation and
analysis of any applicable insurance coverage) have been made for those PRPs
who have asserted inability to pay in good faith); and
6. General notice letters have been issued to all PRPs being pursued.
Definition of Accomplishment:
The PRP search (Action Name = NPL RP Search or Non-NPL PRP Search) is complete
when all applicable activities described in the Agency=s PRP Search Manual have been
completed and documentation has been placed in the site file that the region has met all
reasonable achievable criteria for the PRP search, a PRP search outcome report with a list
of PRPs has been prepared and both the actual completion date (Actual Complete) and
the outcome (Qualifier) of the search have been entered into CERCLIS. If no PRPs are
found, the region must document in the site file that it has met all reasonable achievable
criteria for the PRP search and enter the actual completion date (Actual Complete) and
the Qualifier of >No PRPs Identified (NP)= into CERCLIS. This definition applies to
both Phase I (single owner, operator site) and Phase II (multi-generator site) PRP
searches.
Changes in Definition FY10 - FY11:
None.
FY 11 SPIM C-ll October 1, 2010
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OSWER Directive 9200.3-14-1G-V
Special Planning/Reporting Requirements:
PRP search completions (Action Name = Non-NPL PRP Search or NPL RP Search) are
planned on a site-specific basis. The search outcome (Qualifier) is to be entered into
CERCLIS. The number of PRPs found may be system generated by entering and
associating PRPs with sites and selecting an Identification Source of PRP Search. PRP
search completion is a program measure.
c. Section 104(e) Referrals and Orders Issued
Definition:
Section 104(e) referrals/orders are enforcement actions to compel PRPs to respond to
EPA requests for information or to obtain site access.
Definition of Accomplishment:
The date of the memo from the Regional Administrator transmitting the Section 104(e)
referral to HQ or to the Department of Justice (DOJ) is recorded in CERCLIS as the
actual start date (Actual Start) of the Section 104(e) referral (Action Name = Section
104(e) Ref. Litigation). The date a Section 104(e) Unilateral Administrative Order
(UAO) or Administrative Order on Consent (AOC) is signed by the Regional
Administrator or delegate is recorded in CERCLIS as the actual completion date (Actual
Complete) of the UAO (Action Name = Unilateral Admin Order) or AOC (Action Name
= Admin Order on Consent).
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
The actual start date (Actual Start) of the referral (Action Name = Section 104(e) Ref.
Litigation) or the actual completion date (Actual Complete) of the order (Action Name =
Unilateral Admin Order or Admin Order on Consent) is entered into CERCLIS site-
specifically. The Law/Section reported in CERCLIS should be CERCLA 104(e)
(Law/Section = CERCLA 104(e)). This is a program measure.
d. Submittal of Pre-Referral Negotiation (PRN) Package to DOJ for RD/RA
Negotiations
Definition:
A PRN package is a brief summary and analysis of the case and recommends a case
management strategy. The PRN package should include a copy of the case Negotiation
Plan and a draft CD and should be submitted to DOJ by 30 days after the ROD is signed.
Definition of Accomplishment:
This action is accomplished on the date PRN package (SubAction Name = Pre-
Negotiation Package) is submitted to DOJ and entered into CERCLIS as the actual
completion date (Actual Complete).
October 1,2010 C-12 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
This measure was added in FY 10 as part of the implementation of the Interim Policy on
Remedial Design/Remedial Action Negotiations. Pre-Referral Negotiation Packages are
recorded as a SubAction to negotiation actions.
e. Issuance of General Notice Letters (GNLs)
Definition:
Letter sent by EPA under Section 122 of CERCLA 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 action is accomplished on the date the GNL is signed by the appropriate EPA
official and entered into CERCLIS as the SubAction, Notice Letters Issued, with an
actual completion date (Actual Complete).
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
General Notice Letters are recorded as a SubAction to PRP search or negotiation actions.
Issuance of GNLs is a program measure.
f. Issuance of Special Notice Letters (SNLs)
Definition:
An SNL is a letter under Section 122(e) of CERCLA from EPA to a PRP informing it of
its potential liability and soliciting an offer to conduct the planned response action(s) at
the site. The SNL triggers a moratorium on certain EPA actions allowing the PRP to
consider EPA=s invitation to negotiate. The moratorium period varies depending on the
response action (ESI/RI/FS, RD, or RA) and can be extended if necessary.
Definition of Accomplishment:
This action is accomplished on the date the SNL is signed by the appropriate EPA official
and entered into CERCLIS as a SubAction, Special Notice Issued, with an actual
completion date (Actual Complete). The date of issuance of the SNL also constitutes the
start of negotiations (Action Name = RI/FS Negotiations, RD/RA Negotiations,
Negotiations (Generic), or Removal Negotiations).
Changes in Definition FY10 - FY11:
None.
FY 11 SPIM C-13 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
Special Planning/Reporting Requirements:
SNLs are recorded as a SubAction to PRP search or negotiation actions. The actual
completion date of the SNL is the same as the actual start date (Actual Start) of the
applicable negotiation action. Issuance of SNLs is a program measure.
g. Expanded Site Inspection/Remedial Investigation/Feasibility Study
(ESI/RI/FS) Negotiation Starts
Definition:
ESI/RI/FS negotiations are discussions between EPA and the parties on their liability,
willingness, and ability to conduct the ESI/RI/FS.
Definition of Accomplishment:
ESI/RI/FS negotiations start when:
- The first SNL is signed by the appropriate EPA official. This date is reported in
CERCLIS as the start (Actual Start) of negotiations (Action Name = Negotiations
(Generic) or RI/FS Negotiations) and the completion (Actual Complete) of the
SNL SubAction (SubAction Name = Special Notice Issued); or
- A Section 122(a) waiver of SNL is signed by the appropriate EPA official with
the intent to pursue negotiations without moratorium procedures. This date is
reported in CERCLIS as the start (Actual Start) of negotiations (Action Name =
Negotiations (Generic) or RI/FS Negotiations) and the completion (Actual
Complete) of the SNL waiver SubAction (SubAction Name = Notice of S 122
Waiver Issued).
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
If the region does not plan to perform ESI/RI/FS negotiations at a site, negotiation dates
should not be placed in CERCLIS. The start of ESI/RI/FS negotiations (Action Name =
Negotiations (Generic) or RI/FS Negotiations) should be planned site-specifically. The
Response Actions Sought are to be entered into CERCLIS. The Response Actions Sought
must include one or more of the following actions: PRP RI/FS, RI/FS, FS, PRP FS, RI,
PRP RI, or ESI/RI. The actual start of the negotiation action is the same as the actual
complete date (Actual Complete) of the SNL or waiver of SNL. ESI/RI/FS negotiation
start is a program measure.
h. Remedial Design/Remedial Action (RD/RA) Negotiation Starts (NPL &
Superfund Alternative)
Definition:
RD/RA negotiations are discussions between EPA and the parties on their liability,
willingness, and ability to implement the long-term remedy selected in the Record of
Decision (ROD) for the site or Operable Unit (OU). Credit is given at NPL and
October 1,2010 C-14 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
Superfund Alternative sites (NPL Status = Proposed for NPL, Currently on Final NPL, or
Deleted from Final NPL; or Special Initiatives Indicator = "Superfund Alternative" with
NPL Status = Not on the NPL, Removed from the Proposed NPL, Pre-Proposed Site, or
Withdrawn) that are not Federal facility sites (Federal Facility Indicator = Not a Federal
Facility or Status Undetermined).
Definition of Accomplishment:
RD/RA negotiations start when:
The first SNL is signed by the appropriate EPA official. This date is reported in
CERCLIS as the start (Actual Start) of negotiations (Action Name = Negotiations
(Generic) or RD/RA Negotiations); or,
- A Section 122(a) waiver of SNL is signed by the appropriate EPA official with
the intent to pursue negotiations without moratorium procedures. This date is
reported in CERCLIS as the start (Actual Start) of negotiations (Action Name =
Negotiations (Generic) or RD/RA Negotiations).
Subsequent Negotiations - An interim settlement arises/order is issued for a
portion of the site work from an existing set of RD/RA negotiations and the
region does not plan to issue new special notice letter(s). The region shall
establish a new RD/RA negotiation event in CERCLIS with a start date the same
as the completion date of the first set of RD/RA negotiations from which the
interim settlement/order arose (i.e. Referral of Consent Decree for RD/RA,
Issuance of UAO for RD/RA). This date is reported in CERCLIS as the start
(Actual Start) of negotiations (Action Name = Negotiations (Generic) or RD/RA
Negotiations).
- Concurrent Negotiations - The next phase of negotiations begins before the
completion of the current RD/RA negotiations and the region does not plan to
issue new special notice letter(s). The region shall establish a new RD/RA
negotiation event in CERCLIS using as the start date of the new RD/RA
negotiations whichever is earlier either the date concurrent negotiations are first
documented in meeting minutes or in a Memorandum for the Record or the date
the letter is signed by the appropriate EPA official accepting the Good Faith Offer
(GFO) from PRPs that delineates the negotiations. This date is reported in
CERCLIS as the start (Actual Start) of negotiations (Action Name = Negotiations
(Generic) or RD/RA Negotiations).
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
If the region does not plan to conduct RD/RA negotiations, dates should not be entered
into CERCLIS. The start of RD/RA negotiations (Action Name = Negotiations (Generic)
or RD/RA Negotiations) is planned site-specifically. The "Response Actions Sought" are
to be entered into CERCLIS. The "Response Actions Sought" must include one or more
of the following actions: Remedial Design, Remedial Action, PRP RD, or PRP RA. The
actual start of the negotiation action is the same as the actual completed date (Action
FY 11 SPIM C-15 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
Complete) of the SNL or waiver of SNL. Superfund Alternative sites should be identified
in CERCLIS using the Special Initiatives Indicator of "Superfund Alternative". If a Site-
Specific Exception Plan has been approved by HQ, the date of the plan was approved
should be reported in CERCLIS as a SubAction to the negotiations (SubAction Name =
Site-Specific Exception). RD/RA negotiation starts is a program measure.
i. Completion or Termination of Negotiations for RD/RA (NPL & Superfund
Alternative)
Definition:
RD/RA negotiations are discussions between EPA and the parties on their liability,
willingness, and ability to implement the long-term remedy selected in the ROD for the
site or Operable Unit (OU).
RD/RA negotiations end when the region decides how to proceed with the RD/RA.
Definition of Accomplishment:
Credit is given at NPL and Superfund Alternative sites (NPL Status = Proposed for NPL,
Currently on Final NPL, or Deleted from Final NPL; or Special Initiatives Indicator =
"Superfund Alternative" with NPL Status = Not on the NPL, Removed from the Proposed
NPL, Pre-Proposed Site, or Withdrawn) that are not Federal facility sites (Federal Facility
Indicator = Not a Federal Facility or Status Undetermined) when:
A signed Consent Decree (CD) under Section 106 or Section 106/107 and a 10-
point analysis for RD or RA is referred by the Regional Administrator to either
DOJ or HQ. The negotiation (Action Name = Negotiations (Generic) or RD/RA
Negotiations) actual completion date (Actual Complete) is the date of the signed
transmittal memo, which is the CD (Action Name = Consent Decree) actual start
date (Actual Start); or
A Unilateral Administrative Order (UAO) for RD or RA is signed by the
Regional Administrator or delegate. The negotiation (Action Name =
Negotiations (Generic) or RD/RA Negotiations) actual completion date (Actual
Complete) is the date the UAO (Action Name = Unilateral Admin Order) is
signed, which is the UAO actual completion date (Actual Complete); or
A Section 106 or Section 106/107 injunctive referral to compel the PRP to
perform the RD or RA as specified in a UAO is referred by the Regional
Administrator to DOJ or HQ. The negotiation (Action Name = Negotiations
(Generic) or RD/RA Negotiations) actual completion date (Actual Complete) is
the date of the Regional Administrators transmittal memo, which is the litigation
(Action name = Litigation (Generic), Section 106 & 107 Litigation, or Section
106 Litigation) actual start date (Actual Start); or
- EPA and PRPs are notified by a letter from DOJ of the date (Actual Complete) on
which they will proceed to trial under an existing case (Action Name =
Negotiations (Generic) or RD/RA Negotiations); or
An Administrative Order on Consent (AOC) or Consent Agreement (CA) for RD
only is signed by the Regional Administrator or delegate. Where an AOC or CA
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for RD only is issued, no credit will be given for the subsequent RA negotiation
starts and completions. Credit will; however, be given under Total Response
Settlements for the referral of a CD for RA to DOJ or HQ. The negotiation
(Action Name = Negotiations (Generic) or RD/RA Negotiations) actual
completion date (Actual Complete) is the date the AOC or CA is signed, which is
the AOC (Action Name = Admin Order on Consent or Consent Agreement)
actual completion (Actual Complete); or
If Special Notice Letters are issued specifically to initiate RD/RA Negotiations
and the negotiations result in an amendment to an existing settlement to include
RD/RA, the negotiation (Action Name = Negotiations (Generic) or RD/RA
Negotiations) actual completion date (Actual Complete) is the date the amended
settlement is signed. This amendment date is tracked as the actual completion date
(Actual Complete) of the settlement SubAction, Enforcement Action Amended;
or
- Funds are obligated through a contract modification or work assignment signed
by the CO, an IAG signed by the other federal agency, or a Cooperative
Agreement signed by the designated regional official for a Fund-financed RD at
NPL or Superfund Alternative sites or RA at NPL sites. The negotiation (Action
Name = Negotiations (Generic) or RD/RA Negotiations) actual completion date
(Actual Complete) is the date funds are obligated. If funds are not available and
the region decides a UAO is not appropriate, the negotiation (Action Name =
Negotiation (Generic) or RD/RA Negotiations) actual completion date (Actual
Complete) is the date of the written documentation of the region=s decision not to
issue a UAO.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
This is a program measure. RD/RA negotiation completions are planned site-specifically.
The negotiation completion date is reported in CERCLIS as the actual completion date
(Actual Complete) of either generic negotiations or RD/RA negotiations (Action Name =
Negotiations (Generic) or RD/RA Negotiations). The "Response Actions Sought" and the
outcome of the negotiations (Other Outcome(s) Selected or Outcome Actions Selected)
also must be reported in CERCLIS. The "Response Actions Sought" must include one or
more of the following actions: Remedial Design, Remedial Action, PRP RD, or PRP RA.
Superfund Alternative sites should be identified in CERCLIS using the Special Initiatives
Indicator of "Superfund Alternative".
j. Completion or Termination of Negotiations for Cleanup (RD/RA, Removals,
and Other) (NPL & Superfund Alternative)
Definition:
Cleanup negotiations are discussions between EPA and the parties on their liability,
willingness, and ability to conduct the cleanup. Negotiations are complete (for NPL and
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Superfund Alternative sites) when a decision has been made as to how the region will
proceed with the cleanup.
Definition of Accomplishment:
Credit is given at NPL and Superfund Alternative sites (NPL Status = Proposed for NPL,
Currently on Final NPL, or Deleted from Final NPL; or Special Initiatives Indicator =
"Superfund Alternative" with NPL Status = Not on the NPL, Removed from the Proposed
NPL, Pre-Proposed Site, or Withdrawn) that are not Federal facility sites (Federal Facility
Indicator = Not a Federal Facility or Status Undetermined) when:
A signed Consent Decree (CD) under Section 106 or Section 106/107 and a 10-
point analysis for RD, RA, groundwater monitoring activities post ROD,
institutional controls, or a time-critical or NTC removal is referred by the
Regional Administrator to either DOJ or HQ. The negotiation (Action Name =
Negotiations (Generic), RD/RA Negotiations, or Removal Negotiations) actual
completion date (Actual Complete) is the date of the signed transmittal memo,
which is the CD (Action Name = Consent Decree) actual start date (Actual Start);
or
A Unilateral Administrative Order (UAO) for RD, RA, groundwater monitoring
activities post ROD, institutional controls, or a time-critical or NTC removal is
signed by the Regional Administrator or delegate. The negotiation (Action Name
= Negotiations (Generic), RD/RA Negotiations, or Removal Negotiations) actual
completion date (Actual Complete) is the date the UAO (Action Name =
Unilateral Admin Order) is signed which is the UAO actual completion date
(Actual Complete); or
An Administrative Order on Consent (AOC) or Consent Agreement (CA) for RD
only, or groundwater monitoring activities post-ROD, or institutional controls is
signed by the Regional Administrator or delegate. Where an AOC or CA for RD
only is signed, no credit will be given for the subsequent RA negotiation starts
and completions. Credit will; however, be given under Total Response
Settlements for the referral of a CD for RA to DOJ or HQ. The negotiation
(Action Name = Negotiations (Generic) or RD/RA Negotiations) actual
completion date (Actual Complete) is the date the AOC or CA is signed, which is
the AOC (Action Name = Admin Order on Consent) or
- CA (Action Name = Consent Agreement) actual completion (Actual Complete);
or
An AOC or CA for a time-critical or NTC removal is signed by the Regional
Administrator or delegate. The negotiation (Action Name = Negotiations
(Generic) or Removal Negotiations) actual completion date (Actual Complete) is
the date the AOC or CA is signed, which is the AOC (Action Name = Admin
Order on Consent) or CA (Action Name = Consent Agreement) actual completion
date (Actual Complete); or
A Section 106 or Section 106/107 injunctive referral to compel the PRP to
perform the cleanup (RD or RA) as specified in a UAO is referred by the
Regional Administrator to DOJ or HQ. The negotiation (Action Name =
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Negotiations (Generic) or RD/RA Negotiations) actual completion date (Actual
Complete) is the date of the Regional Administrators transmittal memo, which is
the litigation (Action Name = Litigation (Generic), Section 106 & 107 Litigation,
or Section 106 Litigation) actual start date (Actual Start); or
A Prospective Purchaser Agreement (PPA) implementing the entire remedy is
signed by the Regional Administrator or delegate. Credit is not given for
negotiation completions as a result of a PPA which implements part of the
remedy. The negotiation (Action Name = Negotiations (Generic), Removal
Negotiations or RD/RA Negotiations) actual completion date (Actual Complete)
is the date the PPA (Action Name = Admin Order on Consent or Consent
Agreement and Enf. Instrument Category = Prospective Purchaser Agreement) is
signed by the Regional Administrator or delegate which is the actual completion
date (Actual Complete) of the AOC or CA; or
- EPA and PRPs are notified by a letter from DOJ of the date (Actual Complete) on
which they will proceed to trial under an existing case (Action Name =
Negotiations (Generic) or RD/RA Negotiations); or
For settlements that are amended to include cleanup actions, the negotiation
(Action Name = Negotiations (Generic), RD/RA Negotiations, or Removal
Negotiations) actual completion date (Actual Complete) is the date the amended
instrument is signed. This amendment date is tracked as the actual completion
date (Actual Complete) of the settlement SubAction, Enforcement Action
Amended; or
Funds are obligated through a contract modification or work assignment signed
by the CO, an IAG signed by the other federal agency, or a Cooperative
Agreement signed by the designated regional official for a Fund-financed time-
critical or NTC removal or RA. Only those sites that are final on the NPL are
eligible for Fund-financed RAs. The negotiation (Action Name = Negotiations
(Generic), Removal Negotiations, or RD/RA Negotiations) actual completion date
(Actual Complete) is the date funds are obligated. If funds are not available and
the region decides a UAO is not appropriate, the negotiation (Action Name =
Negotiations (Generic), Removal Negotiations, or RD/RA Negotiations) actual
completion date (Actual Complete) is the date of the written documentation of the
region=s decision not to issue the UAO.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
This is a program measure. The negotiation completion date is reported in CERCLIS as
the actual completion date (Actual Complete) of either generic negotiations, RD/RA
negotiations, or removal negotiations (Action Name = Negotiations (Generic), RD/RA
Negotiations, or Removal Negotiations). The "Response Actions Sought" and the
outcome of the negotiations (Other Outcome(s) Selected or Outcome Actions Selected)
also must be reported in CERCLIS. Regions will receive credit for the completion of
cleanup negotiations that result in the signature of an AOC or CA with a prospective
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purchaser that is implementing the entire remedy. Superfund Alternative sites should be
identified in CERCLIS using the Special Initiatives Indicator of "Superfund Alternative".
k. Percentage of Remedial Action Starts Initiated by PRPs at Non-Federal
Facility NPL and Superfund Alternative Sites
Definition:
A Remedial Action (RA) is the implementation of the remedy selected in the ROD, and
for the purposes of this measure, occurs at non-Federal facility NPL and Superfund
Alternative sites.
Definition of Accomplishment:
This measure is the percentage of enforcement lead (i.e., PRP-fmanced in the RA Start
Definition of Accomplishment in Appendix B) RA starts at non-Federal facility NPL and
Superfund Alternative sites. It is calculated as the enforcement percentage of the total
number of non-Federal facility RA starts. The program target is to achieve 70 percent or
more PRP-lead RA starts at non-Federal facility NPL and Superfund Alternative sites.
DISCLAIMER: Regions will receive credit in the management of the Superfund
program for "start" of a remedial action even though "initiation of physical on-site
construction" may not have occurred for purposes of calculating a cost recovery statute of
limitations. The date found in the remedial action actual start column of a CERCLIS
report is a programmatic measure only, and cannot be relied on upon to create any rights,
substantive or procedural, enforceable by any party in litigation with the United States.
EPA reserves the right to change such data at any time without public notice.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
This is a program target. See special planning requirements in Appendix B, Section
B.B.3.M, and RA Start definition. Superfund Alternative sites should be identified in
CERCLIS using the Special Initiatives Indicator of "Superfund Alternative".
1. Total Response Commitments (Including Dollar Value)
Definition:
Total Response Commitments is the total universe of CERCLA enforcement instruments
where the parties agree to conduct cleanup work and/or make cash payments toward
future response costs at a site. This measure will require reporting of both the number of
enforcement instruments as well as the estimated value of the response work and/or cash
payments toward future response costs pursuant to each of those instruments.
Definition of Accomplishment:
Enforcement Instruments at non-Federal facility NPL, Superfund Alternative, and non-
NPL sites include:
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- A Consent Decree (CD) is entered by the court, under Section 106 or Sections
106 and 107 for PRPs to conduct or pay for the response action (ESI/RI, RI,
RI/FS, FS, RD, RA, groundwater monitoring activities post-ROD, institutional
controls, time-critical or NIC removal). Credit for the entered CD (Action Name
= Consent Decree) is given on the date on which the consent decree is entered by
the court. This date is recorded in CERCLIS as the actual completion date (Actual
Complete). Types of CDs include CDs for mixed work, preauthorized mixed
funding, de minimis, and cashout settlements. The appropriate Enforcement
Instrument Categories Selected also must be entered into CERCLIS.
- A Unilateral Administrative Order (UAO) is signed by the Regional
Administrator or delegate for response work, and at least one of the PRPs has
provided notice of intent to comply unconditionally. Commitment credit is given
on the date of the PRPs written notice of intent to comply with the order. This is
reported in CERCLIS as the actual completion date (Actual Complete) of the
Notice of Intent to Comply SubAction (SubAction Name = PRPs Ntfy EPA,
Intent to Comply). The actual completion date (Actual Complete) of the order
(Action Name = Unilateral Admin Order) is the date it is signed.
If a PRP initially complies with a UAO, credit will be given for the UAO when the first
PRP provides written notice of intent to comply. If, at a later date, the PRP agrees to a
CD for the same work, credit will be given for the CD when it is entered by the court. At
this point the region will receive credit for the CD only and not the UAO. When adding
the Consent Decree Action, the region should identify the UAO as the predecessor action
through Action Relationships and enter the estimated value of the UAO as the estimated
value of the CD if the CD covers the same work. If the CD covers more work than the
UAO it replaces, a revised estimate may be necessary. The CERCLIS reporting
requirements for the CD apply.
An Administrative Order on Consent (AOC) or Consent Agreement (CA) is
signed by the Regional Administrator or delegate for PRPs to perform or pay for
an ESI/RI, RI, RI/FS, FS, time-critical or NTC removal, RD, monitored natural
attenuation, institutional controls, or groundwater monitoring post-ROD. The date
the AOC or CA is signed (Action Name = Admin Order on Consent or Consent
Agreement (CA)) is reported in CERCLIS as the actual completion date (Actual
Complete).
Commitment credit is also given when an AOC or Consent Agreement (CA) is
signed that provides protection from potential future liability to a prospective
purchaser that is implementing the remedy. The actual completion date (Actual
Complete) is the date the AOC or CA (Action Name = Admin Order on Consent
or Consent Agreement (CA), and Enf Instrument Category Selected = Prospective
Purchaser Agreement) is signed by the Regional Administrator or delegate. Total
Response Commitments will be reported as a combined total of CDs, CAs, AOCs,
and UAOs, where response actions have been achieved and/or parties agree to
make cash payments toward future response costs at a site. The value of Total
Response Commitments is based on the estimated value of PRP response work
and/or payments made by responsible parties toward future response costs at a
site.
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An enforcement instrument is active until the provisions of the instrument or another
document incorporated by reference is completed including payment provisions and
monitoring (with the exception of any activity related to record retention). (The CD,
AOC, CA, or UAO has an Overall Compliance Status of "Closed Order/Settlement"; and
the SubAction = Closed Order or Settlement, or the SubAction = Closed Order or
Settlement with Potential for Penalty Claim has an Actual Completion Date). In addition,
a UAO that is converted to a CD is no longer active.
Changes in Definition FY10 - FY11:
The point at which credit is given for a CD settlement has changed. In prior years, credit
was given when the CD was referred to DOJ, lodged with the court or entered by the
court. Starting in FY 2006, credit will be given only when the CD has been entered by the
court.
Special Planning/Reporting Requirements:
The applicable "Response Actions Pd by Parties," the "Work the PRP Will Perform -
Value" (see supplement to: OSWER Directive #9200.3-14-la) or the "Federal Costs
Settled - Future", "Other Relief Achieved", if applicable; and, if necessary, the
"Enforcement Instrument Categories Selected" are to be reported in CERCLIS.
Settlement credit will be given for an AOC or CA with a Prospective Purchaser (PPA),
Prospective Lessee (PLA), Bona Fine Prospective Purchaser (BFPP), Contiguous
Property Owner (CPO) or Windfall Lien Resolution (WL) Agreement with BFPP if PPA,
PLA, BFPP,, CPO, or WL is the selected enforcement instrument category. The
appropriate Site Lead Action Qualifier of MF (Multi-Site- First Site) or MS (Multi-
Site_Subsequent) should be entered into CERCLIS on the Enforcement schedule for a
single settlement covering multiple sites in order to apportion the dollars correctly across
individual sites without double counting the settlement. Existing settlements for ESI/RI,
RI/FS or FS that are amended to include RD should be reported in CERCLIS. The date
the amendment is signed is the actual completion date (Actual Complete) of the
SubAction "Enforcement Action Amended." The region should also indicate the
"Response Actions Pd by Parties" added under the settlement. Amended Instruments will
count for credit in the current year as well as in the program-to-date dollar amount.
Dollars received in a cashout settlement should be deposited in an interest bearing special
account if site-specific conditions warrant. See the measure, Settlements Designating
Deposits to Special Accounts, for more information. This is a program measure. The
"Work the PRP Will Perform - Value" and "Federal Costs Settled - Future" (i.e., the
value of total response commitments) will be reported for GPRA.
m. Total Amount of Response Commitments Secured through Financial
Assurance
Definition:
Financial responsibility requirements ensure that responsible parties have the resources to
complete cleanup work obligations they assume under CERCLA enforcement
instruments. Financial assurance provides protection against liable parties who default on
their cleanup obligations, which would subsequently shift the burden for these costs to
October 1,2010 C-22 FY11SPIM
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state and federal taxpayers. Enforcement instruments requiring CERCLA cleanup work
should include financial assurance provisions where appropriate. This measure counts the
total universe of CERCLA enforcement instruments where parties have agreed to provide
financial assurance to secure site cleanup. In addition, the measure will report the total
amount of financial assurance provided by the parties pursuant to each instrument.
Definition of Accomplishment:
For all enforcement instruments at non-Federal facility NPL, Superfund Alternative, and
non-NPL sites where there is cleanup work and the parties have agreed to provide
financial assurance to secure the response work, this measure will report the:
1. Total number of enforcement instruments with financial responsibility provisions;
2. Total number of enforcement instruments where financial assurance was
provided; and
3. Amount (dollar value) of financial assurance provided responsible parties to
secure response commitment costs.
Changes in Definition from FY10 - FY11:
None.
Special Planning/Reporting Requirements:
This is a program measure. For Enforcement Instruments included as a part of this
measure see the Total Response Commitments definition of accomplishment. Financial
assurance provides security that a site cleanup will be completed. Enforcement
instruments for cost recovery only or the cost recovery component of an enforcement
instrument will not be counted in this measure. Regions must answer Yes or No to the
question Financial Assurance Required on the CERCLIS Enforcement Instrument Screen
when entering the details of the enforcement instrument. In addition, the following
information should be entered in CERCLIS under the Financial Assurance tab of the
Enforcement Instrument screen when an answer of Yes is indicated:
Type of financial amount or face value of financial assurance provided; Assurance
mechanism provided (i.e., Trust Fund, Letter of Credit, Payment or Performance Bond,
Insurance Policy, Financial Test, Corporate Guarantee); Financial assurance issuer; and
where applicable the Financial assurance mechanism expiration date.
Generally, responsible parties agree to provide financial assurance within 30 days of the
entry of the Consent Decree (CD) or upon completion of the Administrative Order on
Consent (AOC) or, Consent Agreement (CA), or when compiling with the Unilateral
Administrative Order (UAO).
n. Minimis Settlements and Number of Parties
Definition:
This measure reports the total number of administrative or judicial settlements that are
reached under Section 122(g) of CERCLA, with PRPs qualified as de minimis. This type
FY 11 SPIM C-23 October 1, 2010
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of settlement results in PRPs paying a minor portion of the estimated response costs at
the site, and is embodied in a CD or an AOC. If the total response costs at the site exceed
$500,000 (excluding interest), the AOC can only be signed by the Regional
Administrator or delegate after prior written approval from DOJ. If DOJ does not approve
or disapprove the order within 30 days, the order is considered approved and can then be
signed by the region. The DOJ and the Regional Administrator or delegate can agree to
extend the 30-day period if necessary.
This measure will examine the total number of de minimis settlements under Section
122(g), the number of PRPs who sign such settlements, and the number of sites at which
de minimis settlements were signed.
Definition of Accomplishment:
Credit is given at non-Federal facility NPL, Superfund Alternative, and non-NPL sites for
de minimis settlements in the following two categories.
Category 1: De minimis settlements include:
An Administrative Order on Consent (AOC) (Action Name = Admin Order on
Consent) signed by the Regional Administrator or delegate. The date the AOC is
signed is reported in CERCLIS as the actual completion date (Actual Complete)
of the AOC (Action Name = Admin Order on Consent); or
A memorandum transmitting the Consent Decree (CD) (Action Name = Consent
Decree) signed by the Regional Administrator and the de minimis parties to DOJ
or HQ. The date of the transmittal memorandum is reported in CERCLIS as the
actual start date (Actual Start) of the CD (Action Name = Consent Decree).
The number of signatories to the settlement is system generated in CERCLIS from the
identification of the PRPs who have signed the settlement. Category 2: Early de minimis
settlements include:
An Administrative Order on Consent (AOC) (Action Name = Admin Order on
Consent) signed by the Regional Administrator or delegate prior to the first
remedy selection (ROD) at the site, or prior to a subsequent ROD which addresses
response costs that are included in the settlement. The date the AOC is signed is
reported in CERCLIS as the actual completion date (Actual Complete) of the
AOC (Action Name = Admin Order on Consent).
A memorandum transmitting the Consent Decree (CD) (Action Name = Consent
Decree) signed by the Regional Administrator and the de minimis parties to DOJ
or HQ prior to the first remedy selection (ROD) at the site or prior to a subsequent
ROD which addresses response costs that are included in the settlement. The date
of the transmittal memorandum is reported in CERCLIS as the actual start date
(Actual Start) of the CD (Action Name = Consent Decree).
The number of signatories to the settlement is system generated in CERCLIS from the
identification of the PRPs who have signed the settlement.
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Changes in Definition FY10 - FY11:
None.
Special Planning/ Reporting Requirements:
This is a program measure. The following information should be entered into CERCLIS
for both Category 1 and Category 2 settlements:
Enforcement Instrument Categories Selected of de minimis;
- PRPs that signed the settlement (Parties Associated with Action, Party Name);
- Dollar amount that will be used for current, future, or past work covered by the
settlement (Work PRP Will Perform - Value, Federal Costs Settled - Past and/or
Federal Costs Settled - Future (as applicable)); and
Applicable Response Actions Pd by Parties, Other Relief Achieved, or Response
Actions Reimbursed. To indicate the de minimis PRPs that signed the settlement,
the following information must be entered for each party on the Party
Search/Information, Involvement tab:
* Basis of Liability of "De Minimis party"; and
* Involvement Type of "Owner", "Generator" or "Transporter".
Since many de minimis settlements are cashouts, regions also must enter an Enforcement
Instrument Category of "Cashout." Dollars received in a de minimis cashout settlement
should be deposited in an interest bearing special account if site-specific conditions
warrant. See the Settlements Designating Deposits to Special Accounts measure for
additional information. The number of signatories to the settlement is system generated
from the identification of the PRPs who have signed the settlement.
o. Cashout Settlements
Definition:
This measure reports the total number of administrative or judicial settlements where the
parties agree to make cash payments toward future response costs at a site.
Definition of Accomplishment:
Credit is given when:
- The Regional Administrator transmits the cashout CD (Action Name = Consent
Decree) to DOJ or HQ as recorded in CERCLIS as the actual start date (Actual
Start); or
The Regional Administrator or delegate signs the AOC (Action Name = Admin
Order on Consent) for the cashout settlement as recorded in CERCLIS as the
actual completion date (Actual Completion).
Changes in Definition FY10 - FY11:
None.
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OSWER Directive 9200.3-14-1G-V
Special Planning/Reporting Requirements:
This is a program measure. Regions must enter the appropriate Enforcement Instrument
Category "Federal Costs Settled - Future", "Response Actions Pd by Parties", and/or
"Other Relief Achieved". Dollars received in a cashout settlement should be deposited in
an interest bearing special account if site-specific conditions warrant. See the measure,
Settlements Designating Deposits to Special Accounts, for more information.
p. Section 106,106/107,107 Case Resolution (Including Claim in Bankruptcy)
Definition:
Case resolution is the conclusion of a Section 106, 106/107, 107 judicial action, or Claim
in Bankruptcy by full settlement, case dismissal, or case withdrawal, or final judgment.
Definition of Accomplishment:
Credit for case resolution is given at non-Federal facility NPL, Superfund Alternative,
and non-NPL sites when:
A Consent Decree (CD) is entered in the court and signed by the judge fully
addressing the complaint with all parties;
The region receives a memo or letter from DOJ withdrawing the case;
- A decision document is submitted by the judge dismissing the case; or
- A trial has concluded and a judgment rendered and signed by the judge fully
addressing the complaint.
The Litigation or case resolution (Action Name = Litigation (Generic), Section 106 &
107 Litigation, Section 107 Litigation, Section 106 Litigation, or Claim in Bankruptcy
Proceeding) actual completion date (Actual Complete) is defined as follows:
- Date full settlement CD is entered. This is the actual completion date (Actual
Complete) of the CD, actual completion date of the SubAction = Entered by
Court, and the litigation or bankruptcy action actual completion date (Actual
Complete);
- Date case is withdrawn (SubAction Name = Case Withdrawn) as the SubAction
completion and litigation or bankruptcy actual completion date (Actual
Complete);
Date case is dismissed (SubAction Name = Case Dismissed) as the SubAction
and litigation or bankruptcy actual completion date (Actual Complete); or
Date judgment is entered (Action Name = Judicial/Civil Judgment) as the
judgment and the litigation or bankruptcy actual completion date (Actual
Complete).
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
This is a program measure.
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q. Issuance of Demand Letter
Definition:
A Section 122(e) letter issued 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 Action is accomplished on the date (Actual Complete) the demand letter is signed by
the appropriate EPA official and recorded in CERCLIS as a Action (Action Name =
Demand Letters Issued) to the negotiation actions, Administrative/Voluntary Cost
Recovery action, UAO, Litigation actions, or Decision Documents.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
This is a program measure.
r. Total Cost Recovery Settlements (Including Dollar Value)
Definition:
Total Cost Recovery Settlements is the total universe of CERCLA enforcement cost
recovery settlements where the parties agree to pay past costs to the Agency. This
measure will require reporting of both the number of settlements as well as the value of
the past costs to be recovered pursuant to each of these settlements.
Definition of Accomplishment:
Settlements at non-Federal facility NPL, Superfund Alternative, and non-NPL sites
include:
Consent Decrees - Credit is given for CD settlements (Action Name = Consent
Decree) for RD/RA with a cost recovery component, or CDs for cost recovery
only that were not a result of a previous litigation referral, on the date the consent
decree is entered by the court and recorded in CERCLIS as the actual completion
date (Actual Complete).
For CD settlements that are for cost recovery only and result from a previous litigation
referral, regions should not add a CD start date (Actual Start). Only the lodged
(SubAction Name = Lodged by DOJ) and entered (SubAction Name = Entered by Court)
SubActions, their actual completion dates (Actual Complete), and the actual completion
date (Actual Complete) of the CD are recorded. The actual completion date of the CD is
the date it is entered by the court. If the actual completion date for the Lodged by DOJ
SubAction exists, credit will be given in the FY identified by this completion date.
Administrative Settlements - Credit is given on the date that the regional office
or DOJ receives payment from the PRPs in direct response to a demand letter for
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voluntary cost recovery or the date the Regional Administrator or delegate signs
the Administrative Order on Consent (AOC) or Consent Agreement (CA) for cost
recovery. The date must be reported in CERCLIS as the actual completion date
(Actual Complete) of the administrative/voluntary cost recovery (Action Name =
Admin/Voluntary Cost Recovery), AOC (Action Name = Admin Order on
Consent), or CA (Action Name = Consent Agreement).
Total Cost Recovery Settlements will be reported as the combined total of CDs, CAs,
Administrative/Voluntary Cost Recovery actions and AOCs where cost recovery has
been achieved.
An enforcement instrument is active until the provisions of the instrument or another
document incorporated by reference is completed including payment provisions and
monitoring (with the exception of any activity related to record retention). (The CD,
AOC, or CA has an Overall Compliance Status of "Closed Order/Settlement"; and the
SubAction = Closed Order or Settlement, or the SubAction = Closed Order or Settlement
with Potential for Penalty Claim has an actual completion date (Actual Complete)).
Changes in Definition FY10 - FY11:
The point at which credit is given for a CD settlement has changed. In prior years, credit
was given when the CD was referred to DOJ, lodged with the court or entered by the
court. Starting in FY 2006 credit will be given only when the CD has been entered by the
court.
Special Planning/Reporting Requirements:
This is a program measure. The "Federal Costs Settled - Past" must be entered into
CERCLIS. This measure will be reported in the ENFR-03 report. The "Federal Costs
Settled - Past" (i.e. the value of costs recovered) will be reported for GPRA.
s. Recoverable Past Costs That Have Been Addressed by Program to Date Via
Settlements, Referrals, Write-Offs, or Claims in Bankruptcy
Definition:
This measure supports the goal of Trust Fund Stewardship by reporting the amount and
percentage of recoverable past costs that were addressed versus all recoverable past costs
(i.e., past costs eligible for recovery, program-to-date). The regions are encouraged to
address all of the recoverable past costs through enforcement activities so that the
maximum amount of recoverable funds can be obtained to support Superfund cleanups.
Recoverable past costs include EPA direct and indirect costs, plus contractor program
management costs which are allocated to sites annually.
Some Superfund past costs are considered unrecoverable, including funds expended at
orphan sites, costs that were compromised during previous cost recovery efforts, and
costs that were previously written off. Indirect costs over and above those that are
recoverable under the current indirect rates are also considered not recoverable.
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Past Costs Addressed are costs addressed through administrative settlements, Section 107
or 106/107 judicial referrals including settlements for past costs under a CD, decision
documents or 10-point settlement analysis documents not to pursue cost recovery, or
bankruptcy filing. Depending on the enforcement action, the "Federal Costs Settled -
Past," "Past Costs Written Off," or "Federal Costs Sought - Past" must be entered into
CERCLIS.
Recoverable Past Costs include all past costs at the site, regardless of cost recovery status
or previous cost recovery efforts. Recoverable costs include direct response costs,
indirect costs allocated to the site using the applicable indirect rates, an estimate of
contractor program management costs as allocated to the site, and any other costs charged
to the site, as indicated by the appropriate Financial Management Division (FMD) system
such as, Integrated Financial Management System (IFMS), or Superfund Cost Recovery
Package and Image On-Line System (SCORPIOS). The percentage of recoverable past
costs addressed is the amount of past costs addressed compared to the estimated total
amount of recoverable past costs.
Definition of Accomplishment:
Credit is given at non-Federal facility NPL, Superfund Alternative, and non-NPL sites.
Cost may be addressed through one or more of the following actions:
Administrative Settlements - Credit is given on the date the regional office or DOJ
receives payment from the PRPs in direct response to a demand letter for voluntary cost
recovery, or the date the Regional Administrator or delegate signs the Administrative
Order on Consent (AOC) or Consent Agreement (CA) that recovers 100 percent of the
Trust Fund expenditures or settles a claim where the total response cost are less than
$500,000. The accomplishment of the administrative settlement is recorded in CERCLIS
as the actual completion date (Actual Complete) of the administrative/voluntary cost
recovery (Action Name = Admin/Voluntary Cost Recovery), AOC (Action Name =
Admin Order on Consent), or CA (Action Name = Consent Agreement). If the settlement
is compromised and total response costs are more than $500,000, the AOC must be sent
to DOJ for approval prior to signature by the Regional Administrator.
Section 107 or 106/107 Judicial Referrals - Credit is given on the date of the Regional
Administrator's memo transmitting the referral to DOJ or HQ (Action Name = Litigation
(Generic), Section 107 Litigation, or Section 106 & 107 Litigation) as recorded in
CERCLIS as the actual start date (Actual Start).
This includes CD settlements (Action Name = Consent Decree) for RD/RA with a cost
recovery component and CD settlements for cost recovery only. For CD settlements for
RD/RA with a cost recovery component and CD settlements that were not the result of
prior litigation, credit is given on the date of the Regional Administrator's memo
transmitting the settlement to DOJ or HQ. This date is reported in CERCLIS as the actual
start date (Actual Start) of the CD (Action Name = Consent Decree). For CD settlements
that are for cost recovery only and result from a previous litigation referral, the CD actual
start date (Actual Start) is not reported in CERCLIS. Only the lodged (SubAction Name
= Lodged by DOJ) and entered (SubAction Name = Entered by Court) SubActions, the
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SubAction actual completion date (Actual Complete), and the actual completion date
(Actual Complete) of the CD are recorded. The actual completion date of the CD is the
date it is entered by the court.
Decision Documents not to Pursue Cost Recovery - Credit is given when the decision
document (Action Name = Cost Recvry Decsn Docmt - No Sue) is signed by the regional
office and recorded in CERCLIS as the actual completion date (Actual Complete). The
decision not to pursue cost recovery also may be documented in a 10-point settlement
analysis. For both the Cost Recovery Decision Document Not to Sue and the enforcement
instrument 10-point settlement analysis, the past costs that will not be recovered (Past
Costs Written Off) and the reason(s) the costs were written off should be reported in
CERCLIS.
Bankruptcy Filing - Credit is given based on the date the Claim in Bankruptcy
Proceedings is transmitted to DOJ (Action Name = Claim in Bankruptcy Proceedings).
This date is reporting in CERCLIS as the actual start date (Actual Start). For each Claim
in Bankruptcy, the "Federal Costs Sought - Past" must be entered into CERCLIS.
Changes in Definition FY10 - FY11:
Credit for past costs addressed via a Claim in Bankruptcy was previously given based on
the date the bankruptcy strategy package was prepared or on the date of the first creditor
committee meeting. These dates are reported in CERCLIS as SubActions to the Claim in
Bankruptcy Proceedings Action. Beginning in FY 2010, only the claim in Bankruptcy
Proceedings Action actual start date is required to receive credit for addressing past costs
via a claim in bankruptcy.
Special Planning/Reporting Requirements:
This is a program measure. The "Federal Costs Settled - Past" must be entered info
CERCLIS. The appropriate Site Lead Action Qualifier of MF (Multi-Site-First Site) or
MS (Multi-Site-Subsequent Site) should be entered in CERCLIS on the Enforcement
Schedule for a single settlement covering multiple sites in order to apportion the dollars
correctly across individual sites without double counting the settlement. This measure
will be reported in the ENFR-03 report. The "Federal Costs Settled - Past" (i.e., the
value of costs recovered) will be reported for GPRA.
t. Number and Amount of CERCLA Penalties Assessed
Definition:
This measure supports the goal of Trust Fund Stewardship by providing information on
the amount and number of final CERCLA penalties assessed. The measure identifies
monies that are provided for the Trust Fund as a result of penalties assessed for violations
of the CERCLA statute. The measure also supports the systematic reporting on the
programmatic impacts of compliance and enforcement.
This measure is expressed as the dollar amount of the final assessed penalty under
CERCLA. For civil judicial cases, this amount is the penalty assessed against the
defendant(s) as specified in the Consent Decree or Court Order entered by the court or
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agreed to by the defendant(s). For administrative cases, it is the penalty agreed to in the
final AOC or assessed directly by EPA under Section 109(a) and (b) of CERCLA.
The number of CERCLA penalties assessed is the number of civil, judicial, or
administrative enforcement actions where a penalty was assessed under a CERCLA
statute.
Definition of Accomplishment:
The number of CERCLA penalties assessed is the total number of enforcement actions
(CDs, AOCs, judgments, or court orders) where a penalty was assessed under a CERCLA
statute, including actions that are only for CERCLA or multi-media actions that contain a
CERCLA component.
The value of CERCLA penalties assessed is the total dollar amount of penalties assessed
under the CERCLA statute for violations of requirements contained in civil, judicial, and
administrative enforcement actions. If the enforcement action consists of multi-media
actions, this measure will only include the amount that is assessed under the CERCLA
statute, to the extent that it can be specified.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
The "Stipulated Penalty Assessed - Amount Imposed" and/or "Statutory Penalty Assessed
- Amount Imposed" should be entered into CERCLIS through the Penalty/SEP screens
associated with the enforcement instrument. Official end of year numbers and values for
Stipulated Penalties are reported by the Office of Enforcement and Compliance
Assurance using information from the Integrated Compliance Information System (ICIS).
u. Number and Amount of CERCLA Supplemental Environmental Projects
(SEPs)
Definition:
SEPs are environmentally beneficial projects which a violator agrees to undertake in
settlement of an enforcement action, but which the violator is not otherwise legally
required to perform. The SEP could be for public health, pollution prevention, pollution
reduction, environmental restoration and protection, assessments and audits,
environmental compliance promotion, emergency planning and preparedness, or other
program-specific projects. This measure supports the goal of Trust Fund Stewardship by
measuring the number and value of SEPs under CERCLA. The measure provides the
opportunity for the violator to undertake environmentally beneficial projects that will
potentially prevent the creation of additional Superfund sites, thus avoiding the need for
using Trust Fund monies for future cleanups. The measure also supports the systematic
reporting on the programmatic impacts of compliance and enforcement.
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Definition of Accomplishment:
The number of CERCLA SEPs is the total number of cases where a SEP was
agreed upon under a CERCLA statute, including cases that are only for CERCLA
or multi-media cases that contain a CERCLA component.
The value of the CERCLA SEPs agreed upon is the estimated value of the SEP
under the CERCLA statute for civil, judicial, and administrative enforcement
actions. If the action is a multi-media action, the SEP will be the total value for all
media not just media covered under CERCLA.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
The following information should be entered into CERCLIS through the Penalty/SEP
screens associated with the enforcement instrument: the SEP Information - EPA
Estimated Value and SEP Information - Category. The number and value of SEPs agreed
upon under CERCLA will be obtained from the Office of Compliance using the
information reported in the Integrated Compliance Information System (ICIS). This is a
program measure.
v. Number of Settlements Where EPA Settled Based on Ability-to-Pay
Determinations
Definition:
The measure will help assess the extent to which EPA is using ability-to-pay
determinations to achieve its goal of Enforcement Fairness. The measure will report the
number of administrative or judicial settlements that are reached under CERCLA with
PRPs qualified as limited ability-to-pay parties. This type of settlement results in: (1)
PRPs paying less than their respective portion of the cost for site cleanup based on an
ability-to-pay determination; (2) Payment over time for parties with limited ability to
raise annual revenues; or (3) Parties providing in-kind service in lieu of cash payments.
Definition of Accomplishment:
Total ability-to-pay settlements are counted as follows:
When an AOC (Action Name = Admin Order on Consent) or Consent Agreement
(CA) (Action Name = Consent Agreement) with the ability-to-pay PRPs is signed
by the Regional Administrator or delegate and reported in CERCLIS as the actual
completion date (Actual Complete).
When the Regional Administrator signs the memorandum transmitting the CD
(Action Name = Consent Decree) signed by the ability-to-pay parties (and the
Regional Administrator) to DOJ or HQ as reported in CERCLIS as the actual start
date (Actual Start).
Changes in Definition FY10 - FY11:
None.
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Special Planning/Reporting Requirements:
This is a program measure. An Enforcement Instrument Categories Selected of "Ability
to Pay" needs to be entered into CERCLIS.
w. Bona Fide Prospective Purchaser Agreements
Definition:
In January 2002, CERCLA was amended through enactment of Public Law 107-118,
titled the Small Business Liability Relief and Brownfield Revitalization Act
("Brownfields Amendments"). Among other things, the Brownfields Amendments
provide a limitation on liability for persons who qualify as bona fide prospective
purchasers (BFPPs). The intent of Congress in enacting this provision was to remove
certain liability barriers to purchases of property and encourage redevelopment. Although
EPA believes the necessity for agreements with prospective purchasers has been largely
addressed by congressional action, the Agency recognizes that, in limited instances, the
public interest would be served by entering into agreements with BFPPs who will
perform work (removal) exceeding reasonable steps at a site of federal interest. This
measure will quantify the number of BFPP Removal Agreements signed.
For the purpose of reporting, this measure will count the number of finalized agreements
that include provisions for BFPPs to perform work (removal).
Definition of Accomplishment:
Credit is given at non-Federal facility NPL, Superfund Alternative, and non-NPL sites for
the BFPP Agreements upon the completion date (Actual Complete) of a Consent
Agreement (CA) or Administrative Order on Consent (AOC) (Action Name = Admin
Order on Consent or Consent Agreement) for response action (removal) by a BFPP. The
completion date is the date the settlement is signed by the Regional Administrator or
delegate.
Changes in Definition FY10 - FY11:
This is a new measure.
Special Planning/Reporting Requirements:
Regions should select the enforcement instrument category Bona Fide Prospective
Purchaser (BFPP) work agreement (Enforcement Instrument Categories Selected = BFPP
Work Agreement) in CERCLIS and associate the appropriate response action. The actual
completion date will be the date of the EPA signature of the AOC or CA (see above).
x. Prospective Purchaser Agreements (PPAs) & Prospective Lessee Agreements
(PLAs)
Definition:
In January 2002, CERCLA was amended through enactment of Public Law 107-118,
titled the Small Business Liability Relief and Brownfield Revitalization Act
("Brownfields Amendments"). The Brownfields Amendments provide a limitation on
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liability for persons who qualify as bona fide prospective purchasers. The intent of
Congress in enacting this provision was to remove certain liability barriers to purchases
of property and encourage redevelopment. While EPA understands the necessity for
PPAs and PLAs has been largely eliminated by the Amendments, the Agency recognizes
that in limited instances the public interest will be served by entering into PPAs and
PLAs. This measure, therefore, will continue to report progress toward both the goals of
enforcement fairness, redevelopment, and revitalization of contaminated properties. This
measure will quantify the number of PPAs and PLAs signed.
For the purpose of reporting, this measure will count:
1. The number of finalized settlement agreements (AOCs, CAs, CDs) that include
prospective purchaser provisions.
2. The number of finalized settlement agreements (AOCs, CAs, CDs) that include
prospective lessee provisions.
Definition of Accomplishment:
Credit is given at non-Federal facility NPL, Superfund Alternative, and non-NPL sites:
Prospective Purchaser Agreement: This is the completion of a PPA based on the
date (Actual Complete) the Administrative Order on Consent (AOC) or Consent
Agreement (CA) (Action Name = Admin Order on Consent or Consent
Agreement) with a PPA component is signed by the Regional Administrator or
delegate or the date (Actual Start) the CD (Action Name = Consent Decree) with
a PPA component is entered by a federal court. Regions also must enter the
Enforcement Instrument Category to indicate a PPA (Enforcement Instrument
Categories Selected = Prospective Purchaser Agreement).
- Prospective Lessee Agreement: This is the completion of a PLA based on the date
(Actual Complete) the Administrative Order on Consent (AOC) or Consent
Agreement (CA) (Action Name = Admin Order on Consent or Consent
Agreement) with a PLA component is signed by the Regional Administrator or
delegate or the date (Actual Start) the CD (Action Name = Consent Decree) with
a PLA component is entered by the federal court. Regions also must enter the
Enforcement Instrument Category to indicate a PLA (Enforcement Instrument
Categories Selected = Prospective Lessee Agreement).
Changes in Definition FY10 - FY11:
Prospective Lessee Agreements (PLA) have been added to this measure. Only finalized
(enforcement instrument actual completion date) PPAs and PLAs are counted.
Special Planning/Reporting Requirements:
For each settlement, the region should enter the following information into CERCLIS:
"Work PRP Will Perform - Value" and/or "Federal Costs Settled - Future" and "Response
Actions Pd by Parties;" and/or "Federal Costs Settled - Past", "Response Actions
Reimbursed", and/or "Other Relief Achieved" of "Other Activities for Cost Recovery";
and an Enforcement Instrument Categories Selected of "Prospective Purchaser
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Agreement" or "Prospective Lessee Agreement." The numbers of PPA and PLA
agreements signed are program measures.
y. Issuance of Comfort/Status Letters
Definition:
In January 2002, CERCLA was amended through enactment of Public Law 107-118,
titled the Small Business Liability Relief and Brownfield Revitalization Act
("Brownfields Amendments"). Parties interested in purchasing, developing, or operating
these properties are provided information, upon request, regarding the potential for EPA
actions. Comfort/status letters, while providing some assurances, are intended solely for
informational purposes and only communicate EPA's intent with regard to enforcement
or response authorities. Comfort/status letters do not provide a release from CERCLA
liability, and therefore, are not considered "no action assurances." Any response to a
solicitation for information on EPA's involvement or potential involvement/interest in a
property qualifies as a comfort/status letter.
Definition of Accomplishment:
If the comfort/status letter is a windfall lien or reasonable steps comfort/status letter,
regions must indicate this in CERCLIS (Action Qualifier = Windfall Lien or Reasonable
Steps). A comfort/status letter is accomplished (Actual Complete Date) the day it is
signed by the appropriate regional official.
Changes in Definition FY10 - FY11:
The former start date (Actual Start Date) for this action the date a written request was
received by the Agency for a comfort/status letter from an interested party is no longer
required, and will not be tracked by HQ. Regions may continue to track this if they wish.
Special Planning/Reporting Requirements:
This is a program measure. Regions should track the property/site specific issuance of
comfort/status letters electronically in CERCLIS. For each comfort/status letter that is a
windfall lien or reasonable steps comfort letter, regions should enter the Action Qualifier
of "Windfall Lien" or "Reasonable Steps" respectively into CERCLIS.
z. Contiguous Property Owners (CPOs)
Definition: In 2002, the Small Business Liability Relief and Brownfields Revitalization
Act (Brownfields Amendments) amended CERCLA to provide liability protection to
Contiguous Property Owners (CPOs). CERCLA Section 107(q) excludes from the
definition of "owner or operator" under CERCLA Sections 107(a)(l) and (2) a person
who owns property that is "contiguous to or otherwise similarly situated with respect to,
and that is or may be contaminated by a release or threatened release of hazardous
substances from" real property owned by someone else. While CERCLA Section 107(q),
like other provisions in the Brownfields Amendments, is designed to grant landowner
liability protection without any action from or involvement of EPA, in CERCLA Section
107(q)(3)(b), Congress expressly conferred upon EPA the ability to grant a CPO
protection against a cost recovery or contribution action under CERCLA Section 113(f).
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EPA believes congressional intent in passing this provision was to provide additional
protection to CPOs who have been sued or where there is the real and substantial threat of
litigation. It is the Agency's view that the assurance can also remove the stigma
associated with being neighbors of contaminated properties, as well as facilitate
development.
For the purpose of reporting, this measure will count: The number of finalized settlement
agreements (AOCs & CAs) that include contiguous property owner provisions.
Definition of Accomplishment: Credit is given at non-Federal facility NPL, Superfund
Alternative, and non-NPL sites: Contiguous Property Owners: This is the completion of a
CPO based on the date (Actual Complete) the Administrative Order on Consent (AOC)
or Consent Agreement (CA) (Action Name = Admin Order on Consent or Consent
Agreement) with a CPO component is signed by the Regional Administrator or delegate.
Regions also must enter the Enforcement Instrument Category to indicate a CPO
(Enforcement Instrument Categories Selected = Contiguous Property Owners).
Changes in Definition FY10 - FY11: Contiguous Property Owners is a new measure.
Only finalized (enforcement instrument actual completion date) CPOs are counted.
Special Planning/Reporting Requirements: For each settlement, the region should enter
the following information into CERCLIS: "Work PRP Will Perform - Value" and/or
"Federal Costs Settled - Future" and "Response Actions Pd by Parties"; and/or "Federal
Costs Settled - Past", "Response Actions Reimbursed", and/or "Other Relief Achieved"
of "Other Activities for Cost Recovery"; and an Enforcement Instrument Categories
Selected of "Contiguous Property Owners". The number of CPOs are program measures.
aa. Windfall Lien Resolution - Finalized
Definition:
In January 2002, CERCLA was amended through enactment of Public Law 107-118,
titled the Small Business Liability Relief and Brownfield Revitalization Act
("Brownfields Amendments"). Congress provided liability protection under CERCLA for
bona fide prospective purchasers to encourage the purchase and reuse of contaminated
properties. The windfall lien provision under Section 107(r) applies to bona fide
prospective purchasers, where as the older Superfund lien under Section 107(1) applies to
PRPs. EPA may enter into a windfall lien resolution agreement with a purchaser if there
is likely to be a significant windfall lien needing resolution. This measure will quantify
the number of windfall lien resolution agreements signed. For the purpose of reporting,
this measure will count the number of finalized settlement agreements (AOCs and CAs)
that include the windfall lien resolution provisions.
Definition of Accomplishment:
Credit is given at non-Federal facility NPL, Superfund Alternative, and non-NPL sites for
Windfall Liens Resolutions (WL) Agreements. Based on the date (Actual Complete Date)
of the Administrative Order on Consent (AOC) (Action Name = Admin Order on
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Consent) or the Consent Agreement (CA) (Action Name = Consent Agreement) with a
WL component is signed by the Regional Administrator or delegate.
Changes in Definition FY10 - FY11:
Only finalized windfall liens will be counted.
Special Planning/Reporting Requirements:
WL agreements are program measures. For each agreement, the region should enter the
following information into CERCLIS: Work PRP Will Perform - Value and/or Federal
Costs Settled - Future and Response Actions Pd by Parties; and/or Federal Costs Settled -
Past, Response Actions Reimbursed, and/or Other Relief Achieved of Other Activities for
Cost Recovery; and an Enforcement Instrument Categories Selected of Windfall Lien
Resolution Agreement.
bb. Orphan Share - EPA Offer and Compensation
Definition:
This measure reports on EPA efforts to compensate parties for the portion of the response
costs attributable to insolvent and defunct parties (orphan share).
This measure includes negotiations and settlements for RI/FS, RD/RA, time-critical (TC)
or non time -critical (NTC) removals, or appropriate cost recovery cases. This measure
will report: 1) the number of negotiations where EPA offered to compensate for a portion
of the orphan share; 2) the Maximum Amount Appropriate for Compensation (MAAC)
under the 1996 Interim Guidance on Orphan Share Compensation for Settlers of
Remedial Design/Remedial Action and Non-Time-Critical Removals and the 1997 Cost
Recovery Addendum (dated: September 30, 1997); 3) the actual amount of compensation
offered; 4) the number of settlements where EPA compensated for a portion of the orphan
share; 5) the actual dollar amount of the orphan share compensated by EPA; and 6) the
actual date the region made the offer. Orphan share compensation offers are subject to the
adequacy of cleanup program funding, and eligibility requirements under the policies.
Orphan share compensation is not available at sites where there are no orphan parties,
Federal facilities, sites where every PRP is liable as a current or former owner and/or
operator and the region has not identified any generator/transporter (i.e. "owner-operator
only" sites), or sites where PRPs are performing work pursuant to a UAO, unless such
parties are willing to convert the UAO to a CD. All other sites are eligible sites for
purposes of this measure for work (i.e., Remedial Design/Remedial Action and Non-
Time Critical Removal) negotiations at NPL sites. The method for determining the
appropriate compensation to be offered by EPA is provided in the "Interim Guidance on
Orphan Share Compensation for Settlers of Remedial Design/Remedial Action and Non-
Time-Critical Removals" dated June 3, 1996 and the 1997 Cost Recovery Addendum
(dated: September 30, 1997). The MAAC should not exceed the lesser of the following
ceilings: 1) the orphan share; 2) the sum of all EPA unreimbursed past costs and EPA=s
projected costs of overseeing the design and implementation of the Record of Decision
(ROD) remedy, TC or NTC removal costs; or 3) 25 percent of the projected ROD
remedy, TC or NTC removal costs at the site.
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It should be noted that orphan share compensation at RI/FSs, time critical removals and
non-NPL sites/Superfund Alternative sites is discretionary under the 1996 Orphan Share
Policy. Although regions should offer orphan share compensation during settlement
negotiations for RD/RA and non-time critical removal actions at NPL sites, it is not
required to offer orphan share compensation at time critical removals and non-NPL sites/
Superfund Alternative sites.
Definition of Accomplishment:
Credit is given at eligible non-Federal facility non-owner/operator only NPL, Superfund
Alternative, and non-NPL sites for negotiations where EPA offered to compensate for a
portion of the orphan share. In order to receive credit for orphan share compensation in
any case, at a minimum, the PRP must have been informed that part of the federal
compromise at the site is attributable to orphan share. In negotiations for work, the PRP
must be informed about the amount of the federal compromise attributable to orphan
share under the MAAC analysis. Credit is given where EPA offered to compensate for
orphan share when:
The General Notice Letter (GNL) (for removals), first Special Notice Letter
(SNL), Letter for Orphan Share Compensation (for on-going negotiations), or
Memorandum for the Record for oral offers is signed by the appropriate EPA
official for the site or operable unit (OU). The Memorandum of Records for oral
offers may be, for example, a memorandum to the case file memorializing the oral
offer. This date is reported in CERCLIS as the actual start date (Actual Start) of
negotiations (Action Name = RI/FS Negotiations, RD/RA Negotiations, Removal
Negotiations, or Negotiations (Generic)) or the completion date (Actual
Complete) of the Letter for Orphan Share Compensation Sub Action (Sub Action
Name = Letter for Orphan Share Compensation) or Memorandum for the Record
Sub Action (Sub Action Name = Memorandum for the Record); or
- A Section 122(a) waiver of SNL signed by the appropriate EPA official with the
intent to pursue negotiations without moratorium procedures. This date is reported
in CERCLIS as the actual start date (Actual Start) of negotiations (Action Name =
RI/FS Negotiations, RD/RA Negotiations, Negotiations (Generic), or Removal
Negotiations); or
- A Demand Letter, Letter for Orphan Share Compensation (for on-going
negotiations), or Memorandum for the Record for oral offers for cost recovery
signed by the appropriate EPA official is sent to the parties. This date is reported
in CERCLIS as the actual start date (Actual Start) of negotiations (Action Name =
Cost Recovery Negotiations) or the completion date (Actual Complete) of the
Letter for Orphan Share Compensation SubAction (SubAction Name = Letter for
Orphan Share Compensation) or Memorandum for the Record SubAction
(SubAction Name = Memorandum for the Record).
Credit is given at eligible non-Federal facility on-owner/operator only NPL, Superfund
Alternative, and non-NPL sites where EPA compensated for a portion of the Orphan
Share as follows:
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- A CD (Action Name = Consent Decree) and a 10-point settlement analysis for RD
or RA is signed under Section 106, 106/107, 104(a), 104(b), or for cost recovery
only under Section 107. The date when the Regional Administrator signs the
memorandum transmitting the CD, signed by the parties and the Regional
Administrator, to DOJ is reported in CERCLIS as the actual start date (Actual
Start); or
An AOC (Action Name = Admin Order on Consent) for RI/FS, a time-critical or
NTC removal, or RD only is signed by the Regional Administrator or delegate.
The date on which the AOC is signed is reported in CERCLIS as the actual
completion date (Actual Complete). For AOCs that are amended to include a
time-critical or NTC removal, or RD only, the SubAction "Enforcement Action
Amended" and the SubAction actual completion date (Actual Complete) must be
entered into CERCLIS; or
An AOC or Consent Agreement (CA) (Action Name = Admin Order on Consent
or Consent Agreement) for cost recovery under Section 122(h) is signed by the
Regional Administrator or delegate. The date on which the AOC or CA is signed
is reported in CERCLIS as the actual completion date (Actual Complete). For
AOCs or CAs that are amended to include cost recovery, the SubAction
"Enforcement Action Amended" and the SubAction actual completion date
(Actual Complete) must be entered into CERCLIS.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
Orphan Share Compensation Offered for work (i.e. Remedial Design/Remedial Action
and Non-Time Critical Removal) negotiations at NPL sites is a program measure. The
program measure is to offer orphan share compensation at 100% of eligible sites in work
(i.e. Remedial Design/Remedial Action and Non-Time Critical Removal) negotiations at
NPL sites. In addition, Orphan Share Compensated is a program measure. The applicable
"Response Actions Pd by Parties" must be entered into CERCLIS. Indicators on the
existence of an orphan share at a site, including whether the orphan share policy applies
for work at a site, an orphan share compromise was offered or compensated by EPA, the
MAAC and ceiling type, the past and anticipated future costs offered and compensated by
EPA will be entered into CERCLIS.
cc. Non-Exempt De Micromis Parties Settlements and Number of Parties
Definition:
This measure reports the total number of administrative or judicial settlements that are
reached solely under Section 122 of SARA, with PRPs qualified as non-exempt de
micromis. It is rather unusual in that it measures success inversely. The lower the number
of non-exempt de micromis parties settlements, the more successful the Agency's non-
exempt de micromis policy.
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Definition of Accomplishment:
Non-exempt de micromis parties settlements at non-Federal facility NPL, Superfund
Alternative, and non-NPL sites include:
An AOC (Action Name = Admin Order on Consent) signed by the Regional
Administrator or delegate, as reported in CERCLIS, as the actual completion date
(Actual Complete).
When the Regional Administrator signs the memorandum transmitting the
Consent Decree (Action Name = Consent Decree), signed by the non-exempt de
micromis parties and the Regional Administrator to DOJ or HQ, as reported in
CERCLIS, as the actual start date (Actual Start).
- The number of signatories to the settlement is system generated in CERCLIS
from the identification of the PRPs associated with the settlement.
The following information should be entered into CERCLIS:
* Enforcement Instrument Categories Selected of "Non-exempt De
Micromis";
* PRPs that signed settlement (Parties Associated with Action, Party Name).
To indicate the non-exempt de micromis parties that signed the settlement,
the following information must be entered for each party on the
Involvement screen:
* Basis of Liability of "Non-exempt De Micromis Party"; and
* Involvement Type of "Generator" or "Transporter".
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
While EPA will enter into non-exempt de micromis parties settlements when extremely
small volume contributor parties are threatened with suit, the ultimate measure of success
of this policy will be that non-exempt de micromis parties are no longer pursued and
there is no need to enter into such settlements (see above). This is a program measure.
The number of signatories to the settlement will be system generated from the
identification of the parties associated with the settlement.
dd. PRP Oversight Administration
Definition:
Through the Superfund Reform on the Administration of PRP Oversight (OS), EPA
recognizes the value of working together with PRPs with whom the Agency has
settlement agreements as a means to promote appropriate oversight that ensures the
development and implementation of protective cleanups; gives careful consideration to
the associated costs being charged to PRPs; and maximizes EPA recovery of oversight
cost. This measure reports EPA's efforts to work with PRPs to maximize the
effectiveness and efficiency of EPA oversight and to send timely bills for oversight.
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This measure applies to all PRPs at non-Federal facility NPL, Superfund Alternative, and
non-NPL sites who:
Are conducting, under federal oversight, the non-time-critical removal action
(NTCRA), remedial investigation/feasibility study (RI/FS), remedial design (RD),
or remedial action (RA) phase of a cleanup, AND
- Have an Administrative Order on Consent (AOC), Consent Decree (CD), or other
settlement document in place with EPA that provides for payment of oversight
costs.
Definition of Accomplishment:
The annual accomplishment target shall be based on the number of agreements (as
described in 2 above) in place for RP-lead events that will take place during the fiscal
year. The regions will accomplish the following objectives for each PRP or group of
PRPs that has such an agreement and is required to pay oversight costs:
The date of the accomplishment for this target is the later of the dates documenting
completion of each of the actions below. Credit is given based on the date that:
An offer (personal contact is strongly encouraged) is made to PRPs to discuss
EPA's oversight expectations for upcoming activities. This date is reported in
CERCLIS as the SubAction "Offer to Discuss EPA Oversight Expectations w/
PRPs" actual completion date (Actual Complete); AND
An oversight bill consistent with the enforcement instrument is issued to PRPs or
an accounting of costs is provided to PRPs. This date is reported in CERCLIS as
the SubAction "Issuance of Oversight Bill" or as "Accounting of Oversight Costs
Incurred" actual completion date (Actual Complete). If the settlement document is
signed or referred within the current fiscal year only the "Offer to discuss EPA
Oversight Expectations with PRPs" subaction is required.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements
This is a program target. For the purposes of this target only, Headquarters shall assume,
unless otherwise informed by the regions, that PRPs that have entered into agreements
with EPA will receive annual oversight bills unless the settlement was entered into in the
current fiscal year. In that event no bill is required; however, the region will be expected
to offer to meet with the PRPs to discuss oversight expectations. The regions will identify
those actions for which PRPs are required to pay oversight costs.
ee. Settlements Designating Funds for Deposit to Special Accounts
Definition:
This measure will assess the extent to which EPA is able to direct the deposit of
settlement funds into Special Accounts under CERCLA Section 122(b) (3), in its efforts
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to increase fairness and promote PRP settlements. EPA is able to retain and apply the
interest from these accounts to clean up the site at which the settlement occurred. Funds
deposited in Special Accounts are immediately accessible for response costs, but may
only be used to support response actions at the site(s) covered by the settlement. Funds
deposited into a Special Account may be the result of response costs achieved under: de
minimis, ability to pay, bankruptcy, cashout, Prospective Purchaser Agreement (PPAs),
or other settlements.
For all CERCLA settlements where PRPs agree to make cash payments toward response
costs at a site (i.e. cashout and/or cost recovery settlements), the measure will report the
following:
The total number of cashout and cost recovery settlements, and the estimated
amount of response costs achieved from those settlements;
- The number of settlements which designate funds for deposit to Special Accounts
for response costs, and the percentage of these settlements compared to the total
number of cashout and cost recovery settlements; and
The amount of funds designated for deposit to Special Accounts by the settlement
for response costs and the percentage of these funds, compared to the total amount
of response costs achieved from all cashout and cost recovery settlements.
Definition of Accomplishment:
This measure counts any settlement, where there is a payment provision for funds to be
deposited in a Special Account as follows:
An Administrative Order on Consent (AOC) or Consent Agreement (CA) (Action
Name = Admin Order on Consent or Consent Agreement) is signed that includes
a payment provision, where funds will be placed in a Special Account. The date
on which the Regional Administrator or delegate signs the AOC or CA is reported
in CERCLIS as the actual completion date (Actual Complete); or
A signed Consent Decree (CD) (Action Name = Consent Decree) referred to
DOJ/HQ under Section 106, 107, or 106/107 that includes a payment provision
where funds will be placed in a Special Account. The date on which the Regional
Administrator signs the memorandum transmitting the CD, signed by the parties
and the Regional Administrator to DOJ or HQ is reported in CERCLIS as the
actual start date (Actual Start). For CD settlements that are for cost recovery only
and result from a previous litigation referral, regions should not add a CD start
date (Actual Start). Only the lodged (SubAction = Lodged by DOJ) and entered
(SubAction name = Entered by Court) SubActions, their actual completion dates
(Actual Complete), and the actual completion date (Actual Complete) of the CD
will be recorded. The actual completion date of the CD is the date it is entered by
the court. If the actual completion date for the settlement lodged by DOJ exists,
credit will be given in the FY identified by this completion date.
Changes in Definition FY10 - FY11:
None.
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Special Planning/Reporting Requirements:
This is a program measure. Data that must be entered into CERCLIS for these settlements
include:
Federal Costs Settled - Past (for Cost Recovery Settlements);
Federal Costs Settled - Future (for Cashout Settlements);
Enforcement Instrument Categories Selected (for Cashout Settlements);
Response Actions Paid by Parties (for Cashout Settlements);
Deposit to EPA Special Account; and
Special Account Deposit Provision Flag.
ff. Deposits Into Special Accounts
Definition:
This measure will report the amount of all actual deposits into Special Accounts. Funds
deposited into a Special Account may be the result of response costs achieved under: de
minimis, ability to pay, bankruptcy, cashout, Prospective Purchaser Agreements (PPAs),
or other settlements. Funds deposited in Special Accounts are immediately accessible for
response costs at the site(s) covered by that Special Account. The source of the
information reported under this measure is periodic extraction of information from EPA's
Integrated Financial Management System (IFMS).
The measure will report the following:
- For each site for that fiscal year, the total amount of actual deposits into Special
Accounts; and
For each region for that fiscal year, the total amount of actual deposits into
Special Accounts.
Definition of Accomplishment:
Regions transfer the funds to the Cincinnati Financial Management Center (CFMC) for
deposit in the Special Account. Deposit dates are recorded by CFMC in IFMS. CFMC
extracts data from IFMS for tracking and reporting purposes. This measure counts all
deposits made at the time that Special Accounts are established and any subsequent
deposits made to these accounts as follows:
- The date on which a Special Account is established by the CFMC with the initial
deposit amount; and
The date on which any subsequent deposits are made by CFMC to existing
Special Accounts.
Changes in Definition FY10 - FY11:
None.
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Special Planning/Reporting Requirements:
This is a program measure. Data that must be entered into IFMS include:
Amount of deposits into Special Accounts; and
The date of deposits into Special Accounts.
gg. Settlements Designating Funds for Disbursement from Special Accounts to
PRPs
Definition:
This measure will quantify the number of settlements in which EPA has agreed to
disburse Special Account funds to PRPs for response actions at the site where the Special
Account funds were collected. Response actions can be removal or remedial, under
administrative or judicial settlements (under Agency guidance, Special Account funds are
not available to parties performing work under a UAO).
For all CERCLA settlements where PRPs agree to conduct response actions at the site for
which the Special Account was created, the measure will report the following:
The number of response settlements which designate disbursement from Special
Accounts to PRPs who conduct the response action; and
- The amount of funds designated to be disbursed from Special Accounts to PRPs
in response action settlements.
Definition of Accomplishment:
This measure counts all settlements where there is a provision for disbursement of
Special Account funds to PRPs as follows:
An Administrative Order on Consent (AOC) or Consent Agreement (CA) (Action
Name = Admin Order on Consent or Consent Agreement) is signed that includes
a disbursement provision. The date on which the Regional Administrator or
delegate signs the AOC or CA is reported in CERCLIS as the actual completion
date (Actual Complete); or
- A signed Consent Decree (CD) (Action Name = Consent Decree) is referred to
DOJ/HQ under Section 106 or 106/107 that includes a disbursement provision.
The date on which the Regional Administrator signs the memorandum
transmitting the CD, signed by the parties and the Regional Administrator to DOJ
or HQ is reported in CERCLIS as the actual start date (Actual Start). The actual
completion date of the CD is the date it is entered by the court. If the actual
completion date for the settlement lodged by DOJ exists, then credit will be given
in the FY identified by this completion date.
Changes in Definition FY10 - FY11:
None.
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Special Planning/Reporting Requirements:
This is a program measure. Data that must be entered into CERCLIS for these settlements
include:
Response Actions Paid by Parties;
- Work PRP Will Perform - Value;
Paid from Special Account; and
Special Account Disbursement Provisions Flag.
hh. Disbursements from Special Accounts for Response Actions
Definition:
This measure will assess the extent to which EPA uses Special Account funds for site
cleanup by reporting the amount of all actual disbursements from Special Accounts for
response actions. This measure will capture disbursements to all recipients, whether for
PRP-lead, State-lead, or EPA-lead response actions since Special Account funds can be
used to pay PRP, state, and EPA response costs.
The source of the information reported under this measure is periodic extraction of
information from EPA's Integrated Financial Management System (IFMS).
The measure will report the following:
- For each site for that fiscal year, the total amount of actual disbursements from
Special Accounts for response actions;
For each site for that fiscal year, the total amount of actual disbursements from
Special Accounts to PRPs for response actions;
For each site for that fiscal year, the total amount of actual disbursements from
Special Accounts to states for response actions;
- For each site for that fiscal year, the total amount of actual disbursements from
Special Accounts to EPA for response actions;
- For each region for that fiscal year, the total amount of actual disbursements from
Special Accounts for response actions;
For each region for that fiscal year, the total amount of actual disbursements from
Special Accounts to PRPs for response actions;
For each region for that fiscal year, the total amount of actual disbursements from
Special Accounts to states for response actions; and
- For each region for that fiscal year, the total amount of actual disbursements from
Special Accounts to EPA for response actions.
Definition of Accomplishment:
Regions make disbursements from Special Accounts. Disbursements are recorded by the
regions in IFMS. CFC extracts data from IFMS for tracking and reporting purposes. This
measure counts all disbursements made from Special Accounts for response actions as
follows:
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- The date on which the region disburses funds from the Special Account as
recorded in IFMS.
The three sub-measures count all disbursements from Special Accounts to PRPs, states,
and EPA for response actions as follows:
- The date on which the region disburses funds to PRPs from Special Accounts as
recorded in IFMS.
The date on which the region disburses funds to states from Special Accounts as
recorded in IFMS.
The date on which the region disburses funds to EPA from Special Accounts as
recorded in IFMS.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
This is a program measure. Data that must be entered into IFMS includes:
Actual disbursements from Special Accounts for response actions;
Actual disbursements from Special Accounts to PRPs for response actions;
Actual disbursements from Special Accounts to states for response actions;
Actual disbursements from Special Accounts to EPA for response actions (This
sub-measure is derived by subtracting the sum of the disbursements to PRPs and
states from the disbursements from Special Accounts for response actions.); and
- The dates of disbursements from Special Accounts.
ii. Closure of Special Accounts
Definition:
This measure will report the closure of Special Accounts. The source of the information
reported under this measure is periodic extraction of information from EPA's Integrated
Financial Management System (IFMS).
The measure will report the following:
For each site at which a Special Account was closed for that fiscal year, the name
of the site and the total amount of money transferred to the general part of the
Superfund Trust Fund; and
- For each region for that fiscal year, the total number of Special Accounts closed
and the amount of money transferred to the general part of the Superfund Trust
Fund.
Definition of Accomplishment:
Upon receipt of the signed memorandum requesting closure of a Special Account from
the Regional Program Office/Financial Management Officer, the Cincinnati Financial
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Center (CFC) will close out the Special Account and record the closeout date in IFMS.
CFC extracts data from IFMS for tracking and reporting purposes. This measure counts
all transfers made at the time that Special Accounts are closed as follows:
- The date on which a Special Account is closed by the CFC with the amount to be
transferred to the general part of the Superfund Trust Fund.
Changes in Definition from FY10 - FY11:
None.
Special Planning/Reporting Requirements:
This is a program measure. Data that must be entered into IFMS include:
- The amount transferred from the Special Account to the general part of the
Superfund Trust Fund; and
- The date that the Special Account is closed.
jj. Management of Special Accounts
This measure will track and report the new CERCLIS information necessary to
effectively manage Special Accounts. The source of the information for this measure will
be quarterly extractions of information from CERCLIS. The measure will track and
report in CERCLIS the following site level information where a Special Account has
been established. Some of the fields are pre-populated from planning data entered on the
CERCLIS Site Financial Transaction screen, as identified in the list below. This
CERCLIS information will be combined with information from EPA's Integrated
Financial Management System (IFMS) to report overall management of Special Accounts
in the Superfund e-Facts system. This measure is for CERCLIS only, and will report the
following:
1. Site name (from CERCLIS).
2. EPA ID (from CERCLIS).
3. Special Account name (Data will be provided by the Cincinnati Finance Center).
4. Special Account number (Data will be provided by the Cincinnati Finance
Center).
5. Site Spill Identifier (SSID) number to which the Special Account is linked (from
CERCLIS).
6. Currently Available Special Account Balance Date As Of: (Data will be provided
by the Cincinnati Finance Center).
7. Date Last Reviewed: (Input field).
8. Total Special Account Funds Disbursed: (Data will be provided by the Cincinnati
Finance Center).
9. "A. Currently Available Special Account Balance:" (Data will be provided by the
Cincinnati Finance Center).
10. "B. Planned Special Account Uses" (Title)
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" 1. Remaining Special Account Amount To Be Obligated For Disbursement
To Work Parties:" (Title) (These are "Plans Against Currently Available
Funds")
"a. Settlement Amount Promised To Work Parties" (Input field).
11. "b. Funds Disbursed to Work Parties" (Data will be provided by the Cincinnati
Finance Center).
12. "c. Unliquidated Obligations To Be Disbursed To Work Parties" (Data will be
provided by the Cincinnati Finance Center).
13. "Subtotal 1 (field "A" minus "b," minus "c"). (Calculated field)
14. "2. Planned Special Account Obligations Captured in CERCLIS By Site
Allowance Equivalent:" (Title) (These are "Plans Against Currently Available
Funds (APR Planned Obs))" (These fields are pre-populated from planning data
intended in the CERCLIS Site Financial Transaction screen (SFTS), as identified
in the list below.) "a. Removal And Removal Support" (SFTS).
15. "b. Pipeline Operations" (SFTS)
16. "c. Remedial Action (include RV, RA, LR, and FE conducted through the
Remedial Program" (SFTS)
17. "d. Enforcement" (SFTS)
18. "e. Federal Facilities" (SFTS)
19. "Subtotal 2 (sum of fields "a" through "e"):' (Calculated field)
20. "3. Additional Special Account Reserved Uses (Estimated Costs) Not Captured
As Planned CERCLIS Obligations" (Title) (These are "Plans Against Currently
Available Funds") "a. Pre-Remedy Future Costs (extramural):" (Input field)
21. "b. Outyear Five Year Review (extramural):" (Input field)
22. "c. Intramural Use Costs:" (Input field)
23. "d. Uses Required By Existing Settlements:" (Input field)
24. "e. Potential Uses Listed In Existing Settlements:" (Input field)
25. "f. Future Settlement Incentives:" (Input field)
26. "g. To Transfer To Other Special Accounts:" (Input field)
The next two fields, h. & i., are only to be filled out with the plans for the current
fiscal year (cfy), cfy +1, cfy +2, because it is impossible to predict reliably the
amounts for these fields beyond these few years.
27. "h. Reclassification."
28. "i. Transfer To the Fund." (Input field)
29. "j. Other Plans (Describe in Further Comments ") (Input field)
30. "k. To Be Transferred From Other Special Accounts " (Input field)
31. "Subtotal 3 (sum of fields "a" through "j" minus "k." (Calculated field)
32. "C. Total of All Planned And Reserved Uses (sum of subtotals "1" through "3"):"
(Calculated field)
33. "D. Unassigned Remaining Balances (part "A" minus "C"):" (Calculated field)
34. "Account Open Date" (Data will be provided by the Cincinnati Finance Center).
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35. "Planned Account Closure Date" (Input field)
36. "Actual Account Closure Date" (Data will be provided by the Cincinnati Finance
Center).
37. "Can Amount To Be Disbursed To Work Parties Be Determined By Settlement?"
(Input field: "Yes" or "No")
38. "Are There Limitations For Spending For This Account?" (Input field: "Yes" or
"No")
39. "If "Yes," then provide an explanation (Check all that apply): (Title)
"Media/Location/OU Limitation" (Input field, check the box)
40. "Dollar Limitation" (Input field, check the box)
41. "Activity Limitation" (Input field, check the box)
42. "Other, Explain Below." (Input field)
43. "Is The Explanation Enforcement Confidential?" (Input field)
44. "Any Further Comments On This Special Account?" (Input field)
45. "Is The Explanation Enforcement Confidential?" (Input field)
Definition of Accomplishment:
The goal of this measure is to have the Regions plan their use of the currently available
Special Account balance to the maximum extent possible for this site. This measure
counts all plans of the Regions for use of the currently available Special Account balance
for site cleanup and other uses. This measure concludes by automatically calculating the
unassigned remaining balance in the account. Regions are asked to explain, in the general
comment field, their reasons for not planning any significant amounts of unassigned
remaining balance.
Changes in Definition FY10 - FY11:
This is a new measure.
Special Planning/Reporting Requirements:
This is a program measure. A CERCLIS ENFR report is being developed for this
measure.
C.A.4 Institutional Controls and Site Revitalization
a. Institutional Controls
Definition:
Institutional Controls are "mechanisms/instruments," such as administrative and legal
controls, used to minimize potential human exposure to contamination and to protect the
integrity of Superfund response remedies.
- This SPIM measure should capture legal/enforcement efforts to ensure all
necessary Institutional Controls (ICs) are in place at all identified Superfund sites.
Institutional "Mechanisms/instruments" include: proprietary controls,
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governmental controls, enforcement and permit tools with 1C components, and
informational devices.
Definition of Accomplishment:
The following information will be reported from the Institutional Controls Tracking
System (ICTS). The universe (for both measures) is Construction Complete Superfund
sites.
The number of 1C mechanisms/instruments to implement ICs required in a
Superfund document.
The number of sites where all ICs required by an EPA document(s) are in place.
Changes in Definition FY10 - FY11:
This is a new program measure.
Special Planning/Reporting Requirements:
Institutional Control data will be extracted from the Institutional Controls Tracking
System (ICTS).
b. Site Revitalization
Definition:
This measure captures enforcement efforts to facilitate the cleanup and reuse of
previously used Superfund properties by addressing the liability concerns of non-liable
parties at those sites.
Definition of Accomplishment:
Enforcement accomplishments will be based on the number of Superfund sites that are
site-wide "ready for anticipated use" (RAU), and where an enforcement document(s) was
involved (see below) to address/resolve liability concerns. (The universe is identified as
Superfund sites for OSWERS's Site-Wide RAU GPRA measure (estimated at 30-35 for
FY08), final or deleted NPL construction complete sites where all cleanup goals related
to land use are achieved, and sites where all ICs are in place.)
Number of Superfund acres at RAU sites (determined by operable unit) where an
enforcement document(s) was involved (see below) to address/resolve liability concerns.
(The universe is identified as Superfund sites for OSWER's Cross-Program Revitalization
Measure (CPRM): Proposed, final and deleted NPL sites, SA sites, NTCRA sites; sites
where all cleanup goals related to land use are achieved, and sites where all ICs are in
place.)
Enforcement Measure of Accomplishment:
Enforcement will track enforcement documents produced at RAU sites which
address potential liability under CERCLA as amended through enactment of Public
Law 107-118, the Small Business Liability Relief and Brownfield Revitalization Act
("Brownfields Amendments") of January 2002:
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- Comfort/status letters that address liability concerns/issues - including reasonable
steps letters.
Windfall Lien resolution agreements.
Work agreements (removal) with bonafide prospective purchasers (BFPPs).
Contiguous Property Owner Agreements.
Contiguous Property Owner Assurance Letters.
Prospective Purchaser Agreements (PPAs).
Prospective Lessee Agreements (PLAs)
Changes in Definition FY10 - FY11:
This is a new program measure.
Special Planning/Reporting Requirements:
Specific sites, operable units, and acreage will be identified by OSWER's Cross-Program
Revitalization Measure (CPRM). New enforcement instrument types for work
agreements with bonafide prospective purchasers (BFPP), and bonafide prospective
lessees (BFPL) have been created in CERCLIS. Enforcement revitalization data will be
pulled from CERCLIS. Credit for enforcement accomplishments for the revitalization
measure will be based on the actual completion date of the enforcement instrument
(Comfort/Status letter, Windfall Lien Resolution Agreement, Work Agreement with
Bonafide Prospective Purchaser, Work Agreement with Bonafide Prospective Lessee,
Prospective Purchaser Agreement, and Prospective Lessee Agreement). Only finalized
(signed by EPA) enforcement instruments (actual completion date) are counted.
C.B SUBJECT MA TTER EXPERTS
The following exhibit identifies the subject matter experts for Appendix C
(Enforcement).
EXHIBIT C.2 SUBJECT MATTER EXPERTS
Subject Matter Expert
Scott Blair
Mary Bell
Eric French
Vincent Velez
Subject Area
Enforcement Data
Enforcement Data
Enforcement Data
Enforcement Data
Phone #
(202) 564-6023
(202) 564-2256
(202)564-0051
(202) 564-4972
Email
blair.scott@epa.gov
bell.mary@epa.gov
french.eric@epa.gov
velez.vincent@epa.gov
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Superfund Program Implementation Manual FY 11
Appendix D: Federal Facility Response
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APPENDIX D: Federal Facility Response
Table of Contents
D.A Federal Facilities Goals and Priorities D-l
D.A.I Overview D-l
D.A.2 Superfund Federal Facility Goals D-l
a. Strategic Federal Facility Goals D-l
b. Cross-Program Revitalization Measure Implementation D-3
c. Cross-Program Revitalization Measures (CPRM) Indicators D-3
d. Superfund Integrated Cleanup Initiative (ICI) D-6
D.A.3 EPA's Federal Facility Superfund Cleanup Principles D-6
D.A.4 Federal Facility Docket and Site Discovery/Site Assessment D-9
a. Overview D-9
b. Federal Facility Docket Process and the Federal Facilities Site Discovery
Process D-9
c. Federal Facility Site Assessment Process and Time Frames D-l 0
d. Authority for Conducting Federal Facility Site Assessments - E.O. 12580 D-l 1
e. Federal Facility Site Assessment Reports & EPA Review and HRS Evaluation.... D-l 2
f Tracking of Federal Facility Sites in CERCLIS D-l 3
D.A.5 BRAC Budget and Financial Guidance D-13
a. Resources and Tracking Mechanisms D-13
b. Accountability for Resources D-l 4
D.A.6 Cleanup Privatization at BRAC NPL Sites D-16
D.A.7 Military Munitions Response Program D-16
D.A.8 Stakeholder Involvement D-17
D.B Federal Facilities FY 08/09 Targets and Measures D-18
D.B.I Overview of FY 10/11 Federal Facilities Targets and Measures D-18
a. Reporting of Non NPL Federal Facilities Data D-19
D.B.2 Federal Facilities Site Discovery/Site Assessment Definitions D-21
a. D.B. 2.a. Site Discovery D-21
b. Federal Facility Preliminary Assessment Reviews D-22
c. Federal Facility SI Reviews D-24
d. Federal Facility ESI Reviews D-25
D.B.3 Federal Facilities Accomplishment Definitions D-26
a. Base Closure Decisions: Start and Completions D-26
b. Non-BRAC Property Actions D-27
c. Federal Facility Agreement (FFA)/Interagency Agreement (IAG) D-28
d. Federal Facility Dispute Resolution D-29
e. Use of Supplemental Environmental Projects (SEPs) D-30
f. Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility
Investigation (RFI) Starts D-30
g. Time span from Final NPL Listing To RI/FS D-31
h. Decision Documents D-31
i. Final Remedy Selected D-32
j. ROD Amendments D-33
k. Explanation of Significant Differences (ESD) D-34
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/. Remedial Design (RD) or RCRA Corrective Measure Design (CMD) D-34
m. Duration of ROD to IAG Negotiation Completion D-35
n. Remedial Action (RA) or RCRA Corrective Measure Implementation (CMI)
Starts D-35
o. Timespanfrom ROD Signature to RA Start D-36
p. RA or CMI Completions D-36
q. Removal or RCRA Interim/Stabilization Measure (ISM) Starts and
Completions D-39
r. Migration of Contaminated Ground Water Under Control D-40
s. Long-Term Human Health Protection Indicator D-42
t. Operation and Maintenance (O&M) D-44
u. Cleanup Objectives Achieved D-44
v. NPL Site Construction Completions D-45
w. Federal Facility Partial NPL Deletion D-47
x. Federal Facility Final NPL Deletion D-48
y. Federal Facility Five-Year Reviews D-49
D.B.4 Community Involvement Definitions D-52
a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs) D-52
b. Technical Assistance Grants (TAGs) D-53
D.B.5 Cross Program Revitalization Measures (CPRM) D-53
a. Sitewide Ready for Anticipated Use D-53
b. Protective for People Under Current Conditions (PFP) D-55
c. Ready for Anticipated Use (RAU) D-57
D.B.6 Cleanup Privatization at BRAC NPL Sites D-59
D.C Subject Matter Experts. D-61
List of Exhibits
Exhibit D.l.(l of 3) Federal Facilites NPL Sites D-19
Exhibit D.I. (2 of 3) Federal Facilites BRAC Sites D-20
Exhibit D.I. (3 of 3) Federal Facilites Non-NPL Sites D-20
Exhibit D.2: Remedial Pipeline Flow Charts D-39
Exhibit D.3: Superfund Migration of Contaminated Ground Water Under Control Worksheet D-41
Exhibit D.4. Superfund Long-Term Human Health Protection Worksheet D-43
Exhibit D.5. Subject Matter Experts D-61
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APPENDIX D: FEDERAL FACILITY RESPONSE
D.A FEDERAL FA CILITIES GOALS AND PRIORITIES
D.A.1 Overview
To manage the Superfund Federal Facilities program, the Federal Facilities Enforcement
Office (FFEO) and the Federal Facilities Restoration and Reuse Office (FFRRO) use the Federal
Facilities Leadership Council (FFLC) to help identify and resolve issues unique to the
management of EPA's Superfund Federal Facility Response Program. The FFLC is comprised of
Superfund and/or the Resource Conservation and Recovery Act (RCRA) program and
enforcement/counsel representatives from all regions, as well as representatives from the Federal
Facilities Headquarters (HQ) offices and other HQ offices that handle Federal facility issues.
D.A.2 Superfund Federal Facility Goals
a. Strategic Federal Facility Goals
Superfund Federal facility activities have high visibility because of the significant threats
posed by military sites, the impact of military base closings, the resources needed to
implement DoD/DOE cleanup efforts at facilities listed on the NPL and other non-NPL
facilities, and heightened state, tribal, local governments and other stakeholder interests.
Federal facility program goals are based on a number of related factors, including overall
Superfund program goals, anticipated resource constraints, and statutory requirements.
Program activities and resources should be planned to achieve the following goals of the
Federal facility program:
Construction Completions - Regional efforts should be focused on getting to
completion of construction at Federal Facilities. In addition, once the remedies are
in place, regional effort is focused on ensuring they remain protective.
- Expediting Property Transfer and Reuse - Revitalization is one of OSWER's
highest priorities. The number of acres EPA has found suitable for transfer or
lease are currently being tracked by EPA in CERCLIS. One way of facilitating
property reuse occurs when DoD installations are slated for closure or
realignment, or have been identified as excess property through other means. At
these BRAC installations, environmental restoration activities continue with the
same cleanup objective as those of active installations — protect human health and
the environment. At the time of closure or realignment, specific BRAC property,
and its possible future use, is identified. The closed or realigned property will
eventually be transferred to another Service Component, federal agency or a non-
federal entity, such as a state or local government or private entity. Along with
achieving cleanup objectives, BRAC installations focus on efficient property
transfer and providing beneficial and protective reuse of the property by the local
community.
Environmental Indicators - There are two environmental indicators (El) currently
reported under the GPRA framework for the Superfund program: Human
Exposures Under Control and Groundwater Migration Under Control. These two
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measures provide current site information regarding risk reduction at all NPL
sites.
Sitewide Ready for Anticipated Use - This GPRA performance measure
documents the number of final and deleted construction complete NPL sites
where, for the entire site or facility:
* All cleanup goals in the Record(s) of Decision (ROD) or other remedy
decision document(s) have been achieved for media that may affect
* current and reasonably anticipated future land uses of the site, so that there are
no unacceptable risks; and
» All institutional or other controls required in the Record(s) of Decision or
other remedy decision document(s) have been put in place.
* The introduction of this measure reflects the Agency's commitment to land
revitalization. The Agency's policies have increasingly addressed the issue of
making Superfund NPL sites protective for current and future uses. In
particular, one of EPA's key responsibilities under CERCLA is to ensure that
contaminated property owned by the Federal government is environmentally
suitable for transfer or lease.
Involving Citizens Local Governments, and Tribes in Environmental Decision
Making - The publication of the Final Report of the Federal Facilities
Environmental Restoration Dialogue Committee (FFERDC) in April 1996 was a
watershed event for public involvement in Federal facility cleanups. As a result of
the Report, federal agencies have established Restoration Advisory Boards
(RABs) at DoD installations and Site Specific Advisory Boards (SSABs) at DOE
facilities. Other federal agencies are also starting to form advisory boards.
Regional staff and management are expected to be especially sensitive to the
requests at NPL facilities and at the BRAC facilities. Because of resource
constraints, EPA regional participation and support for non NPL facilities is
minimal. Regions need to work closely with state agencies and their federal
counterparts to ensure that the President's Executive Order on Environmental
Justice is successfully carried out (E.O. 12898).
Enforcing the Laws - The public needs to know that it will be protected from
environmental hazards through vigorous enforcement by the EPA and the States
for violations of environmental laws and situations that put people and natural
resources at risk. EPA intends to use its 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.
Regions should continue to strive to place these priorities and project milestones in
enforceable Federal facility Agreements (FFAs)/Interagency Agreements (lAGs) at NPL
sites. FFAs and lAGs should be viewed as living, dynamic documents reflecting not only
the best judgments by all parties of cleanup priorities and milestones at the time of
agreement, but also the changing circumstances of environmental cleanup.
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b. Cross-Program Revitalization Measure Implementation
Federal Facilities and Remedial Programs continue to implement the OSWER-wide
Cross-Program Revitalization Measures effort by tracking the number of actually or
potentially contaminated, or previously contaminated, sites and surface acres that are
"Protective for People Under Current Conditions" (PFP) and "Ready for Anticipated Use"
(RAU).
Sites and surface acres tracked by these measures include investigated land, wetlands,
surface water, and/or sediments for which these programs have a documented oversight
role for any necessary assessment, remedial action, and/or property transfer. The Federal
Facilities and Superfund Programs are using the current Human Exposures Under Control
Environmental Indicator as basis for determining whether sites and acres are PFP; the
PFP measure captures the number of acres at a site for which there are no complete
pathways for human exposure to unacceptable levels of contamination based on current
site conditions.
In order to meet the RAU measure, sites and acres must: 1) have all cleanup goals
achieved for media that may affect current and reasonably anticipated future land uses
such that there is no unacceptable risk, and 2) have all institutional or other controls
identified as part of the response action as necessary for the site's long-term protection be
properly in place and effective. The Program is also tracking two optional indicators,
Status of Use and Type of Use. These indicators describe how the acres are being used
when the determination is made for the PFP and RAU performance measures.
Acres and sites that meet CPRM PFP and/or RAU criteria as well as Status and Type of
Use information are documented via a checklist in CERCLIS. Acres are measured on an
OU or property transfer parcel basis.
c. Cross-Program Revitalization Measures (CPRM) Indicators
Definition:
The CPRM indicators and performance measures establish a similar, consistent set of
measures that can be applied across all OSWER cleanup programs. OSRTI and FFRRO
implemented the following three indicators and two performance measures established in
the March 2007 CPRM Guidance:
Indicators:
- Universe Indicator (mandatory): This indicator is designed to capture the full
universe of potential sites and land area, as measured in acres, that are addressed
by the CPRM measures. It includes: proposed, final, and deleted NPL sites,
(including Federal Facilities); SA sites; NTCRA sites; and certain non-NPL
Federal Facilities and FUDS.l
1 This includes those non-NPL Federal Facilities (such as Base Realignment and Closure (BRAC) or formerly Used
Sites Remediation Action Program (FUSRAP) sites) and FUD's where EPA has signed/concurred on a response
action (at a minimum, completed a Remedial Investigation/Feasibility Study (RI/FS),removal action, or other major
cleanup decision document) or a property transfer
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- Status of Use Indicator (voluntary): This indicator captures information about
whether a site or any land area therein, as measured in acres, is being used. Sites
and acres are classified as either unused, in continued use, reused, planned reuse,
or undetermined.
- Type of Use Indicator (voluntary): This indicator describes the specific use at a
site or any land area therein, as measured in acres, at the point in time when the
Status of Use determination is made. Sites and acres are classified under one of
the following ten primary categories: Commercial, Public Service, Industrial,
Military, Other Federal, Mixed, Residential, Agricultural, Ecological,
Recreational, and Undetermined.
Status of Use Optional Indicator: The Status of Use Indicator refers to how the acres of
the sites and OUs included in the Universe Indicator are being used at the point in time
when the determination is made for the PFP and RAU performance measures. The Status
of Use Indicator has the following sub-indicators:
Continued Use: Acres in continued use refers to areas that are being used in the
same general manner as they were when the site became subject to the Superfund
or Federal Facilities Programs.
- Reused: Acres at a site identified as in reuse refers to a site or OU where a new
use, or uses, are occurring such that there has been a change in the type of use
(e.g., industrial to commercial), or the property was unused and now supports a
specific use. This means that the developed site or OU is actually used for its
intended purpose by customers, visitors, employees, residents, or fauna, in the
case of ecological reuse.
- Planned Reuse: Acres in planned reuse include sites or OUs where a plan for a
reuse is in place, but reuse has not yet begun. This could include conceptual plans,
a contract with a developer, secured financing, approval by the local government,
or the initiation of site redevelopment.
- Unused: Acres identified as unused include sites or OUs not being used in any
identifiable manner. This could be, for example, because site investigation and
cleanup are ongoing, operations have ceased, the owner is in bankruptcy, or
cleanup is complete, but the site remains vacant.
Undetermined: Acres at a site or OU that cannot be currently identified as one of
the four Statuses of Use.
The Status of Use Indicator is independent of the status of response action because it
recognizes that sites or OUs could be in various stages of use at various stages of cleanup
and because use and reuse can change.
Type of Use Optional Indicator: The Type of Use Indicator describes how acres at sites
or OUs included in the Universe Indicator are used at the point in time when the PFP or
RAU determination is made. Information on the type of use at a site or OU should be
classified under one of the following six primary categories:
Commercial
Commercial Use: Commercial use refers to use for retail shops, grocery stores,
offices, restaurants, and other businesses.
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Public Service
Public Service Use: Public service use refers to use by a local or State
government agency or a non-profit group to serve citizens' needs. This can
include transportation services such as rail lines and bus depots, libraries and
schools, government offices, public infrastructure such as roads, bridges, utilities,
or other services for the general public.
Agricultural Use:
- Agricultural Use: Agricultural use refers to use for agricultural purposes, such as
farmland for growing crops and pasture for livestock. Agricultural use also can
encompass other activities, such as orchards, agricultural research and
development, and irrigating existing farmland.
Recreational Use:
Recreational Use: Recreational use refers to use for recreational activities, such as
sports facilities, golf courses, ball fields, open space for hiking /picnicking, and
other opportunities for indoor or outdoor leisure activities.
Ecological Use:
Ecological Use: Ecological use refers to areas where proactive measures,
including a conservation easement, have been implemented to create, restore,
protect, or enhance a habitat for terrestrial and/or aquatic plants and animals, such
as wildlife sanctuaries, nature preserves, meadows, and wetlands.
Industrial
- Industrial Use: Industrial use refers to traditional light and heavy industrial uses,
such as processing and manufacturing products from raw materials, as well as
fabrication, assembly, treatment, and packaging of finished products. Examples of
industrial uses include factories, power plants, warehouses, waste disposal sites,
landfill operations, and salvage yards.
Military
- Military Use: Military use refers to use for training, operations, research and
development, weapons testing, range activities, logistical support, and/or
provision of services to support military or national security purposes.
Other Federal
- Other Federal Use: Other Federal use refers to use to support the Federal
government in Federal agency operations, training, research, and/or provision of
services for purposes other than national security or military.
Mixed
- Mixed Use: Mixed use refers to areas at which uses cannot be differentiated on
the basis of acres. For example, a condominium with retail shops on the ground
floor and residential use on the upper floors would fall into this category. When
selecting Mixed Use, the individual types of uses should be identified, if possible.
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Residential
Residential Use: Residential use refers to use for residential purposes, including
single-family homes, town homes, apartment complexes and condominiums, and
child/elder care facilities.
Undetermined
Undetermined: Undetermined refers to acres at a site or OU that cannot be
identified as one of the six Types of Use.
The CPRM indicators and performance measures had their first data pull on October 5,
2007 and are pulled at least quarterly thereafter.
d. Superfund Integrated Cleanup Initiative (ICI)
Superfund Integrated Cleanup Initiative (ICI)
For years, communities have pressed for more accountability, transparency, and progress
in the cleanup of contaminated sites. EPA is committed to implementing a management
strategy to address these community concerns. EPA is initiating an aggressive multi-year
effort to integrate and leverage its land cleanup authorities (i.e., Superfund Remedial,
Removal, Federal Facilities, RCRA and Brownfields) to address a greater number of
contaminated sites, accelerate cleanups, and put sites back into productive use while
protecting human health and the environment. As a first step, EPA has committed to a
new publicly reported performance measure in FY 2011, an increase in completion of
Superfund "remedial action projects".
This new measure better demonstrates ongoing progress and risk reduction at Superfund
sites and provides the opportunity to better manage our cleanup program. For a definition
of "remedial action projects" please refer to the definition in Appendix B of the SPIM.
D.A.3 EPA's Federal Facility Superfund Cleanup Principles
Consideration of Human Health and Environmental Risk and Other Factors in Federal
Facility Environmental Cleanup Decision Making: Protection of Human Health and the
Environment and meeting state applicable or relevant and appropriate requirements (ARARs) are
threshold criteria at all Superfund sites, including Federal Facilities. Addressing the greatest risk
sites will generally be a driving factor, but not the only factor in determining environmental
cleanup priorities and milestones. In setting priorities and milestones, regions should consider:
• Human Health and Environmental Risk: Risk assessments and other analytical tools
used to evaluate risks to human health (including non-cancer as well as cancer health
effects) and the environment all have scientific limitations and require assumptions in
their development. As decision-aiding tools, risk assessments should only be used in a
manner that recognizes those limitations and assumptions. In addition to criteria
established by statute, regulation or guidance, as noted below there are other factors
that affect whether and to what extent cleanups are to occur.
• Emerging pollutants, contaminants and hazardous substances of concern: As
analytical detection methods improve and health risk data are better defined, EPA and
the federal community are detecting chemicals, like perchlorate and TCE, at lower
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levels of concern and at a greater number of sites. Thus, we may need to expand the
scope of investigations and cleanup actions, and take other actions to adequately
address these chemicals.
• Other Factors: In addition to human health and environmental risk, other factors that
warrant consideration in setting environmental cleanup priorities and milestones
include, but are not limited to:
- cultural, social, and economic factors, including environmental justice
considerations
short-term and long-term ecological effects and environmental impacts in general,
including damage to natural resources and lost use
making land available for other uses
acceptability of the action to regulators, tribes, and public stakeholders
statutory requirements and legal agreements
life cycle costs
permanence and reliability of remedy
pragmatic considerations, such as the ability to execute cleanup projects in a
given year, and the feasibility of carrying out the activity in relation to other
activities at the facility
- overall cost and effectiveness of a proposed activity
• Green Remediation: The practice of considering all environmental effects of remedy
implementation and incorporating options to minimize the environmental footprints
of cleanup actions. EPA strives for remedies that use natural resources and energy
efficiently, reduce negative impacts on the environment, minimize or eliminate
pollution at its source and reduce waste to the greatest extent possible. Therefore
green remediation reduces the demand placed on the environment during cleanup
actions. EPA's Office of Solid Waste and Emergency Response issued the Principles
for Greener Cleanups (Principles) in August 2009. The Principles document defines
the five core elements that may be considered when evaluating and implementing a
green cleanup: Total Energy Use and Renewable Energy Use, Air Pollutants and
Greenhouse Gas Emissions, Water Use and Impacts to Water Resources, Materials
Management and Waste Reduction and Land Management and Ecosystems
Protection. Green Remediation practices fit within existing cleanup programs and
comply with existing statutes and regulations. Green Remediation can be applied
throughout all phases of cleanup, including site investigation, design, construction,
operation, and monitoring. For more information visit:
http://www.epa.gov/superfund/greenremediation/
• Collaboration: The Federal Facilities Response program will continue to work in a
collaborative fashion with other federal agencies, other regulators, tribal
governments, local governments and communities. In many situations, EPA's
statutory responsibilities will place the Agency in a leadership role that requires
convening the relevant parties and facilitating interaction. In other situations, EPA
will simply act as one of the many interested parties in a collaborative problem-
solving effort convened by another federal agency, tribe, state, local government or a
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private entity. However, it is important to recall that collaboration cannot replace the
core functions of a regulatory agency nor compromise EPA decision-making and
enforcement responsibilities.
Typically, EPA looks to all affected stakeholders for ideas and innovative solutions and,
where appropriate, incorporates stakeholder recommendations into policy and practice.
• Innovation: Federal Facilities should continue to serve as a test bed for new cleanup
technologies and new cleanup processes. We should continue efforts, working with
others, to promote more effective and efficient cleanups that support redevelopment
and reuse of contaminated properties, especially those that support the mission of the
responsible agency. Efforts to improve and streamline the cleanup process should
continue to focus on reducing paperwork and developing more collaborative
relationships among all parties.
• Consistency of Treatment between Federal Facilities and Private Sites: Federal
Facilities, especially NPL sites, are generally large complex sites. CERCLA requires
that Federal Facilities be treated the same as other entities.
• Environmental Justice: As Federal Facilities affect many diverse communities and
communities of low income, the Federal Government has an obligation to make
special efforts to reduce the adverse affects of environmental contamination related to
Federal facility activities on affected communities that have historically lacked
economic and political power, adequate health services, and other resources. This
needs to continue to be a focus for the Program.
• Stakeholder Involvement: Despite a very impressive record of success, involvement
by the public continues to be an area where improvements can be made. Federal
facility cleanup decisions and priorities should reflect a broad spectrum of
stakeholder input from affected communities including indigenous peoples, low-
income communities, and minority groups. Stakeholder involvement has, in many
instances, resulted in significant cleanup cost reductions. It should therefore not only
be considered as a cost of doing business but as a potential means of efficiently
determining and achieving acceptable cleanup goals.
• The Role of Negotiated Cleanup Agreements: Enforceable cleanup agreements play a
critical role both in overseeing priorities at a site and providing a means to define and
balance the respected interdependent roles and responsibilities in Federal Facilities
cleanup decision making. EPA must continue to hold federal agencies accountable for
meeting the terms of these agreements to ensure timely and protective cleanup.
• The Critical Role of Future Land Use or Activity Determinations: Reasonably
anticipated future land uses should be considered when making cleanup and reuse
decisions for Federal Facilities. The communities that are affected by Federal facility
cleanups, along with their state and local governing bodies and affected Tribes,
should be given a significant role in determining reasonably anticipated future use of
federal property that is expected to be transferred, and in how future use
determinations will be used in making cleanup decisions.
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• The Importance of Characterizing Sites Correctly: The identification and
characterization of contamination and the evaluation of health impacts on human
populations and ecological effects are essential parts of the cleanup process. If a
quality characterization is done, money and time can be saved during the response
phase. Characterization must also include proper quality assurance/quality control
processes to ensure that data are used to make decisions of known and reliable
quality.
D.A.4 Federal Facility Docket and Site Discovery/Site Assessment
a. Overview
The U.S. Environmental Protection Agency (EPA) Federal Agency Hazardous Waste
Compliance Docket (Docket) Process and Federal Facility Site Discovery/Site
Assessment Process are different from the non-Federal facility Site Assessment Process;
and are governed by a specific set of statutes and guidance in the Comprehensive
Environmental Response, Compensation, and Liability Act (CERCLA), 1980, as
amended by the Superfund Amendments and Reauthorization Action (SARA), 1986, and
in the National Contingency Plan (NCP). The Federal facilities process is different in at
least four ways:
1. Federal Facility Docket Process and Federal Facilities Discovery Process: The
process for Federal facilities involves listing Federal facility sites on the Docket
(CERCLA/SARA Section 120(c)) prior to any listing of the Site Discovery in
CERCLIS.
2. Federal Facilities Site Assessment and Time Frames: The time frame, for
completion of Federal facilities site assessment activities following Site
Discovery; is that of "a reasonable time schedule" (CERCLA/SARA Section
120(d)) as Amended in 1997; and for completion of Hazard Ranking System
(HRS) evaluations the time frame is within 4 years from Site Discovery.
3. Authority for Conducting Federal Facility Site Assessments - Executive Order
12580: The authority for conducting Federal facility site assessments has been
delegated to the Federal Agencies under Executive Order 12580 (E.O. 12580),
and CERCLA 120(h).
4. Federal Facility Site Assessment Reports & EPA Review and HRS Evaluation:
EPA is required to review Federal facility site assessment reports and evaluate
such facilities in accordance with the HRS criteria (authority retained by EPA).
b. Federal Facility Docket Process and the Federal Facilities Site Discovery Process
EPA is required to establish a Federal Agency Hazardous Waste Compliance Docket
("Docket") under Section 120(c) of the CERCLA of 1980, as amended by SARA of
1986. Section 120(c) requires EPA to establish a Docket that contains information
reported to EPA by Federal facilities that manage hazardous waste or from which a
reportable quantity of hazardous substances, pollutants, or contaminants have been or
may be released. The Docket was established by EPA OSWER in 1988.
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The Docket is used to identify Federal Facilities that should be evaluated to determine if
they pose a threat to public health or welfare and the environment; and to provide a
mechanism to make this information available to the public. As new facilities are
reported to EPA by Federal agencies, EPA publishes a list of these facilities in the
Federal Register.
The Docket contains information submitted by Federal Agencies under the following
authorities:
Section 103 of CERCLA requires owners or operators of vessels or facilities to
notify the National Response Center of a release of a reportable quantity of a
hazardous substance (notification of a release or potential release);
Section 3005 of the Resource Conservation and Recovery Act (RCRA) provides
EPA authority to establish a permitting system for hazardous waste treatment,
storage, and disposal (TSD) facilities, which in turn requires them to submit
certain information as part of the permit application (interim status/permitting
authority). The hazardous waste permitting program is generally implemented by
authorized states;
Section 3010 of RCRA requires hazardous waste generators, transporters, and
TSD facility owners/operators to notify EPA of their hazardous waste activities
(notification of hazardous waste activity);
Section 3016 of RCRA requires Federal Facilities to submit an inventory of
hazardous waste sites they own or operate, or have owned and operated in the past
(biennial inventory of hazardous waste activities);
"Other" has been added as a reporting mechanism to indicate those Federal
facilities that otherwise have been identified to have releases or threat of releases
of hazardous substances. EPA's National Contingency Plan (NCP), (40 CFR
300.405) further addresses the discovery or notification and outlines what
constitutes discovery of a hazardous substance release, and states that a release
may be discovered in several ways.
Any potential Federal facility site is generally first added to the Docket2. Following
publication of the site's addition to the Docket in the Federal Register, the site is then
entered in CERCLIS as a Site Discovery. The Site Discovery Date is that of the
publication in the Federal Register. For additional information see the EPA Docket
Reference Manual, Federal Agency Hazardous Waste Compliance Docket, Interim Final,
March 9, 2007; website: http://www.epa.gov/fedfac/documents/docket.htm
c. Federal Facility Site Assessment Process and Time Frames
CERCLA/SARA, as amended, Section 120(d) (1) requires that EPA take steps to assure
that a PA be completed and that evaluation and listing of sites be completed within a
reasonable time frame (CERCLA/SARA, as amended, Section 120(d) (3)) for each
Federal facility included on the published list of Federal facilities reported pursuant to
Section 120(c) of CERCLA/SARA (the "Federal facilities docket"). The PA is designed
2 There may be instances when a facility included in the docket may not be listed in the CERCLIS database.
(Source: Change 5, FY 04/05 SPIM, D-5, January 10, 2005, OSWER Directive 9200.3-14-1G-Q).
October 1,2010 D-10 FY 11 SPIM
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to provide information for EPA to consider when evaluating the site for potential listing
on the National Priorities List. (NPL). E.O. 12580 delegated the authority to conduct
Federal facility PAs and, when warranted, Federal facility Site Inspections (Sis) to the
Federal Agencies.
EPA believes the most reasonable schedule for assessing Federal facility sites listed on
the Docket would be one consistent with the schedule for assessing non-Federal facility
sites which are tracked in Superfund's CERCLIS hazardous waste site database. Potential
budgeting issues of a Federal facility may also be a factor in conducting a PA. Under
Superfund policy (OSWER directive 9200.3-14-1E), EPA attempts to complete a non-
Federal facility PA within 1 year of that site's discovery (inclusion in CERCLIS).
However, the need of Federal agencies to wait for the next budget cycle to obtain funding
may make the 1 year time frame problematic in some cases. Further, past experience
using the 18 month time frame has shown it to be a reasonable period of time for
completion of the Federal facility PA. As a result, it is appropriate to expect Federal
facilities to strive to submit completed Federal facility PA Reports within 18 months
from inclusion on the Docket. Of course, in cases where a PA petition is submitted
pursuant to CERCLA section 105(d), a PA may need to be completed within 12 months.
It is worth noting that under section 116(b) of SARA, a facility should be evaluated
within 4 years of CERCLIS listing. EPA believes this is a reasonable time frame for
making listing decisions at Federal facility sites as well. On receipt and following
evaluation of a Federal facility PA and, if warranted, a Federal facility SI, EPA would
make a determination either of No Further Remedial Action Planned (NFRAP) under
EPA's Superfund Program (CERCLA/SARA); or of potential NPL candidate. However,
if further EPA involvement is warranted for an HRS evaluation and proposal of the site to
the NPL, then all these steps, from Discovery to NPL proposal, have to be completed
within a 4 year time frame. Historically, it was sometimes difficult for EPA and the
federal agencies to complete these tasks within the 30 months originally provided under
section 120(d), and EPA believes 48 months is a more appropriate and reasonable time
frame for both the Federal facility and EPA.
EPA and the individual agencies should work together to ensure these time frames are
met.
d. Authority for Conducting Federal Facility Site Assessments - E.O. 12580
Sections 104(b) and (e) of CERCLA grant to the President broad investigative authority
to conduct a PA and/or a Site Inspection (SI). The President has delegated this authority
through E.O. 12580 to the heads of the respective Federal executive departments and
agencies with jurisdiction, custody, or control over their facilities. The NCP provides for
the lead Federal agency to perform a PA and, as appropriate, an SI, on all sites on the
Docket and in CERCLIS (see CERCLA/SARA 120(d) and 40 CFR Part 300.420(b)(l)
and (c) (1)). Section 300.5 of the NCP defines "lead agency" generally as that Federal
executive agency with jurisdiction, custody, and control over the facility on which a
release occurs or is from (except in the case of an emergency). Accordingly, each Federal
agency typically is the lead agency to conduct a PA or an SI on facilities within its
respective jurisdiction, custody, or control. Lead agency, or the responsible Federal
FY 11 SPIM D-ll October 1, 2010
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OSWER Directive 9200.3-14-1G-V
agency, can differ from the Federal agency ownership party. The Federal Agency Owner
field of the Docket is the Federal Department or Agency that owns the facility at the time
of Docket listing, deletion, and/or correction whereas the Responsible Federal Agency is
the lead agency responsible for the oversight.
EPA must take steps to ensure that a PA is completed for facilities on the Federal
facilities docket where the respective Federal agencies are delegated the authority to
conduct a PA or SI, and thus the respective Federal agencies are the "lead agency" for
conducting such investigations.
Federal Facilities that conduct a PA may satisfy some of the PA reporting requirements
through work already conducted pursuant to the RCRA corrective action program or state
cleanup programs. For example, a facility at which a RCRA Facility Assessment (RFA)
has been conducted may base its PA on the RFA report. When work conducted under
such non-CERCLA authorities is the basis for satisfying PA requirements, the facility
should demonstrate that all information required for the CERCLA PA is provided. In
some instances, it may be appropriate to provide supplemental information to ensure that
all hazardous substances, pollutants, or contaminants at the facility are addressed.
Similarly, at a Federal facility sites when under CERCLA 120(h) ownership Federal Real
Property is being transferred, where there have been observed releases, the Federal
facilities may satisfy some of the PA reporting requirements through work already
conducted for GSA Environmental Phase II Reports or other environmental
investigations done by DoE/DoD. Again, as in the foregoing RCRA Facility Assessment
discussion, the Federal facilities should demonstrate that all information required for the
CERCLA PA is provided, and as appropriate, provide similar supplemental information
as mentioned above.
For additional information see the Federal Facilities Remedial Preliminary Assessment
and the Federal Facilities Remedial Site Investigation Summary Guides, 2005:
http://www.epa.gov/fedfac/documents/docket.htm
e. Federal Facility Site Assessment Reports & EPA Review and HRS Evaluation
For Federal facilities, the site assessment process under CERCLA/SARA begins when
the Federal facility site has been listed on the Docket. When a Federal facility submits a
Federal facility PA report (also see CERCLA 104(h)), and if warranted a Federal facility
SI report, EPA evaluates the site in accordance with the HRS final rule3 to determine
whether the site poses a threat to human and the environment.
If EPA determines that the site does not pose a threat to human health and the
environment based on the data provided in the PA or SI reports, then EPA will designate
a decision of "No Further Remedial Action Planned" (NFRAP) under Superfund. A
decision not to take further response/remedial action under the Superfund program is
based on a finding that the facility/situation does not meet the minimum CERCLA
eligibility requirements or that there is insufficient risk to human health or welfare, or the
3 Hazard Ranking System; Final Rule, 40 CFR Part 300, Appendix A, Federal Register, Vol. 55, No. 241, December
14, 1990.
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OSWER Directive 9200.3-14-1G-V
environment to be included or proposed, at this time on the NPL by the EPA. This
decision does not preclude any further action at the facility by other EPA Programs, by
the States or other Federal agencies. If there is a clear non-compliance with other
environmental programs, EPA will make a deferral to the appropriate alternate
authorities. Should EPA receive new information and/or issue new rule making that
warrants further EPA involvement, EPA will reactivate the site.
If the results of a Federal facility SI indicate that the Federal facility site warrants further
investigation based on the HRS evaluation, EPA will prepare an HRS scoring package to
propose placing the site on the NPL. To make such an NPL decision, EPA may collect
further data to complete the HRS package.
f. Tracking of Federal Facility Sites in CERCLIS
Federal facility sites can be tracked through the Federal facility docket screen in
CERCLIS, EPA's official CERCLA/SARA sites data base tracking system. It allows
authorized EPA CERCLIS users to enter new Federal facility Docket sites. CERCLIS
users can access that and other screens to select and track Federal facility sites in the
CERCLIS universe, and to manage site assessment activities (i.e., Federal facility
Preliminary Assessment Review and Federal facility Site Inspection Review actions) at
these sites.
CERCLIS tracks site assessment activities that are being or have been conducted for all
Federal Facilities listed on the Docket pursuant to CERCLA Section 120 et al.
For more in depth understanding of the site assessment process for Federal facilities, see
EPA Federal Facilities Preliminary Assessment Summary Guide., July 21, 2005;
(http://www.epa.gov/fedfac/pdf/ff_pa guide.pdf);
EPA Federal Facilities Remedial Site Inspection Summary Guide, July 21, 2005;
(http://www.epa.gov/fedfac/pdf/ff_si_guide.pdf);
Appendix A to the above: Federal Facilities Remedial Preliminary Assessment
and Remedial Site Inspection Summary Guide (Information Supplement), July 21,
2005, for Law/Regulations: Summary of Appropriate Legislation/Regulation;
Definition of Site; and Site Assessment Process for Federal Facilities;
EPA Guidance for Performing Preliminary Assessments Under CERCLA (1991);
EPA Guidance for Performing Site Inspections Under CERCLA (1992).
For CERCLIS tracking of Federal facilities site assessment data, the SPIM Appendix A
and Appendix D (B.2) provide additional instruction and details for data entry.
D.A.5 BRAC Budget and Financial Guidance
a. Resources and Tracking Mechanisms
Pursuant to Congressional mandate, over 800 Department of Defense (DoD) military
bases have undergone realignment or complete closure since 1988. Base realignments
and closures (BRAC) occurred in five different rounds: 1988 (BRAC I), 1991 (BRAC II),
1993 (BRAC III), 1995 (BRAC IV), and 2005 (BRAC V). The primary mission of the
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OSWER Directive 9200.3-14-1G-V
BRAC program is to ensure that the hazardous waste sites owned or operated by the
Military Components are addressed, cleaned up and in some cases made available for
transfer and/or lease as quickly as possible.
BRAC I-IV
Under the first four rounds of BRAC (BRAC I - IV), the Military Components identified
107 installations for an accelerated cleanup effort (formerly known as fast track sites).
Thirty-four of these installations were listed on the National Priorities List (NPL). In
1994, EPA and DoD signed the first BRAC Memorandum of Understanding (MOU)
establishing responsibilities and funding for EPA's assistance in accelerating cleanup at
107 realigning and closing installations. DoD continues to provide resources for EPA's
assistance in assessing BRAC properties and determining their suitability for transfer
and/or lease, accelerating cleanup actions wherever possible, and ensuring that remedies
selected reflect the views of the affected communities surrounding the sites and the
proposed future reuse. In expediting the BRAC cleanup and supporting property transfer,
reuse and economic development, the Federal Facilities program works with its federal
partners, tribal, state and local governments, and private parties. The majority of EPA's
BRAC resources are directed to the regions for technical, regulatory and property transfer
oversight at BRAC installations. BRAC funding is also used for EPA personnel to
participate on BRAC Base Cleanup Teams (BCT) as either the EPA designated team
member or as technical experts. EPA reports to DOD on the issues and progress at
individual sites through semi-annual reports, as required under the Memorandum of
Understanding.
BRACV
EPA continues to fulfill its statutory obligations at the 72 NPL installations which were
affected by the fifth round of BRAC, and at certain non-NPL bases where EPA has a
regulatory role. In addition, EPA Regions may be requested to perform activities by
states, tribes, local governments, the military components or others at certain facilities
where EPA has no formal regulatory role. Given EPA's resource constraints, each Region
has to examine those requests individually and determine whether it can positively
respond. EPA's annual budget request does not include additional support for BRAC-
related services to DoD at BRAC V facilities. If EPA services are required at levels
above its base for non-NPL BRAC V related installations, EPA would seek
reimbursement from DoD http://www.epa.gov/fedfac/pdf/interim_brac_guidance.pdf
b. Accountability for Resources
Regions are allocated FTE and administrative dollars (payroll and site travel) based on
installation-specific negotiations between EPA and DoD. BRAC resources received from
DoD are to be used and allocated according to the Base Realignment and Closure
Memorandum of Understanding (MOU) between EPA and DoD signed in February 2008,
and the official funding letter which provides the annual budget and installation-specific
FTE levels. BRAC reimbursable FTE and funding must be used only for EPA related
Base Closure activities, and changes affecting the FTE level for any installation require
prior approval by FFRRO. Military Base Closure activities are activities related to
cleanup of specific installations identified by OSWER (in consultation with DoD). These
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OSWER Directive 9200.3-14-1G-V
activities include: accelerating the identification of clean parcels under the Community
Environmental Response Facilitation Act (CERFA); developing BRAC Cleanup Plans
(BCP); promoting community involvement in cleanup decision making; preparing and
reviewing site documents (e.g., BCP, Environmental Baseline Survey, RI/FS, RODs, RD,
and RAs) and RCRA documents (e.g., RFI Starts, CMD Starts, and ISM Starts and
Completions); studying and sampling field data; National Environmental Protection Act
(NEPA) review and analysis; assisting DoD or states with BRAC site issues; and
activities supporting EPA personnel participation in the BRAC program. These activities
are outlined in the EPA/DoD BRAC MOU, and subsequent memorandums and guidance
related to EPA BRAC resources.
As the signatory and executing agent for the reimbursable agreement with DoD, the
Assistant Administrator for OSWER will rely on Regional Administrators and, as the
primary focus of the EPA BRAC resources, the Regional RCRA/Superfund National
Program Managers to ensure reimbursable costs are accurate and appropriate. Each
region has identified an individual in the appropriate division that is responsible for
coordinating the Regional BRAC program and resources, and acts as a day to day liaison
with OSWER and DoD. FFRRO, within OSWER, provides the AA OSWER with
periodic programmatic and financial updates on the program. Reprogramming of funds
request submitted to the Office of Budget require notification of FFRRO for their
approval. Around late August, the Superfund and Waste Division Directors are asked to
provide a response to FFRRO validating the individuals charging to BRAC are actually
doing BRAC work, and the hours reflected on the Financial Data Warehouse report are
correct. HQ and Regional personnel utilizing BRAC resources should receive
authorization from their appropriate Regional senior managers and use the funds as
outlined in the BRAC MOU. The EPA Remedial Project Manager (RPM) and the support
team are empowered to make decisions locally to the maximum extent possible. EPA has
delegated certain authorities to the Regional Administrators (e.g., CERFA and CDR
concurrence), who have in turn delegated the authorities to others within their
organizations. Regional personnel should be familiar with their internal delegation of
authorities. Should the need arise, the RPM and support team will have the ability to raise
issues immediately to senior EPA officials for resolution.
FFRRO and the Cincinnati Finance Office use IFMS, Business Objects and Financial
Data Warehouse for monitoring BRAC resources. The Cincinnati Finance Office
provides quarterly BRAC billing statements (by installation and funds received,
expended and remaining balance) to DoD. HQ receives semi-annual program activity
reports from the Regional offices on the progress of work at existing BRAC I-IV
installations. These reports are generated by the EPA Regional BRAC Cleanup Team
personnel and provide HQ and DoD with pertinent program information related to
cleanup and reuse. During early fourth quarter, FFRRO works with Cincinnati Finance in
determining a projected carryover balance for the program. The estimate which is
provided to DoD, is used to offset the BRAC budget transfer to EPA for the upcoming
fiscal year. Since we no longer have the liberty of using carryover to cover additional
charges, the Regions must be mindful of their BRAC spending.
FY 11 SPIM D-15 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
The program has gone from a high of 143 FTE ($13M) being funded by DoD in 1998, to
a current FTE level of 36 FTE ($5M) in 2010. As DoD resources for the BRAC program
continue to dwindle, the Regions are asked to keep a current ramp-down plan in place to
ensure the protection of their BRAC personnel.
D.A.6 Cleanup Privatization at BRAC NPL Sites
EPA recognizes that the privatization of the cleanup at BRAC sites can present an
opportunity to integrate redevelopment planning with cleanup. Such privatized cleanups provides
another option to Federal and state agencies and local communities to help maximize the impact
of cleanup and redevelopment resources to help move properties back into productive reuse more
quickly.
Privatization refers to a site where: (1) a non-Federal party will take title to BRAC
property; (2) the property will be transferred using CERCLA 120(h)(3)(C) early transfer,
covenant deferral authority; and (3) the transferee, rather than the military, will conduct the
cleanup using funding provided by the DoD. The DoD funding to the transferee is provided
through an Environmental Services Cooperative Agreement (ESCA). Other documents that are
typically required for such transfers include an amendment to the existing Federal facility
Agreement. The amendment provides: that in the event the transferee defaults on the cleanup of
the property or fails to meet the cleanup standards, the military is obligated to return and
complete the cleanup; negotiation of an Administrative Order on Consent (AOC) with the non-
Federal entity who is to be responsible for the cleanup; and the issuance of a Finding of
Suitability for Early Transfer (FOSET). Importantly, the AOC provides for continuing EPA and
state oversight and the reimbursement of such oversight costs. (See the April 27, 2006, Interim
Guidance for EPA's Base Realignment and Closure (BRAC) Program, at pages 18-21.) Early
transfer covenant deferral requests seek deferral of the CERCLA 120(h)(3)(A)(ii)(I) deed
covenant that all remedial action has been taken.
D.A.7 Military Munitions Response Program
Millions of acres of former munitions use or manufacturing areas have been transferred
from DoD control to non-Federal entities or other Federal agencies to be used for other purposes
(a large percentage of these properties now are identified as formerly used defense sites
(FUDS)). DoD has an online inventory of munitions response sites (MRS) and associated
acreage that are potentially contaminated. Furthermore, active military installations and
installations affected by the BRAC program may have locations other than operational ranges
contaminated with Munitions and Explosives of Concern (MEC) and Munitions Constituents
(MC). While some MRS are fairly small (e.g., small arms ranges, burial pits and trenches),
others may be dozens or even hundreds of square miles in area (e.g., former bombing ranges). In
addition to MEC, these MRS may have soil, ground water, and surface water contamination from
MC or other sources (including explosives and heavy metals, depleted uranium, and at a small
number of sites, chemical warfare agents (CWA) or chemical warfare materiel (CWM). The MC
may derive from a number of sources. Such sources include: live-fire training or testing, low
order detonations of munitions used in training or testing, open burning and open detonation
(OB/OD) treatment/destruction activities, or munitions burial. Explosives safely (e.g., the
potential for the detonation of MEC) is usually the principal concern during munitions response
actions involving MEC.
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OSWER Directive 9200.3-14-1G-V
The National Defense Authorization Act for Fiscal Year (FY) 2002 (P.L. 107-107)
directed DoD to develop and maintain an inventory of defense sites that are known or suspected
to contain unexploded ordnance, discarded munitions or munitions constituents. The current
DoD inventory, published in the 2009 Defense Environmental Programs Annual Report to
Congress, contained 3,783 MRS at the end of FY 2009. The Handbook on the Management of
Munitions Response Actions (May 2005, currently being updated) is designed to facilitate a
common understanding of the state of the art of MEC detection and munitions response, and to
present EPA guidance on the management of munitions response actions. The draft EPA
Munitions Response Guidelines (January 2008) have been developed to provide guidance to
project managers overseeing munitions response actions at locations other than operational
ranges where MEC/MC are suspected to be or have been encountered. Types of response actions
include, but are not limited to, assessments, investigations and cleanups under the authorities of
CERCLA, RCRA, and, where appropriate, response actions under other Federal environmental
authorities, such as the Safe Drinking Water Act (SDWA). The Guidelines may be useful in
situations involving enforcement, permitting, and emergency or time critical actions where
MEC/MC are involved. There are several ongoing collaborative efforts with DoD, States and
others to address MRS issues. These include multi-agency munitions response policy
workgroups, training programs, quality assurance/quality control requirements, and technology
evaluations.
EPA FFRRO issued a memo to Regions on 7 April 2010 to clarify issues with the DoD
Military Munitions Response Program (MMRP). In some situations, an MRS that is within the
boundaries of an NPL site may not be currently included in the list of areas of concern, facility
inventory, or other description of sites to be addressed under a federal facilities agreement (FFA)
or other document providing for regulatory oversight (e.g., RCRA 7003 order). The MRS should
be added to the FFA (or other oversight document) as soon as practicable together with an
enforceable schedule of milestones, including primary and secondary documents. To resolve any
disagreements that arise over adding the MRS, EPA Regions should use the tools provided by
the applicable FFA, including the Dispute Resolution process. Neither Congress' enactment of
DERP providing funds to address munitions, nor DoD's administrative creation of its MMRP to
spend that money, exempts DoD from or alters CERCLA section 120 requirements. That
includes the requirement for an FFA for any cleanup at a Federal facility on the NPL.
D.A.8 Stakeholder Involvement
By Executive Order, Federal Facilities have lead responsibilities for cleanup activities
under CERCLA. This means that they are responsible for implementing the full suite of
community involvement activities that Superfund performs for private sites. Federal Facilities
are required to staff this function with personnel who are knowledgeable about all aspects of
public participation and who are authorized to encourage and support the public in becoming
involved in the cleanup decision-making process through early and meaningful community
involvement activities. In its regulatory role, Superfund provides oversight of this activity,
principally through its Community Involvement Coordinators (CIC). In the absence of an
assigned CIC, the Superfund Remedial Project Manager is responsible to ensure early and
meaningful public participation through all cleanup stages. In particular, Superfund staff will
ensure that public participation documents, like the Proposed Plan, are of the highest quality in
terms of clarity, completeness, ease of use and plain language. For DoD sites, Superfund staff
will participate in Restoration Advisory Boards (RAB), offer Technical Assistance Grants at
FY 11 SPIM D-17 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
least yearly, remind the DoD facility to offer their Technical Assistance for Public Participation
(TAPP) program to RAB members, assure that the facility updates its mailing list and provides
frequent community update fact sheets, and approximately every two years, review the
Community Involvement Plan (CIP) to determine the need for an update. For Department of
Energy sites, the above applies, except that the stakeholder groups are called Site-specific
Advisory Boards (SSAB).
D.B FEDERAL FACILITIES FY 08/09 TARGETS AND MEASURES
D.B.I Overview of FY 10/11 Federal Facilities Targets and Measures
The Superfund Comprehensive Accomplishments Plan (SCAP) is used by the Superfund
National Program, the managers, OSWER, OECA, and others to monitor the progress each
region and the overall program is making towards achieving the Government Performance and
Results Act (GPRA) targets and annual performance goals. In addition, SCAP will continue to be
used as an internal management tool to project and track activities that contribute to these GPRA
goals and support resource allocation.
To more clearly reflect the relationship between GPRA and the SCAP process, GPRA
annual performance goals and measures and program targets and measures are defined as
follows:
• GPRA Annual Performance Goals (APG) and GPRA Annual Performance Measures
(APM) - The Agency's Annual Plan describes the specific annual performance goals,
annual performance measures, and activities aimed at achieving the performance
goals at NPL sites that will be carried out during the year. APGs are the specific
activities that the Agency plans to conduct during the fiscal year in an effort towards
achieving its long-term strategic goals and objectives identified in the EPA Strategic
Plan. APMs are used by managers to determine how well a program or activity is
doing in achieving milestones that have been set for the year. The annual performance
goals will inform Congress and Agency stakeholders of the expected level of
achievement for the significant activities covered by the GPRA objective. The goals
are a subset of the overall planning and budgeting information that has traditionally
been tracked by the Superfund program offices.
• Program Targets and Measures are activities deemed essential to tracking overall
program progress. Program targets are used to identify and track the number of
actions that each region is expected to perform during the year and to evaluate
program progress. Program measures are used to show progress made in achieving
program priorities.
The following pages contain, in pipeline order, the definitions of the FY 10/11 Federal
Facilities targets and measures. Exhibit D.I displays the full list of Federal Facilities activities
that are defined in the remainder of the Appendix, and identifies the FY 10/11 targets and
measures. Exhibit D.3, at the end of this Appendix, describes the planning requirements for
Federal Facilities activities.
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OSWER Directive 9200.3-14-1G-V
a. Reporting of Non NPL Federal Facilities Data
Regions are responsible for entering data into CERCLIS for Non NPL Federal facility
sites, especially BRAC Sites where regions are involved. This data includes, where
appropriate, FUDS, PA, SI, removals, decision documents, acres transferred, etc.
EXHIBIT D.I. (1 OF 3) FEDERAL FACILITIES NPL SITES
ACTIVITY
Federal Facility Agreement (FFA)TInteragency Agreement (TAG)
RI/FS or RCRA Facility Investigation (RFI) Starts
Decision Documents (RODs, ROD Amendments, ESDs, Action Memos)
Final Remedy Selected (Final RODs)
Remedial Design or RCRA Corrective Measure Design (CMD) Starts
Remedial Design or RCRA Corrective Measure Design (CMD)
Completions
RA or Corrective Measure Implementation (CMI) Starts
RA or Corrective Measure Implementation (CMI) Completions
Removal or RCRA Interim/Stabilization Measure (ISM) Starts
Removal or RCRA Interim/Stabilization Measure (ISM) Completions
Migration of Contaminated Groundwater Under Control (El)
Long-Term Human Health Protection Indicator (El)
Operation and maintenance (O&M) Starts
NPL Construction Completions (CC)
Federal Facility Partial NPL Deletion (El)
Federal Facility Final NPL Deletion
Federal Facility Five-Year Reviews (SYR)
Active Restoration Advisory Boards (RABs)/Site-Specific Advisory
Boards (SSABs)
Technical Assistance Grants
Site-wide Ready for Anticipated Use (SWRAU)
Protective for People Acres
Ready for Anticipated Use Acres
GPRA
APG
T
T
T
T
APM
PROGRAM
Target
T
T
T
T
T
T
Measure
T
T
T
T
T
T
T
T
T
T
T
T
PART
Target
NOTE: Accomplishment data is pulled from CERCLIS on a quarterly basis.
FY 11 SPIM
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OSWER Directive 9200.3-14-1G-V
EXHIBIT D.I. (2 OF 3) FEDERAL FACILITIES BRAC SITES
ACTIVITY
Federal Facility Agreement (FFA)TInteragency Agreement (TAG)
Federal Facility Dispute Resolution
Use of Supplemental Environmental Projects (SEPs)
RI/FS or RCRA Facility Investigation (RFI) Starts
Decision Documents
Final Remedy Selected
ROD Amendment
Explanation of Significant Difference (BSD)
Remedial Design or RCRA Corrective Measure Design (CMD) Starts
Remedial Design or RCRA Corrective Measure Design (CMD) Completion
RA or Corrective Measure Implementation (CMI) Starts
RA or Corrective Measure Implementation (CMI) Completion
Removal or RCRA Interim/Stabilization Measure (ISM) Starts
Removal or RCRA Interim/Stabilization Measure (ISM) Completions
BRAC Construction Completions
Operation and Maintenance (O&M) Starts
Federal Facility Five-Year Reviews
Active Restoration Advisory Boards (RABs)
Technical Assistance Grants (TAGs)
Operating Properly and Successfully (TAGs)
GPRA
APG
APM
PROGRAM
Target
Measure
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
EXHIBIT D.I. (3 OF 3) FEDERAL FACILITIES NON-NPL SITES
ACTIVITY
Federal Facility Agreement (FFA)TInteragency Agreement (IAG)
RI/FS or RCRA Facility Investigation (RFI) Starts
Decision Documents
ROD Amendment
Explanation of Significant Difference (BSD)
Remedial Design or RCRA Corrective Measure Design (CMD) Starts
Remedial Design or RCRA Corrective Measure Design (CMD) Completion
RA or Corrective Measure Implementation (CMI) Starts
GPRA
APG
APM
PROGRAM
Target
Measure
T
T
T
T
T
T
T
T
October 1,2010
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ACTIVITY
RA or Corrective Measure Implementation (CMI) Completion
Removal or RCRA Interim/Stabilization Measure (ISM) Starts
Removal or RCRA Interim/Stabilization Measure (ISM) Completions
Operation and Maintenance (O&M) Starts
Active Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards
(SSABs)
Technical Assistance Grants (TAGs)
GPRA
APG
APM
PROGRAM
Target
Measure
T
T
T
T
T
T
NOTE: Definitions apply to all site categories.
D.B.2 Federal Facilities Site Discovery/Site Assessment Definitions
a. Site Discovery
Definition:
Site discovery is the process by which a potential hazardous waste site is entered into the
CERCLIS inventory for NPL assessment activities. The process typically starts when the
facility has been listed on the Federal Agency Hazardous Waste Compliance Docket.
NOTE: There may be instances when a facility included in the docket may not be listed
in the CERCLIS database.
All sites moving through the NPL assessment process must have a Discovery action and
actual completion date documented in CERCLIS. Entry of the site discovery date initiates
the NPL assessment process and places the site on the FF Preliminary Assessment
Review backlog.
Definition of Accomplishment:
After the region determines the Federal facility is a valid CERCLA site, the site
discovery date for Federal Facilities is the date the site is formally added to the Federal
Agency Hazardous Waste Compliance Docket. The Site Name and Discovery Date must
be entered into CERCLIS for sites. Valid leads for site discovery actions include: Fund-
Financed (F); EPA-In House (EP); State (S), Tribal (TR); and Federal facility (FF).
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
Actual start and planning dates are not required for the Discovery action. The Discovery
date is entered through the Add Site screen. The Discovery date will automatically
populate the actual completion date for the Discovery action. Regions are now required to
enter information on site type at the time of discovery on the Add Site or Site
Discovery/Initiation screen. Multiple discovery actions are not allowed. Site discovery is
a program measure.
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Note: There is a separate field in CERCLIS which records site initiation dates for removal-only sites. Sites
that are subject only to removal interest generally do not require a discovery date. An exception is where a
large scale removal action has been completed and the region seeks credit for a non-NPL site completion.
Non-NPL site completions require site assessment review indicating the site has no further remedial
actions planned. The discovery date for sites referred from removal to assessment should be the date the
referral decision is made.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
b. Federal Facility Preliminary Assessment Reviews
Definition:
Federal facility Preliminary Assessment (PA) Review is a quality assurance review of a
PA or PA-equivalent report submitted by another federal agency. EPA's role at Federal
Facilities is to review PA reports developed and submitted by the Federal agencies
responsible for a given Federal facility. EPA may also approve the review done by a state
in lieu of its review. Upon reviewing the PA or PA-equivalent report for accuracy,
completeness, and working with the other federal agency to address any deficiencies,
EPA then determines what next steps are appropriate with respect to additional response
action. Guidance can be found on the Federal Facilities website (www.epa.gov/fedfac/)
entitled "Federal Facilities Remedial Preliminary Assessment Summary Guide (July 21,
2005)."
There are instances when an Abbreviated Preliminary Assessment (APA) can be
performed in lieu of a standard Preliminary Assessment (PA). The October, 1999
Abbreviated Preliminary Assessment fact sheet (OSWER 9375.2-09FS) provides
information on conducting APAs and includes a checklist to help site assessors determine
whether an APA report is appropriate for a given site. The checklist or an equivalent
document can serve as documentation that the APA was completed. The APA checklist
or equivalent report must address the requirements set forth in the NCP for conducting
remedial preliminary assessments.
Once a Federal facility site has been entered into the CERCLIS site inventory for
remedial assessment, an APA may be performed if the site/release:
is regulated under a statutory exclusion (e.g., petroleum);
is subject to certain limitations based on definitions in CERCLA (e.g., naturally
occurring substance in its unaltered form);
- can be addressed as part of another site already in CERCLIS;
- will be deferred to another program (e.g., RCRA, NRC, EPA removal) based on
existing policy considerations (follow-up confirmation of the deferral is required);
- requires no further remedial assessment; or
- will require a Superfund site inspection.
Backlogs: The Federal facility PA Review backlog consists of Federal facility sites with a
Non-NPL Status of FF-PA review needed or FF-PA review ongoing.
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Definition of Accomplishment:
Federal Facility PA Review Starts - A Federal facility PA Review (Action Name =
Federal facility Preliminary Assessment Review) is started when the EPA starts an in-
house review of the Federal facility PA or PA-equivalent report, or sends a letter, form,
or memo to the EPA contractor requesting review of the Federal facility PA or PA-
equivalent report, and CERCLIS contains the actual PA start date (Actual Start) and a
valid action lead of Fund-Financed (F) or EPA-In House (EP).
Federal Facility PA Review Completions - A Federal facility PA Review (Action Name =
Federal facility Preliminary Assessment Review) is completed when:
The appropriate Regional official signs a letter, form, or memo approving the PA
report. The Federal facility Preliminary Assessment Review actual completion
date is the date the Federal facility PA report is approved;
- CERCLIS contains the actual Federal facility Preliminary Assessment Review
completion date (Actual Complete) a lead and a decision on whether further
activities are necessary in the Qualifier field; and
The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate Regional official, and placed in the file.
A valid decision must be recorded in CERCLIS upon completion of a Federal facility PA
Review. Please refer to Exhibit A.2 in section A.A.5 for a list of valid qualifiers for this
action and a description of each qualifier.
APA Completions - An Abbreviated Preliminary Assessment report at a Federal facility is
tracked in CERCLIS by entering a Federal facility PA Review action and selecting APA
as a critical indicator on the Federal facility PA Review action SCAP Information screen.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
Regions should attempt to complete PA reviews at Federal facility sites listed in the
CERCLIS inventory within a reasonable schedule upon receipt of a sufficient PA. PA
review starts and completions are reported site-specifically in CERCLIS. Federal facility
Preliminary Assessment Review starts and completions are program measures. If the
Federal facility PA report does not provide sufficient information to complete the PA, the
report should be referred back to the Federal facility (SubAction Name = Referred back
to Fed Fac). The date the report is referred back to the Federal facility is entered into
CERCLIS as the actual completion date (Actual Complete) of the SubAction, Referred
back to Fed Fac. The actual completion date and qualifier for the Federal facility
Preliminary Assessment Review should not be entered until all the report deficiencies
have been addressed.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
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APA reports are tracked in CERCLIS by entering a Federal facility PA Review action
and selecting APA as a critical indicator on the Federal facility PA Review action SCAP
Information screen.
c. Federal Facility SI Reviews
Definition:
Federal facility Site Inspection Review is a quality assurance review of an SI or Si-
equivalent report submitted by another federal agency. EPA=s role at Federal Facilities is
to review SI reports developed and submitted by the federal agencies responsible for a
given Federal facility response. Upon reviewing the SI or Si-equivalent report for
accuracy, completeness, and working with the other federal agency to address any
deficiencies, EPA then determines what next steps are appropriate. Guidance can be
found on the Federal Facilities website (www.epa.gov/fedfac/) entitled "Federal Facilities
Remedial Site Inspection Summary Guide (July 21, 2005)."
Backlogs: The Federal facility SI Review backlog consists of sites with a Non-NPL
Status of FF-SI review needed or FF-SI review ongoing.
Definition of Accomplishment:
Federal Facility SI Review Starts - A Federal facility SI Review (Action Name = Federal
facility Site Inspection Review) is started when the EPA starts an in-house review of the
Federal facility SI or Si-equivalent, and CERCLIS contains the actual SI start date
(Actual Start) and a valid action lead of Fund-Financed (F) or EPA-In House (EP).
Federal Facility SI Review Completions - A Federal facility SI Review (Action Name =
Federal facility Site Inspection Review) is completed when:
- The appropriate Regional official signs a letter, form, or memo approving the SI
report. The Federal facility Site Inspection Review actual completion date is the
date the Federal facility SI report is approved;
CERCLIS contains the actual Federal facility Site Inspection Review completion
date (Actual Complete) a lead and a decision on whether further activities are
necessary in the Qualifier field; and
The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate Regional official, and placed in the file.
A valid decision must be recorded in CERCLIS upon completion of a Federal facility SI
Review. Please refer to Exhibit A.2 in section A.A.5 for a list of valid qualifiers for this
action and a description of each qualifier.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
Regions should attempt to complete SI reviews at Federal facility sites listed in the
CERCLIS inventory within a reasonable schedule upon receipt of a sufficient SI. SI
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review starts and completions are reported site-specifically in CERCLIS. Federal facility
Site Inspection Review starts and completions are program measures.
If the Federal facility SI report does not provide sufficient information to complete the SI,
the report should be referred back to the Federal facility (SubAction Name = Referred
back to Fed Fac). The date the report is referred back to the Federal facility is entered into
CERCLIS as the actual completion date (Actual Complete) of the SubAction, Referred
back to Fed Fac. The actual completion date and qualifier for the Federal facility Site
Inspection Review should not be entered until all the report deficiencies have been
addressed.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
d. Federal Facility ESI Reviews
Definition:
Federal facility Expanded Site Inspection Review is a quality assurance review of an ESI
or ESI-equivalent report submitted by another federal agency. EPA=s role at Federal
Facilities is to review ESI reports developed and submitted by the federal agencies
responsible for a given Federal facility. Upon reviewing the ESI or ESI-equivalent report
for completeness, and working with the other federal agency to address any deficiencies,
EPA then determines what next steps are appropriate with respect to NPL listing.
Backlogs
The Federal facility ESI Review backlog consists of sites with a Non-NPL Status of FF-
ESI review needed or FF-ESI review ongoing.
Definition of Accomplishment:
Federal Facility ESI Review Starts - A Federal facility ESI Review (Action Name =
Federal facility ESI Review) is started when the EPA starts an in-house review of the
Federal facility ESI or ESI-equivalent, and CERCLIS contains the actual ESI start date
(Actual Start) and a valid action lead of Fund-Financed (F) or EPA-In House (EP).
Federal Facility ESI Review Completions - A Federal facility ESI Review (Action Name
= Federal facility ESI Review) is completed when:
- The appropriate Regional official signs a letter, form, or memo approving the ESI
report. The Federal facility Expanded Site Inspection Review actual completion
date is the date the Federal facility ESI report is approved;
CERCLIS contains the actual Federal facility Expanded Site Inspection Review
completion date (Actual Complete) a lead and a decision on whether further
activities are necessary in the Qualifier field; and
The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate Regional official, and placed in the file.
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A valid decision must be recorded in CERCLIS upon completion of a Federal facility ESI
Review. Please refer to Exhibit A.2 in section A.A.5 for a list of valid qualifiers for this
action and a description of each qualifier.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
Regions should attempt to complete ESI reviews at Federal facility sites listed in the
CERCLIS inventory within a reasonable schedule upon receipt of a sufficient ESI. ESI
review starts and completions are reported site-specifically in CERCLIS. Federal facility
Expanded Site Inspection Review starts and completions are program measures.
If the Federal facility ESI report does not provide sufficient information to complete the
ESI, the report should be referred back to the Federal facility (SubAction Name =
Referred back to Fed Fac). The date the report is referred back to the Federal facility is
entered into CERCLIS as the actual completion date (Actual Complete) of the
SubAction, Referred back to Fed Fac. The actual completion date and qualifier for the
Federal facility Expanded Site Inspection Review should not be entered until all the
report deficiencies have been addressed.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
D.B.3 Federal Facilities Accomplishment Definitions
a. Base Closure Decisions: Start and Completions
Definition:
A base closure action occurs when EPA is involved in either a CERCLA Section
120(h)(4) uncontaminated parcel (Community Environmental Response Facilitation Act
(CERFA))determination, a Finding of Suitability to Transfer (FOST), a Finding of
Suitability to Lease (FOSL), or a determination is made by EPA that an approved remedy
is Operating Properly and Successfully (OPS) at BRAC locations pursuant to CERCLA
Section 120(h)(3). Under CERCLA Section 120(h)(4), the military service must
designate, and EPA/State is required to concur, on property that is uncontaminated. A
FOST documents the conclusion that real property made available through the BRAC
process is environmentally suitable for transfer by deed under the CERFA amendment to
CERCLA. A FOSL documents that property at a BRAC location is environmentally
suitable for lease, i.e., that the reuse does not impede the environmental response at the
location and that the use of the property is limited to a manner which will protect human
health and the environment. Under CERCLA Section 120(h)(3), before property can be
transferred by deed, the military service must demonstrate to EPA that the approved
remedy is operating properly and successfully.
The phrase "operating properly and successfully" involves two separate concepts:
operating "properly" is used if the remedy is operating as designed; operating
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"successfully" is used if the operation of the remedy will achieve the cleanup levels or
performance goals for the particular contaminant delineated in the decision document.
Where more than one remedial action is required for a parcel, all such actions must
operate properly and successfully. Therefore, EPA interprets the term "operating properly
and successfully" to mean that the remedial action was engineered and implemented and
is functioning in such a manner that it is expected to achieve cleanup goals and
adequately protect human health and the environment.
Definition of Accomplishment:
Base Closure Decision Start Date: Date that a document is received by EPA that
identifies a facility or a parcel as a candidate to be transferred by deed or lease (e.g., EBS
submitted); or a clean parcel determination is received by EPA for concurrence as
required by CERFA; or the date of the written request submitted by the other federal
agency for concurrence on suitability to transfer or lease; or the date on which a written
request for EPA concurrence is received that a 120(h)(3) remedy is operating properly
and successfully.
Base Closure Decision Completion Date: The date the appropriate Regional official signs
a letter, form, or memo stating that EPA has completed its review and provided
comments or concurrence on the POST or FOSL; or the date the appropriate Regional
official signs a letter, form, or memo stating that EPA has completed its review of the
demonstration that a remedy is operating properly and successfully for purposes of
CERCLA section 120(h)(3); or the date the appropriate Regional official signs a letter
concurring on a clean parcel identified under CERFA. In addition to entering the date of
completion, also enter the acreage covered by the Base Closure Decision Document.
Changes in Definition FY FY10 - FY11:
None
Special Planning/Reporting Requirements:
Regions may enter acreage information through the POST or FOSL screens in CERCLIS.
b. Non-BRAC Property Actions
Definition:
A non-BRAC property transfer action occurs when EPA has reviewed and concurred on:
The transfer of non-BRAC property from the Federal Government under CERCLA
120(h)(3)(A): A federal agency may request that EPA review and
comment/concur on transfers under this section, however, EPA does not
statutorily have to provide concurrence or comment for the transfer to occur, other
than in instances where an OPS determination is required to be made prior to the
transfer of deed.
- An early transfer under CERCLA 120(h)(3)(C): For facilities listed on the NPL,
EPA is required to approve the deferral of the covenant found in CERCLA
120(h)(3)(A)(ii)(I) that all remedial action necessary to protect human health and
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OSWER Directive 9200.3-14-1G-V
the environment has been taken before the date of transfer. The EPA Early
Transfer Guidance should be used to approve such requests.
Provided an OPS determination pursuant to CERCLA 120(h)(3): Under
CERCLA Section 120(h)(3), before property can be transferred by deed, the
federal department or agency must demonstrate to EPA that the approved remedy
is operating properly and successfully.
Provided a concurrence to DOE for the lease of property on the NPL under the
Hall Amendment: Leasing of real property at DOE weapons production facilities
that are either being closed or reconfigured is subject to the requirements of the
Hall Amendment under the following conditions: 1) the Hall Amendment is the
authority invoked for a lease, and 2) the real property to be leased is on the NPL.
In these cases, DOE must request the concurrence of the EPA Regional
Administrator for the proposed lease. DOE may lease if EPA concurs within 60
days or EPA fails to respond to DOE's concurrence request after 60 days. The
Joint DOE/EPA Interim Policy Statement on Leasing Under the Hall
Amendment(1998) governs these leases.
- Made a CERCLA 120(h)(4) uncontaminated parcel determination: Under the
CERFA amendment to CERCLA Section 120(h)(4), the federal department or
agency must designate, and EPA is required to concur, on property that is a part
of a facility listed on the NPL that is uncontaminated. For property not closed or
realigned pursuant to a base closure law, the identification and concurrence is
required to be made at least 6 months before the termination of operations on the
facility.
Definition of Accomplishment:
Non-BRAC Property Action Start Date: Date of a written request submitted by the other
federal agency for EPA concurrence on suitability to transfer, including early transfers, or
lease; or a clean parcel determination is received by EPA for concurrence as required by
CERFA; or, the date on which a written request for EPA concurrence is received that a
120(h)(3) remedy is operating properly and successfully.
Non-BRAC Property Action Completion Date: The date the appropriate regional official
signs a letter, form, or memo stating that EPA has completed its review and provided
comments or concurrence on the transfer or leasing document(s); or the date the
appropriate regional official signs a letter, form, or memo stating that EPA has completed
its review of the demonstration that a remedy is operating properly and successfully for
purposes of CERCLA section 120(h)(3); or the date the appropriate regional official signs
a letter concurring on a clean parcel identified under CERFA. In addition to entering the
date of completion, also enter the acreage covered by the property action.
c. Federal Facility Agreement (FFA)TInteragency Agreement (IAG)
Definition:
FFAs/IAGs are legal agreements between federal agencies responsible for cleanup, EPA,
and the States. A State elects whether to participate in FFA/IAG negotiations. FFA/IAGs
set forth detailed requirements for performance of site response activities as well as
penalties for non compliance with the FFA/IAG. The FFA/IAG requirement is set forth in
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Section 120(e) of CERCLA. Such agreements are required at NPL facilities no later than
6 months after the first ROD is signed at the facility.
Definition of Accomplishment:
TFA/IAG Start Date: Date notice letter is sent by EPA to the Federal facility, reported in
CERCLIS as the actual start date (Actual Start) of FFA/IAG negotiations (Action Name
= IAG Negotiation).
FFA/IAG Completion Date: The date that the federal agency, EPA, and/or State sign the
FFA/IAG. This date must be reported in CERCLIS as the actual completion date (Actual
Complete) of the FFA/IAG (Action Name = Federal Interagency Agreements).
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
FFA/IAG starts will be tracked as IAG negotiations (Action Name = IAG Negotiation).
FFA/IAG completions will be tracked as the completion (Actual Complete) of the
FFA/IAG (Action Name = Federal Interagency Agreement). For those FFAs/IAGs that
are elevated for dispute resolution, record the date elevated as the actual completion date
of the Sub Action TAG Dispute Admin Referral' and not as the FFA/IAG completion date.
Regions do not receive credit for FFA/IAG completion when the FFA/IAG is elevated to
HQ for dispute resolution. This is a Program Measure.
d. Federal Facility Dispute Resolution
Definition:
When the federal agency, state, and/or EPA make an effort to formally resolve a
FFA/IAG dispute after the FFA/IAG is signed.
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 CERCLIS as the
actual start date (Actual Start) of dispute resolution (Action Name = Alternative Dispute
Resolution).
Dispute Resolution Completion Date: Date the document resolving the issue is signed
(e.g., letter of agreement, agreement document). This is reported in CERCLIS as the
actual completion date (Actual complete) of dispute resolution (Action Name =
Alternative Dispute Resolution).
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
Federal facility Dispute Resolution is reported in CERCLIS as Alternative Dispute
Resolution (Action Name = Alternative Dispute Resolution) with a Federal facility (FF)
lead. This is a program measure.
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e. Use of Supplemental Environmental Projects (SEPs)
Definition:
SEPs are environmentally beneficial projects which a federal agency agrees to undertake
to mitigate a monetary penalty, but which the violator is not otherwise legally required to
perform. Consistent with EPA's SEP Policies, the SEP could be for public health,
pollution prevention, pollution reduction, environmental restoration and protection,
assessments and audits, environmental compliance promotion, emergency planning and
preparedness, or other program-specific projects.
Definition of Accomplishment:
The date of agreement between EPA and a federal agency to implement a SEP is reported
in CERCLIS as the SubAction 'Supplemental Envir Projects.' Actions a SEP can be
associated with include AOCs, Consent Decrees, and RCRA CMDs. The estimated dollar
value of the SEP must also be entered.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
This is a program measure. Both the number of SEPs and their estimated value will be
tracked. The estimated value of the SEP is reported on the Penalty/SEP screen in the
Federal facilities module in CERCLIS.
f. Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility Investigation
(RFI) Starts
Definition:
The RI/FS is a CERCLA 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 remedial alternatives. A RFI is a RCRA
investigation designed to evaluate thoroughly the nature and extent of the release of
hazardous wastes and hazardous constituents and to gather necessary data to support the
Corrective Measure Study (CMS) and/or Interim/Stabilization Measure (ISM).
Definition of Accomplishment:
The RI/FS (Action Name = FF RI/FS or FF RI) or RFI (Action Name = RCRA Facility
Investigation) start is defined as follows:
Sites where there has been no RI/FS or RFI work started prior to the effective date
of the FFA/IAG, the actual start date (Actual Start) is the EPA or State receipt of
a draft work plan for the RI/FS or RFI; or
Sites where RI/FS or RFI work has been started prior to the FFA/IAG effective
date and there has been substantial EPA or State involvement (EPA or the State
has reviewed and commented, approved/concurred, or accepted the work plan),
the actual start date (Actual Start) is also the date of receipt of a draft RI/FS or
RFI work plan (Note: this date will be prior to IAG completion date); or
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Sites where RI/FS or RFI work starts prior to the FFA/IAG effective date and
there has been limited EPA or State involvement, the date of the RI/FS or RFI
actual start date (Actual Start) is the latter date that EPA or the State and the other
agency sign the FFA/IAG.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
This is a program target.
g. Timespan from Final NPL Listing To RI/FS
Definition:
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 an RI/FS for such facility." This measure
calculates the days and the time frame from final NPL Listing to the first RI/FS start.
Sites with time frames greater than 180 days will be deemed not to have met this
requirement.
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 actual date for the first RI/FS start. The
timespan will be calculated based on the RI/FS start definition outlined above and the
final NPL listing (Action Name = Final Listing on NPL) actual completion date (Actual
Complete).
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
This is a Management reporting tool. Data in CERCLIS will be used to calculate the
timespan on an annual basis. HQ will perform the analysis at the end of the fiscal year.
h. Decision Documents
Definition:
Upon completion of a Federal facility RI/FS, CMS, or Engineering Evaluation/Cost
Analysis (EE/CA), the federal agency selects a remedy that is presented in a cleanup
decision document (e.g., ROD, RCRA Statement of Basis/Response to Comments,
Action Memo, Removal Action Decision Document, ROD Amendment or Explanation of
Significant Differences (ESD)). EPA may either approve or concur on the remedy
selection or, in the case of a dispute, EPA may select the remedy. For EPA, this authority
has been delegated to the Regional Administrator or her/his delegate.
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Definition of Accomplishment:
Date (Actual Complete) the ROD (Action Name = Record of Decision), the appropriate
RCRA Statement of Basis/Response to Comments (Action Name = RCRA SB/RTC),
Action Memo (Action Name = Record of Decision and Sub Action Name = Approval of
Action Memo), Removal Action Decision Document (Action Name = Removal Action
Decision Doc), ROD Amendment (Action Name = Record of Decision and SubAction
Name = ROD Amendment) or Explanation of Significant Differences (Action Name =
Record of Decision and SubAction Name = Explanation of Significant Diff) or is signed
by the Regional Administrator or delegate, or the date of EPA concurrence/approval on
the clean-up decision document pursuant to FFA/IAG or other enforceable decision
document, or the date of EPA=s letter of concurrence.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
One ROD document equals one ROD target completion, even if the ROD covers multiple
OUs. All RODs, regardless of remedial actions chosen, are entered into CERCLIS as a
normal ROD action. HQ's ROD data entry contractors will enter in the associated ROD
action information.
For "No Action RODs", the Regions should not enter a Remedial Design following a "No
Action ROD". Furthermore, the Region should not enter a Remedial Action following a
"No Action ROD". For RODs which choose limited actions (i.e. institutional controls
only), the regions should not enter a Remedial Design for these RODs. However, the
Regions should enter a Remedial Action on the project schedule with the Critical
Indicator of "Limited Action".
i. Final Remedy Selected
Definition:
This measure will track the Final Remedy Selected at NPL Sites. A Final Remedy
Selected occurs when a final decision has taken place at a site (i.e. the final remedy has
been selected at the last OU of a site). This can include the signature of the Final ROD,
ROD Amendment or Removal Action at a site. In general, Explanation of Significant
Differences (ESD) will not constitute a Final Remedy Selected since ESD's document a
non-fundamental change to a remedy. Also, a partial deletion from the NPL does not
constitute a Final Remedy Selected since it does not constitute a final decision for the
entire site.
Definition of Accomplishment:
Credit under CERCLA for a Final Remedy Selected is received when:
A site has a Final ROD or ROD Amendment and no existing planned ROD, ROD
Amendment, Removal Action Memorandum, RI/FS or EE/CA. The date the
designated Regional Official or the AA OSWER signs the ROD at a site for each
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RA is reported in CERCLIS as the ROD (Action Name = Record of Decision)
completion date (Actual Complete); or
Site has a Removal Action Memorandum and no existing planned ROD, RI/FS,
EE/CA or planned action memorandum.
Site is Construction Complete as documented by the actual completion date
(Actual Complete) of the Preliminary Close-Out Report (Action Name = Prelim
Close-Out (PCOR) Rep Prepared), or the actual completion date (Actual
Complete) of the Final Close-Out Report (Action Name = Close-Out Report) and
HQ has entered the Construction Completion indicator in CERCLIS and no future
ROD, ROD Amendment, Action Memorandum, RI/FS or EE/CA is planned. (The
Final Remedy Selected designation may only be applied to the PCOR if there is
no previous ROD, ROD Amendment, or Action Memorandum that constitutes the
final decision.)
Site has been deleted from the NPL (Action Name = Final Deletion from NPL),
which is documented when the Notice of Deletion is published in the Federal
Register and no future ROD, ROD Amendment, Action Memorandum, RI/SF or
EE/CA is planned. (The Final Remedy Selected designation may be applied to the
Final Notice of Deletion if there is no PCOR and if there is no previous ROD,
ROD Amendment or Action Memorandum that constitutes the final decision.)
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
This is a program target.
j. ROD Amendments
Definition:
A ROD Amendment documents fundamental changes to the remedy selected in the ROD.
Fundamental changes involve an appreciable change or changes in the scope,
performance, and/or cost or may be a number of significant changes that together have
the effect of a fundamental change.
Definition of Accomplishment:
ROD Amendment: the date (Actual Complete) the ROD Amendment (Action Name =
Record of Decision and Sub Action Name = ROD Amendment) is signed by the Regional
Administrator or delegate, or the date of EPA concurrence/approval on the cleanup
decision document pursuant to FFA/IAG or other enforceable decision document, or the
date of EPA's letter of concurrence.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
ROD Amendments count towards the Program Target for Decision Documents.
FY 11 SPIM D-33 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
k. Explanation of Significant Differences (ESD)
Definition:
An Explanation of Significant Differences (ESD) documents significant changes to a
Record of Decision (ROD). Significant changes generally involve a change to a
component of a remedy that does not fundamentally alter the overall cleanup approach.
Definition of Accomplishment:
Explanation of Significant Differences: the Date (Actual Complete) the ESD (Action
Name = Record of Decision and SubAction Name = Explanation of Significant Diff) is
signed by the Regional Administrator or delegate, or the date of EPA
concurrence/approval on the clean-up decision document pursuant to FFA/IAG or other
enforceable decision document, or the date of EPA's letter of concurrence.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
ESD's count towards the Program Target for Decision Documents.
1. Remedial Design (RD) or RCRA Corrective Measure Design (CMD)
Definition:
The RD is a CERCLA design that 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. The CMD is a RCRA design that
establishes the general size, scope, and character of a project, and details and addresses
the technical requirements of the CMD selected in the RCRA Corrective Measure
decision document. The CMD may include, but is not limited to, drawings, specification
documentation, and statement of bidability and constructability. A RD or CMD is
complete when the plans and specifications for the selected remedy are developed and
approved.
Definition of Accomplishment:
RD Start - If post-ROD, the RD (Action Name = FF RD) or CMD (Action Name =
Corrective Measure Design) start date (Actual Start) is the date of submission of the RD
or CMD work plan or other appropriate documents or statement of work. If work begins
prior to the ROD, the RD or CMD actual start date (Actual Start) will be the ROD
signature date or submission date of RD or CMD work plan or any other major
deliverable (e.g., 30% design complete).
RD Completion - RDs and CMDs are considered complete the date a letter is signed by
the appropriate Regional official approving the entire final RD or CMD package. If EPA
does not approve the final RD or CMD package, the RD or CMD is considered complete
the date of the Commerce Business Daily (CBD) or other appropriate publication
requesting bids on the final RD or CMD package. This date is reported in CERCLIS as
October 1,2010 D-34 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
the actual completion date (Actual Complete) of the RD (Action Name = FF RD) or
CMD(Action Name = Corrective Measure Design).
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
This is a program measure.
m. Duration of ROD to IAG Negotiation Completion
Definition:
The objective of this measure is to focus attention on the statutory requirement for an
IAG to be entered into within 180 days after signature of the ROD. SARA Section 120(e)
(2) states that "within 180 days (after signature of the ROD), the head of the department,
agency, or instrumentality concerned shall enter into a IAG with the administrator for the
expeditious completion by such department, agency, or instrumentality of all necessary
remedial action at such facility." This measure tracks compliance against the CERCLA
Section 120 statutory requirements.
Definition of Accomplishment:
The duration of ROD to IAG will be calculated based on the actual completion date of
the ROD (Action name = Record of Decision) and the latter of the dates that the federal
agency, EPA, and/or State sign the IAG, or the date the Letter of Intent to sign an IAG is
signed by all parties, as reported in CERCLIS as the actual completion (Actual
Completion) of FFA/IAG negotiations (Action Name = IAG Negotiation).
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
This is a Management reporting tool. Data in CERCLIS will be used to calculate the
timespan.
n. Remedial Action (RA) or RCRA Corrective Measure Implementation (CMI)
Starts
Definition:
A RA or CMI is the implementation of the remedy selected in the ROD or appropriate
RCRA corrective measure decision document 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)) as documented by a memo or letter to EPA. This date is
reported in CERCLIS as the actual RA (Action Name = FF RA) or CMI (Action Name =
Corrective Measure Implementation) start date (Actual Start).
FY 11 SPIM D-35 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
This is a program target.
o. Timespan from ROD Signature to RA Start
Definition:
The objective of this measure is to focus attention on the statutory requirement for an RA
start within 15 months of the ROD signature.
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 tracks compliance against the CERCLA Section
120 statutory requirements.
Definition of Accomplishment:
This measure will look at federal agency performance by comparing the average
timespan from ROD signature to RA start for all sites where a RA actually started in FY
08/09. Sites exceeding the 15 month requirement will be identified. Comparisons will be
made to previous Agency performance to determine trends.
The durations will be calculated using the actual ROD (Action Name = Record of
Decision) completion date (Actual Complete) and the actual RA (Action Name = FF RA)
start date (Actual Start) in CERCLIS. The ROD signature and RA start definition
contained in Decision Documents and RA or Corrective Measure Construction Starts,
respectively, will be used in the analysis.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
This is a Management reporting tool. Data in CERCLIS will be used to calculate the
timespan from ROD signature to RA or CMI completions.
p. RA or CMI Completions
Definition:
A RA or CMID is complete when construction activities are complete, a final inspection
has been conducted, and an interim or final RA Report or appropriate CMI reporting
vehicle has been prepared and approved by EPA in writing. This report summarizes site
conditions and construction activities. Note: This date may be later than 12 0(h)(3)
BRAC requirements for base closure.
Definition of Accomplishment:
The RA or CMI is complete the date that the designated Regional official (Branch Chief
or above, as determined by the EPA Region) approves in writing the interim or final RA
October 1,2010 D-36 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
Report or signs the interim or final report or appropriate CMI reporting vehicle for the
RA or CMI that documents the completion of construction activities. In lieu of a report
from the contractors construction manager, the region must prepare a report to
document the completion. The approval can be provided with an appropriate signature on
the RA Report cover sheet or by letter to the originator of the RA Report. The appropriate
date must be recorded in CERCLIS as the actual completion date (Actual Complete) of
the RA (Action Name = FF RA) or CMI (Action Name = Corrective Measure
Implementation).
An action qualifier must be entered into CERCLIS indicating the RA was completed via
an Interim or Final RA Report (Action Qualifier = Interim RA or Final RA).
Interim Remedial Action Report
Criteria for approval of the Interim Remedial Action Report are:
- The remedy includes groundwater or surface water restoration, with active
treatment or natural attenuation, to reduce contaminant concentrations to meet
cleanup goals and cleanup goals have not been achieved;
The construction of the treatment and/or monitoring system is completed and the
system is operating as intended;
- If the RA includes remedy components other than groundwater, construction
activities are complete and cleanup goals specified in the ROD have been
achieved for these components;
A contract final inspection or equivalent has been conducted;
Institutional controls, if applicable, are in place; and
The Interim Remedial Action Report contains the information described in "Close
Out Procedures for National Priorities List Sites."
Note: When an Interim RA Report is prepared as indicated above, a Final RA Report is later required once
cleanup goals for the groundwater or surface water restoration are achieved.
Final Remedial Action Report
Criteria for approval of the Final Remedial Action Report are:
All construction activities are complete, including site restoration and
demobilization;
All cleanup goals specified in the ROD have been achieved, including ground and
surface water restoration;
- A contract final inspection or equivalent has been conducted;
- Institutional controls, if applicable, are in place; and
The Final Remedial Action Report contains the information described in "Close
Out Procedures for National Priorities List Sites."
The following table provides examples of Remedial Actions and indicates when
Remedial Action Completion can be achieved.
FY 11 SPIM D-37 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
Remedial Action Completion Examples
Example RA
RA Complete
Excavation and off-site disposal of
contamination.
After all wastes have been excavated, removed from the
site to an approved location, site has been restored,
cleanup goals have been achieved, and the Final RA
Report is approved. Since wastes have been removed,
no O&M activities for this remedy are expected.
On-site treatment of wastes, other than
groundwater or surface water, to achieve cleanup
goals (e.g., soil vapor extraction, bioremediation,
incineration).
After cleanup goals have been achieved for the treated
wastes, site has been restored, and the Final RA Report
is approved. Since wastes have been treated to achieve
cleanup levels, no O&M activities for this remedy are
expected.
Containment remedies (e.g., caps, flood/erosion
control measures, barrier walls, leachate
collection/treatment measures, groundwater
measures to capture or prevent migration of
plume, or surface water interception/diversion
measures).
After construction of the designed remedy is complete,
cleanup goals have been achieved, and the Final RA
Report is approved. O&M activities follow.
Groundwater and surface water restoration
remedies that involve active treatment to reduce
contaminant concentrations to meet cleanup
goals.
After construction of the treatment plant and monitoring
system are completed, the plant/system is operating as
intended, and the Interim RA Report is approved. O&M
activities follow. The Final RA Report is prepared when
cleanup levels are achieved.
Groundwater and surface water restoration
remedies where restoration is later determined to
be technically impracticable (TI waiver).
After ROD Amendment has documented the TI waiver,
other cleanup goals have been achieved and Final RA
Report is approved. O&M activities may follow if
further monitoring is needed.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
This is a program target. RA or CMI (Action Name = FF RA or Corrective Measure
Implementation) completions are reported site specifically in CERCLIS. An action
qualifier must be entered into WasteLAN indicating the RA was completed via an
Interim or Final RA Report (Action Qualifier = Interim RA or Final RA).
October 1,2010
D-38
FY11 SPIM
-------
OSWER Directive 9200.3-14-1G-V
EXHIBIT D.2: REMEDIAL PIPELINE FLOW CHARTS
Treatment and Off-site Disposal Remedies Pipeline
' R
Fl
RA R
•
RA ;
3f example; bioremedtatton, SVE OPS
ial
eport
(no O + M requrtedj
Ft
RA R
1
. RA .
lal
eport
f
0 + M
{ns need for OPS}
Ground Water and Surface Water Restoration Pipeline
and Monitored National Attenuation
Interim
RA Report
Final RA Report
(C)eaoup Go-als
Achieved)
RA
OPS
OPS= Operating Properly & Successfully and applies onlty to BRAG sites,
q. Removal or RCRA Interim/Stabilization Measure (ISM) Starts and Completions
Definition:
Removal actions are defined 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. ISMs are defined as RCRA removal
actions that are intended to abate threats to human health and the environment from
releases and/or to prevent or minimize the further spread of contamination while long
term remedies are pursued. Regions need to report removal actions conducted in response
to emergency, time critical, and non time critical (NTC) situations at BRAC, non NPL or
NPL sites. Under the Defense Environmental Restoration Program (DERP), DoD is
required to notify EPA of its removal actions. Long term O&M should not be conducted
under the removal.
FY 11 SPIM
D-39
October 1,2010
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OSWER Directive 9200.3-14-1G-V
Definition of Accomplishment:
Removal/ISM Start Date: Date the federal agency begins actual on site removal work, or
the date of Action Memorandum signature, or the date the lead federal agency provides
notice to EPA, or other decision document signature/approval. The date must be reported
in CERCLIS as the actual start date (Actual Start) of the removal (Action Name = FF
Removal) or ISM (Action Name = RCRA Interim/Stabilization Measure).
Removal/ISM Completion Date: Actual date the federal agency has demobilized and
notified EPA, completing the scope of work delineated in the Action Memorandum or
other decision document. The date must be reported in CERCLIS as the actual
completion date (Actual Complete) of the removal (Action Name = FF Removal), or ISM
(Action Name = RCRA Interim/Stabilization Measure).
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
None
r. Migration of Contaminated Ground Water Under Control
Definition:
The Migration of Contaminated Ground Water Under Control indicator assesses whether
ground water contamination is below protective, risk-based levels or, if not, whether the
migration of contaminated ground water is stabilized and there is not unacceptable
discharge to surface water and monitoring will be conducted to confirm that affected
ground water remains in the original area of contamination. This indicator is limited to
sites with known past and/or present ground water contamination.
The Summary of Key Existing EPA CERCLA Policies for Groundwater Restoration
provides a compilation of some key existing EPA groundwater policies to assist EPA
Regions in making groundwater restoration decisions pursuant to CERCLA and the NCP.
In addition, by providing this information in a single document, it may serve to enhance
the transparency and understanding, by the public, state regulators and others, of EPA's
clean up decisions related to groundwater. This memorandum brings together and
highlights some of the basic principles related to groundwater restoration that are
articulated in multiple existing Agency guidance documents, including those related more
generally to cleanup actions. The document can be found at
http://www.epa.gov/superfund/health/conmedia/gwdocs/pdfs/9283 l-33.pdf
Definition of Accomplishment:
The criteria for determining if ground water migration is controlled are found in the
Migration of Contaminated Ground Water Under Control Survey (refer to Exhibit D.3),
the Superfund Environmental Indicators Guidance Human Exposures Revisions (March
2008) http://www.epa.gov/superfund/accomp/ei/pdfs/fmal eiguidance march 2008.pdf
the Long-Term Human Health Protection Data Quality Objectives document, and on the
Superfund Environmental Indicators Website.
October 1,2010 D-40 FY11SPIM
-------
OSWER Directive 9200.3-14-1G-V
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
The Migration of Contaminated Ground Water survey must be completed and/or
reviewed by October 7th of each year in CERCLIS to reflect the status at each site as of
the end of the prior fiscal year (Program Management/ Environmental Indicators).
EXHIBIT D.3: SUPERFUND MIGRATION OF CONTAMINATED GROUND WATER UNDER
CONTROL WORKSHEET
Hi sj HI l' ^ n . >' *!i!t^» i 1*3 i sm r< ^ \ ,'M* ~ ' i-j ^ <. •
>i It •*„ I,- .Ik,
r u ikt *> M *kJ r (i u
1 I I K I - T ,
Ss1e Iclcmicc IKK'time ill
x^' i i P
s>, p « t 0 i'ic .WHjr,,. ii
,.i.f hL n j. '"- ,,ii,,
IV >• Ji u " ' K •! i->*nl I
I ',1 . i Hi.-i" , >'
IVS(»l(tl-'VI'IMT4,
Tv^
YKS, Sue I.Joc» M«t IVfinidtm
FY 11 SPIM
D-41
October 1,2010
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OSWER Directive 9200.3-14-1G-V
s. Long-Term Human Health Protection Indicator
Definition:
The Long-Term Human Health Protection indicator documents the progress achieved
towards providing long-term human health protection by measuring the incremental
progress achieved in controlling unacceptable human exposures at a site. "Unacceptable
human exposures" are potential exposures associated with complete human exposure
pathways that present an unacceptable risk" pathways by which an individual could
reasonably be exposed to a hazardous substance, pollutant, or contaminant at levels that
could result in injury, disease, or death. Unacceptable human exposures can be controlled
by:
- Reducing the level of contamination associate with complete exposure pathways
to the point where the exposure is no longer "unacceptable" and
Controlling or eliminating contaminant migration to human receptors, preventing
human receptors for contracting contaminants in-place, or controlling human
receptor activity patterns (e.g., by reducing the potential frequency or duration of
exposure).
The Progress Categories that describe the level of incremental human health protection
achieved at a site are as follows:
- Insufficient data to determine human exposure control status;
- Current human exposures not controlled;
- Current human exposures controlled;
- Current human exposures controlled and protective remedy in place; and
- Long-term human health protection achieved.
Definition of Accomplishment:
The criteria for determining the status of long-term human health protection at a site are
found in the Superfund Environmental Indicators Guidance Human Exposures Revisions
March 2008 http://www.epa.gov/superfund/accomp/ei/pdfs/final_eiguidance_march_2008.pdf.
the Long-Term Human Health Protection Data Quality Objectives document, and on the
Superfund Environmental Indicators Website.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
For Federal facility NPL sites this is a GPRA target. The Long-Term Human Health
Protection worksheet must be completed in CERCLIS and/or reviewed by October 7th of
each year to reflect the status at each site as of the end of the prior fiscal year (Program
Management/Environmental Indicators).
October 1,2010 D-42 FY11SPIM
-------
OSWER Directive 9200.3-14-1G-V
EXHIBIT D.4. SUPERFUND LONG-TERM HUMAN HEALTH PROTECTION WORKSHEET
Human Exposure Evaluation Flowchart
Site Name:
Date:
Estimated Current HE Under Control Date:
Estimated Current l,"l HUP Under Control Date:
RPM Certified:
Exposure Paragraph for HE "Not Under Control" or "Insufficient Data" Sites is Entered in CERCLIS?
Yes: (date) No:
1, Is there sufficient known and reliable information to
make an evaluation on human exposure at this site?
Response:
Yes
2. Have all long-lemi human exposure-related cleanup
goals been met for the entire site?
Response:
No
3. Are there complete huimm exposure pathways
between contaminated ground water, soil, surface water,
sediment or air media and human receptors such that
exposures can be reasonably expected under current
conditions?
Response:
Yes
4 Are the actual or reasonably exacted human
exposures associated with the complete pathways
identified in Step 3 within acceptable limits under current
conditions?
Response:
Yes
Insufficient ])iil;i to
Determine II unian
Exposure Control Status
(1IE1D)
Yes
Current Human
Exposures Under Control
and Ijmg-Term Human
Health Protection
Achieved (HIIPA)
Resulting Current Human Exposure
Evaluation:
Current Human
Exposures Not Under
Control (IIKNC)
5. Is the site Construction Complete, is the remedy
operating as intended, and are engineering and
institutional controls (if required), in place and effective1
Response:
If one or
more
criteria from
Step 5 are
not met
Current Human
Exposures I inter Control
(HE1JC)
If all
criteria
from Step
5 are met
Current Human
Exposures Under Control
and Protective Remedies
in Place (HEPR)
FY 11 SPIM
D-43
October 1,2010
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OSWER Directive 9200.3-14-1G-V
t. Operation and Maintenance (O&M)
Definition:
O&M are the activities required to maintain the effectiveness or integrity of the remedy
including institutional controls. Except in the case of groundwater or surface restoration
remedies, including monitored natural attenuation, O&M measures are initiated after
cleanup goals are achieved, and the remedy is operating as intended. In the case of
groundwater or surface water restoration remedies, including monitored natural
attenuation, O&M measures are initiated when the remedy is operating as intended.
O&M (Action Name = Operations and Maintenance) starts when the designated EPA
Regional Official (Branch Chief or above, as determined by the EPA region) approves in
writing the Interim or Final Remedial Action Report.
Where appropriate, the completion of O&M is defined as the date (actual complete)
specified in the FFA/IAG. If O&M must be conducted indefinitely, regions should not
enter as actual completion date.
Changes in Definition for FY10 - FY11:
None
Special Planning/Reporting Requirements:
This is a program measure.
u. Cleanup Objectives Achieved
Definition:
This measure is used to indicate when cleanup objectives are achieved for groundwater
and surface water restoration, including monitored natural attenuation. It tracks
achievement of cleanup objectives for these remedies because they have not yet achieved
cleanup objectives at Remedial Action completions.
Definition of Accomplishment:
Cleanup objectives are achieved when the designated Regional Official (Branch Chief or
above) approves in writing the Final Remedial Action Report. This report should update
information previously prepared in the Interim Remedial Action Report. For more
detailed information, see OSWER Directive 9320.2-09A-P, "Close Out Procedures for
Completion and Deletion of National Priorities List Sites."
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
Cleanup Objectives Achieved is planned on an action specific basis (Action Name =
Operations & Maintenance and SubAction Name = Cleanup Goals Achieved) in
CERCLIS.
October 1,2010 D-44 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
v. NPL Site Construction Completions
Definition:
Construction at a NPL site is considered complete when physical construction is
complete for the entire site as a result of one or several removal or remedial actions; and
a Preliminary or Final Close Out Report (PCOR or FCOR) has been signed by the
designated Regional official and concurred with by HQ. The report must address
construction activities for the entire site. There is only one NPL site construction
completion per NPL site, and the site must be final on the NPL. For more detailed
information, see OSWER Directive 9320.2-09A-P, "Close Out Procedures for National
Priorities List Sites."
Definition of Accomplishment:
The following table explains coding and accomplishment requirements.
NPL Site Construction
Completion
Examples of last OU or
activity
When Construction is Complete
Coding Requirements
1) Excavation and off-site
disposal of contamination,
2) On-site treatment of
wastes (except for
groundwater restoration,
bioremediation or soil
vapor extraction), or 3)
Containment remedies.
Pre-fmal inspection has been conducted,
only minor punch list items remain, and the
designated Regional official has signed the
Preliminary or Final Close-Out Report
(PCOR or FCOR).
The region enters completion date of the
report into CERCLIS as the actual
completion date (Actual Complete) of
the Preliminary Close-Out Report
(Action Name = Prelim Close-Out Rep
Prepared), or the actual completion date
(Actual Complete) of the Final Close-
Out Report (Action Name = Close Out
Report) AND HQ enters the
Construction Completion indicator into
CERCLIS. This action constitutes HQ
concurrence with the PCOR or FCOR
documentation.
In-situ bioremediation, ex-
situ bioremediation, or soil
vapor extraction.
Treatment unit has been constructed, is
operating as designed, studies show that
technology will achieve cleanup goals, and
the designated Regional official has signed
the PCOR.
Interim action RODs for
groundwater restoration to
reduce contaminant
concentrations to meet
cleanup goals.
Remedy is documented in final ROD,
physical construction of the remedy is
complete, and the designated Regional
official has signed the PCOR.
RODs with contingency
remedies
Physical construction of the remedy is
complete, a pre-final inspection has been
conducted, only minor punch list items
remain, the PCOR or FCOR demonstrates
that use of the contingency is not
anticipated, and the designated Regional
official has signed the PCOR or FCOR.
FY 11 SPIM
D-45
October 1,2010
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OSWER Directive 9200.3-14-1G-V
NPL Site Construction
Completion
Examples of last OU or
activity
When Construction is Complete
Coding Requirements
Sites deleted from the NPL
prior to reaching
Construction Completion.
When (1) EPA determines that all physical
construction is complete under all statutory
authorities, and (2) all other applicable
construction completion policy criteria
have been satisfied.
Consistent with requirements for final
NPL sites.
Sites requiring no remedial
action or no further
remedial action in the last
OU. This includes
groundwater monitoring if
that is the only activity
specified in the ROD.
No action or no further action ROD has
been signed, and the designated Regional
official has signed the PCOR or FCOR. No
Action RODs will not be accepted for
Construction Completion.
The region enters the completion date of
the report into CERCLIS as the actual
completion date (Actual Complete) of
the PCOR (Action Name = Prelim
Close-Out Report Prepared) or the
actual completion date (Actual
Complete) of the Final Close-Out
Report (Action Name = Close Out
Report). AND HQ enters the
Construction Completion indicator into
CERCLIS. This action constitutes HQ
concurrence with the PCOR or FCOR
documentation.
Institutional controls as the
only remedy in the ROD.
The PCOR indicates that the institutional
controls are in the schedule for site
completion, and the designated Regional
official has signed the PCOR. If
institutional controls have been
implemented, region can go directly to
FCOR.
NPL site entirely
addressed through removal
actions. For removals with
institutional controls, see
above.
Actual date the federal agency has
demobilized and notified EPA, completing
the scope of work delineated in the Action
Memorandum or other decision document.
The date must be reported in CERCLIS as
the actual completion date (Actual
Complete) of the removal (Action Name =
FF Removal), or ISM (Action Name =
RCRA Interim/Stabilization Measure).
The region enters the following into
CERCLIS: The removal (Action Name
= Removal Action or PRP Removal)
actual completion date (Actual
Complete) as reported in the POLREP;
and the Qualifier that indicates that the
site is Cleaned Up; and the actual
completion date (Actual Complete) of
the Final Close-Out Report (Action
Name = Close Out Report); AND HQ
enters the Construction Completion
indicator into CERCLIS. This action
constitutes concurrence with the FCOR
documentation.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
Regions will not receive credit for an NPL Site Construction Completion until the actual
completion date of the Preliminary or Final Close-Out Report is entered into CERCLIS,
October 1,2010
D-46
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
the necessary documentation is submitted to HQ, and HQ enters the construction
completion indicator into CERCLIS. This is a GPRA target.
w. Federal Facility Partial NPL Deletion
Definition:
To support revitalization and other efforts, EPA will consider partial deletion for portions
of sites when no further response is appropriate for that portion of the site. Such portion
may be a defined geographic unit of the site, perhaps as small as a residential unit, or may
be a specific medium at the site (e.g., groundwater), depending on the nature or extent of
the release(s). The criteria for partial deletion are the same as for final deletion. Given
State concurrence, EPA considers:
- Whether responsible Federal agencies or other parties have implemented all
appropriate and required response actions;
Whether all appropriate Fund financed responses under CERCLA have been
implemented and EPA has determined that no further cleanup by responsible
parties is appropriate; or
- Whether the release of hazardous substances poses no significant threat to the
public health, welfare or the environment, thereby eliminating the need for
remedial action.
The partial deletion action should be used only when the deletion does not address all
releases listed on the NPL. If a deletion does cover the remaining release listed on the
NPL, the action should be treated as a Final NPL Deletion (Action Name = Deletion from
NPL), discussed below.
Definition of Accomplishment:
The partial NPL deletion process begins when a Notice of Intent to Partially Delete
(Action Name = Notice of Intent to Partially Delete) is published in the Federal Register
for the specified portion of a site on the NPL. Notice of Intent to Partially Delete is
completed (Actual Complete) the day the Federal Register is published. If the Direct
Final Process for Partial Deletions is used, the process begins when the Direct Final
Action Notice is published in the Federal Register (Action Name = Notice of Intent to
Partially Delete).
The partial NPL deletion process (Action Name = Partial NPL Deletion) is complete
(Actual Complete) when the Notice of Partial Deletion is published in the Federal
Register for the specified portion of a site on the NPL. If the Direct Final Process for
Partial Deletions is used and the comment period has ended with no adverse comments,
the actual completion (Actual Complete) is the effective date of deletion specified in the
Direct Final Action Notice.
Start dates are not required for either the Notice of Intent to Partially Delete (NOIPD) or
the Partial NPL Deletion actions. The completion of the NOIPD action signifies the start
of the partial deletion action.
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OSWER Directive 9200.3-14-1G-V
HQ will enter the Partial Deletion and the Notice of Intent to Partially Delete from the
NPL actions and the completion dates into CERCLIS.
For more detailed information, see OSWER Directive 9320.2-09A-P, "Close Out
Procedures for National Priorities List Sites."
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
Partial NPL deletions are tracked separately from final NPL deletions (Action Name =
Deletion from NPL). Partial site deletions will be entered by HQ if a portion, or portions,
of the release remain listed on the NPL following completion of the partial deletion.
Partial deletions will only be coded at specific Operable Units (OUs) when a single OU is
subject to the partial deletion and the particular OU is specified in the Notice of Intent to
Partially Delete in the Federal Register. Partial deletion actions that address multiple
OUs or areas that do not directly correspond to a specific OU will be coded at OUOO
(sitewide).
A site deletion (Action Name = Deletion from NPL) will be entered by HQ if the deletion
activity addresses all remaining releases listed on the NPL (either as a one time deletion
action for the entire site as originally listed, or as the last deletion activity associated with
a site subject to previous partial deletions). This is a program measure.
x. Federal Facility Final NPL Deletion
Definition:
With State concurrence, EPA may delete sites from the NPL when it determines that no
further response is appropriate under CERCLA. In making that determination, EPA
considers:
Whether responsible Federal agencies or other parties have implemented all
appropriate and required response actions;
Whether all appropriate Fund financed responses under CERCLA have been
implemented and EPA has determined that no further cleanup by responsible
parties is appropriate; or
- Whether the release of hazardous substances poses no significant threat to the
public health, welfare or the environment, thereby eliminating the need for
remedial action.
EPA will consider deleting the entire site or portions of sites from NPL, as appropriate.
EPA will consider partial deletion for portions of sites when no further response is
appropriate for that portion of the site. Such portions may be a defined geological unit of
the site, or may be a specific medium at the site. If a decision does cover the remaining
release listed on the NPL, the action should be treated as a Final NPL Deletion. State
concurrence is required for any deletion.
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OSWER Directive 9200.3-14-1G-V
Definition of Accomplishment:
The deletion process for the entire site (Action Name = Notice of Intent to Delete from
the NPL) starts (Actual Start) when a Notice of Intent to Delete is published for the
Federal Register. If the Direct Final Process is used, the process begins when the Direct
Final Action Notice is published in the Federal Register (Action Name = Notice of Intent
to Delete).
The deletion process for the entire site (Action Name = Deletion from the NPL) is
complete (Actual Complete) when the Notice of Deletion is published in the Federal
Register. If the Direct Final Process is used and the comment period has ended with no
adverse comments, the actual completion (Actual Complete) is the effective date of
deletion specified in the Direct Final Action Notice.
Start dates are not required for either the Notice of Intent to Delete (NOID) or the
Deletion from the NPL actions. The completion of the NOID action signifies the start of
the deletion action.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
The Action, Final Deletion from the NPL, will be used whether deletion is accomplished
through the Notice of Deletion or the Direct Final Action Notice. When the Notice of
Deletion is published or the date of deletion is effective, HQ will change the NPL Status
in CERCLIS to "Deleted from Final NPL." This is a program measure.
y. Federal Facility Five-Year Reviews
Definition:
A Five Year Review is a review of remedial action(s) selected under CERCLA Section
121(c). The purpose of the Five Year Review is to determine whether the remedy at a site
is/remains protective of human health and the environment and to evaluate the
implementation and performance of the selected remedy. Where remedial actions are still
under construction, a Five Year Review determines whether immediate threats have been
addressed and whether EPA continues to expect the remedy to be protective when all
remedial actions are complete. EPA conducts statutory reviews of any site at which a
post-SARA remedy, upon attainment of cleanup levels specified in the ROD, will not
allow for unlimited use and unrestricted exposure. EPA conducts policy reviews at sites
where remedial actions will attain cleanup levels that, upon completion will allow for
unlimited use and unrestricted exposure but will take longer than five years to complete,
at sites with pre-SARA remedies at which cleanup levels do not allow for unlimited use
and unrestricted exposure, and at NPL removal only sites where cleanup levels do not
allow unlimited use and unrestricted exposure.
In July 2009, the EPA Office of Inspector General (OIG) investigated Federal facility
five-year reviews. The purpose of the review was to determine how issues and
recommendations are tracked and implemented; determine whether unimplemented
issues and recommendations affect compliance; and what affect do unimplemented issues
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OSWER Directive 9200.3-14-1G-V
and recommendations have on the protectiveness of the remedy. In June 2010, the OIG
issued its final report with eight recommendations. The OIG recommended that EPA
implement improved management controls to monitor the completion of the
recommendations; ensure that reviews are submitted every five years, improve the
monitor of nonconcurrence, clarify and describe enforcement tools, and improve data
quality. OSWER/OECA responded and agreed with every recommendation.
OSWER/OECA will issue a joint policy memorandum to our Regions that will
implement the recommendations in the OIG report. Also, we will incorporate more
discussion about five-year reviews during the mid-year and end-of- the-year work
planning meetings.
Definition of Accomplishment:
Federal Facility Five-Year Review Starts - Credit is given for a five-year review start
when EPA approves the five-year review work plan submitted by the other federal
agency, or when the Federal facility actually starts the review or submits the draft
document for review, as outlined in the ROD or IAG. The actual start date (Actual Start)
for the five-year review (Action Name = FF FYR) must be entered into CERCLIS. There
are multiple triggers for five-year reviews. Please reference policy to select the
appropriate method for calculating the five-year review date.
Federal facility Five-Year Review Planned Completions - The FF FYR planned
completion date and the report due (SubAction Name = FYR Report Due) date are
system generated based on the Five-year review type entered at the time of ROD
completion.
Statutory: The FF FYR and FYR Report Due planned completion date fields are
populated for five years after the Federal facility RA action planned start date. Both the
FF FYR planned completion date and the FYR Report Due planned completion date will
be updated by the system based on changes to the planned or actual start dates for
triggering FF RA action. The FF FYR planned completion date will be editable. The FYR
Report Due planned completion date will be greyed out and uneditable and will be locked
once the actual start date for the FF RA is entered.
Policy: The FF FYR and FYR Report Due planned completion dates are populated for
five years after the PCOR or FCOR planned completion date. Both the FF FYR planned
completion date and the FYR Report Due planned completion date will be updated by the
system based on changes to the planned or actual completion dates for the triggering
PCOR or FCOR. The FF FYR planned completion date will be editable. The FYR Report
Due planned completion date will be greyed out and un-editable and will be locked once
the actual completion date of the PCOR or FCOR is entered.
Federal Facility Five-Year Review Actual Completions - The five-year review is
complete on the date the designated Regional official either signs the five-year review
report stating whether the remedy is, or is not, protective of human health and the
environment, or has concurred on the five year review report, or has made their own
protectiveness determination. The actual completion date (Actual Complete) for the five-
year review (Action Name = FF FYR) must be entered into CERCLIS. Situations do
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occur where multiple NPL sites are covered under a single five-year review report. In
these situations the date of the report will be used to signify the completion of the five-
year review for each of the NPL sites.
Five-Year Review Addendum Subaction, Planned Completion Date - The five-year
review addendum (Subaction name = FYR Addendum) planned completion date is
system generated based on the date entered into the five-year review protectiveness
determination tab in the "Planned Date of Addendum" text box for sites that have a
"Protectiveness Deferred" OU-specific or sitewide determination. The five-year review
addendum planned completion date will be editable.
Five-Year Review Addendum Subaction, Actual Completion Date - The five-year review
addendum is complete on the date the designated regional official signs the five-year
review addendum stating a new protectiveness determination of all remedies that have
deferred protectiveness determinations. The actual completion date (actual completion)
for the five-year review addendum subaction must be entered into CERCLIS.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
Five-year Review completion is a program target. Five-year review completions must be
planned and reported site-specifically (Action Name = FF FYR) in CERCLIS. The
trigger for a statutory five-year review is the actual start date of the FF RA Start.
A new five-year review module was implemented in CERCLIS on June 26, 2006. While
the data that is being captured is the same, there are several noticeable differences.
In CERCLIS there is now:
A five-year review addendum subaction for completed reviews with
protectiveness deferred statements,
- The ability to add a new five-year review through the project schedule,
- No ROD data association,
- The ability to update a trigger on a planned five-year review,
- The ability to modify the five-year review type on a planned review,
- The ability to associate issues/recommendations with the correct OU and response
action,
The ability to enter/track more than one five-year review with multiple OUs,
- The Comment tab will be used to provide information on the review status of the
report, Comments on draft five-year review reports and delivery dates of draft and
final reports can also be added to the Comment tab.
Required five-year review information that must be entered for Federal facility
sites in order to receive SCAP credit:
* Five-year review completion date
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OSWER Directive 9200.3-14-1G-V
* Protectiveness determination at each OU
* Protectiveness statement at each OU
* Generate next five-year review (select 'No' if no further reviews are necessary)
* Issues and recommendations (everything on the
"Add/Edit/Delete/Issue/Recommendation" window is required except for the
text boxes on the right hand side, as they are only required when 'other' is
selected, and the "Status Comment" box is optional). If the protectiveness
statement is anything less than 'Protective,' then the five-year review must
have a recommendation. However, if 'Protective' is selected then a
recommendation is not required.
D.B.4 Community Involvement Definitions
The following section contains Community Involvement requirements for Federal
Facilities. Community Involvement requirements for non-Federal facility sites are included in
Appendix H.
a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs)
Definition:
Site-Specific Advisory Boards (SSABs) are a forum for concerned stakeholders to
provide advice and recommendations on DOE's Environmental Management strategic
decisions. Restoration Advisory Boards (RABs) provide a forum through which members
of nearby communities can provide input to DoD's environmental restoration program.
RABs and SSABs complement other community involvement activities, such as public
meetings, mailings, and local information repositories.
Definition of Accomplishment:
RAB/SSAB Start (Established) Date: The actual start date of the RAB/SSAB is defined as
the actual start date (Actual Start) of the initial RAB/SSAB information meeting
(SubAction Name = Site-Specific Advisory Board Meeting or SubAction Name =
Restoration Advisory Board Meeting).
RAB Completion (Adjourned) Date: The actual completion (Actual Complete) date of the
Restoration Advisory Board (SubAction Name = Restoration Advisory Board) is the date
the RAB is adjourned by DoD (SubAction Name = Restoration Advisory Board).
SSAB Completion (Terminated) Date: The actual completion (Actual Complete) date of
the Site-Specific Advisory Board (SubAction Name = Site-Specific Advisory Board) is
the date the SSAB is terminated by the Secretary of Energy (SubAction Name = Site-
Specific Advisory Board).
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
This is a program measure. The data management approach for tracking the adjournment
of RABs and the termination of SSABs is still under development. Site Specific Advisory
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OSWER Directive 9200.3-14-1G-V
Board Meeting and Restoration Advisory Board Meeting are valid SubActions under
Federal facility Community Relations.
b. Technical Assistance Grants (TAGs)
Definition:
The Superfund Amendments and Reauthorization Act of 1986 (SARA) established the
TAG program to provide technical assistance to eligible communities. This technical
assistance allows communities to improve the decision making process at their sites.
Definition of Accomplishment:
The start of the TAG (Action Name = Technical Assistance Grant) is the date the award
document is signed by the regional award official. For Superfund programmatic
purposes, the completion of the TAG is the ending date of the budget and project period
as documented in the award document; as documented in the one year extension
document; as documented in a time period extension document; or as documented in
other documents, such as a memo to the file prepared by the TAG coordinator to
document these decisions. The planned or actual completion date in CERCLIS
(whichever is applicable) must be changed to reflect the date of the most recent source
document, e.g., award document, one-year extension document, memo to the file, etc.
These definitions may be applied to all historical CERCLIS data, including data prior to
FY 89, which is the first fiscal year TAG appeared in the SPEVI. In addition, the TAG
completion definitions from previous years may also be used for TAGs completed within
those years.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
TAG is a program measure. Planned start and completion dates are required in
CERCLIS. Funds may be planned site-or non-site specifically; however, they must be
obligated site specifically. Funds for TAGs at Federal facility sites are contained in the
Federal facility budget and found in the Federal facility AOA.
D.B.5 Cross Program Revitalization Measures (CPRM)
a. Sitewide Ready for Anticipated Use
Definition:
The Sitewide Ready for Anticipated Use (RAU) measure reports sites documented as
ready for anticipated use where, for the entire construction complete final or deleted NPL
site:
- All cleanup goals in the Record(s) of Decision or other remedy decision
document(s) have been achieved for media that may affect current and reasonably
anticipated future land uses of the site, so that there are no unacceptable risks; and
All institutional or other controls required in the Record(s) of Decision or other
remedy decision document(s) have been put in place.
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OSWER Directive 9200.3-14-1G-V
For more information about this measure, please refer to OSWER 9365.0-36, "Guidance
for Documenting and Reporting the Superfund Sitewide Ready-for-Reuse Performance
Measure" and OSWER 9200.1-74, "Guidance for Documenting and Reporting
Performance in Achieving Land Revitalization"
(http://www.epa.gov/fedfac/sf_ff_fmal_cprm_guidance.pdf).
Definition of Accomplishment:
A site meets SWRAU when a hard copy checklist has been completed, signed by a
regional approving official, submitted to headquarters, the entire site meets the criteria
established in the guidance, and HQ has approved the action in CERCLIS. All acres that
are part of the Superfund site universe must be documented as RAU within CERCLIS
prior to the region's submission of a property reuse evaluation checklist. The SWRAU
date entered into CERCLIS should be the signature date on the Checklist of the regional
reviewing official.
This measure is based on current site conditions. Therefore, instances do occasionally
occur when a site, which is already SWRAU, will no longer meet the criteria. In these
instances, the regions are required to complete a SWRAU retraction form, have it signed
by a regional approving official, submit it to HQ, and enter the retraction date into
CERCLIS. HQ will then approve this action in CERCLIS.
Changes in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
The Sitewide RAU measure is for construction complete Superfund final and deleted
NPL sites only. Regions will submit completed Checklists for the Sitewide RAU measure
to Headquarters for approval before the reported site may be counted to meet the GPRA
target for this measure. The Sitewide RAU completion date that is entered into CERCLIS
should be the exact date that the Regional approving official signs the hard-copy Sitewide
RAU Checklist form. Regions began reporting Sitewide Ready for Reuse sites in FY
2006. In FY 2007, the name of the measure was changed to Sitewide Ready for
Anticipated Reuse. This is a GPRA annual performance goal. EPA will continue to track
the Sitewide RAU measure as a discrete measure with targets.
The determination that a site is Sitewide RAU is based on the information available at the
time the determination is made. That determination may revert if site conditions change,
or if new or additional information is discovered regarding the contamination at the site.
The site can be re-designated as Sitewide RAU only when the requirements are met. If, at
the time of determination or at any other time, EPA becomes aware of other
environmental problems that pose unacceptable risk relevant to site use or reuse,
including risks addressed under other cleanup or public health authorities, the site should
not be reported under this measure.
A site's CPRM data will only be counted in Superfund totals if the site has the Special
Initiative flag of'CU (CPRM Universe) associated to it at the site level. This flag places
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the site in the Superfund "universe," therefore ensuring that its CPRM data is being
captured.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action Name
= PFP/RAU
Evaluation
Checklist
Activity
Type
Program
Measure
Action
Lead
EP
Documentation
Required
Property Reuse
Evaluation
Documentation
Approval/ Date
Requirements
Signed by
Regional division
director or
designee.
Data Must Be Entered By
It is good management practice to enter
data regarding the event as soon as
practicable after the event occurs.
However, data must be entered prior to
the quarterly pull for the quarter in which
the event occurs. (Generally, the quarterly
pull occurs on the fifth business day
following the end of FYQ1, FYQ2 and
FYQ3, and on the tenth business day
following the end of FYQ4.)
b. Protective for People Under Current Conditions (PFP)
Definition:
This new measure is based on the existing Human Exposures Under Control
Environmental Indicator and reports sites and land area, as measured in acres, which are
protective for people under current conditions.
The PFP performance measure reports the number of sites and acres at which there is no
complete pathway for human exposures to unacceptable levels of contamination, based
on current site conditions. Reporting on a particular site for this measure should be based
on an understanding of current conditions, presence and toxicity of contamination, routes
of contaminant migration (e.g., vapor intrusion), and routes of exposures to humans (e.g.,
dermal, inhalation, ingestion).
Achieving the PFP measure means, at a minimum, that all identified human exposure
pathways from contamination at the site are under control or possible exposures are
below health-based levels for current land use conditions. "Under control" means that
adequately protective controls are in place to prevent any unacceptable human exposure
under current land use conditions. Achieving the PFP measure does not involve
consideration of future use conditions or ecological receptors. The PFP measure can be
achieved through temporary solutions based on current conditions and associated
exposures at a given point in time, and does not necessarily require that all cleanup goals
be met at a site or OU or property transfer parcel.
For the purposes of this measure, the entire site or individual OUs at a site can be counted
so long as the criteria are met for those areas. At property transfer sites (e.g., BRAC
facilities), EPA may evaluate property transfer parcels, instead of OUs, within a property
transfer document, such as a FOSL and FOSET. Such parcels should meet PFP, as often
the FOSL and FOSET address immediate, not necessarily long-term, property use. The
term "property transfer parcel" is equivalent to the term "OU" when capturing acres for
the PFP measure.
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For the purposes of this measure, a site or OU will achieve the PFP performance measure
when it can be determined that the entire area comprising the site or OU meets any one of
the three possible designations for the current Human Exposures Under Control
Environmental Indicator, which currently apply to NPL sites only. The current
Environmental Indicators Guidance is included in Appendix B. The three designations in
the existing Human Exposures Under Control Environmental Indicator that ensure acres
meet PFP include:
- Current Human Exposures Under Control;
- Current Human Exposures Controlled and Protective Remedy in Place; or
Long-Term Human Health Protection Achieved.
Note that an OU, parcel, or entire site may meet PFP if the ground water is contaminated
yet no human exposure pathways exist, and the soil above the plume has been
investigated to ensure it meets PFP, or is safe for human exposure. It should also be noted
that a site may have several OUs or parcels with different designations, some of which
have met PFP criteria, some of which have also met RAU criteria, and some of which do
not meet either performance measure (i.e., are not protective).
The total number of sites with one or more OUs meeting the PFP measure will be
determined from information recorded in CERCLIS and routinely reported for
management and communication purposes.
Definition of Accomplishment:
Acres can be claimed as Protective for People Under Current Conditions when all
identified human exposure pathways from contamination at the site or individual
OUs/parcels are under control or possible exposures are below health-based levels for
current land use conditions.
The Protective for People designation is achieved when one of the following occurs:
1. PFP/RAU Checklist: The date that EPA completes (Actual Completion Date) and
saves the data on the Checklist form, or the date a user revises a completed form
(Action Name = PRP/RAU Evaluation Checklist).
2. FOSET: The date (Actual Completion Date) the appropriate regional official signs
a letter, form, or memo stating that EPA has completed its review and provided
comments or concurrence on the early transfer document(s) (Action Name =
FOSET).
3. FOSL: The date (Actual Completion Date) the appropriate regional official signs
a letter, form, or memo stating that EPA has completed its review and provided
comments or concurrence on the lease document(s) (Action Name = FOSL).
Change in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
None
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Data Entry Timeliness Requirement:
SPIM Action/
Activity
Action Name
= PFP/RAU
Evaluation
Checklist
FOSET
FOSL
POST
Activity
Type
Program
Measure
Program
Measure
Program
Measure
Program
Measure
Action
Lead
EP
FF
FF
FF
Documentation
Required
Checklist Form
Transfer Document
Lease Document
Transfer
Document
Documentation
Approval/ Date
Requirements
Signed by
Regional division
director or
designee.
Data Must Be Entered By
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
entered prior to the quarterly pull
for the quarter in which the event
occurs. (Generally, the quarterly
pull occurs on the fifth business
day following the end of FYQ1,
FYQ2 and FYQ3, and on the tenth
business day following the end of
FYQ4.)
c. Ready for Anticipated Use (RAU)
Definition:
Ready for Anticipated Use (RAU) Performance Measure: The RAU performance
measure captures the acreage within sites or OUs that are PFP and meet the following
two additional criteria:
- All cleanup goals have been achieved for media that may affect current and
reasonably anticipated future land uses (or decision documents confirm
uncontaminated acres) for the site or OU such that there is no unacceptable risk,
and
All institutional or other controls identified as part of the response action to help
ensure long-term protection have been put in place.
The definition of this measure as it applies to an entire site is consistent with the Sitewide
RAU measure. Therefore, all sites and acres counted toward the Sitewide RAU measure
will also count toward the RAU measure. In addition, the RAU measure described here
may also include individual OUs and a broader universe of sites (i.e., SA, NTCRA,
certain non-NPL Federal facilities, FUDS, etc) than those included in the Sitewide RAU
measure.
For the purposes of this measure, property transfer parcels (e.g., parcels at some BRAC
facilities) will be evaluated instead of OUs at facilities where EPA has a documented role
in the property transfer. As such, the term "property transfer parcel" is equivalent to the
term "OU" when capturing acres for the RAU measure. The determination that an OU
achieves the RAU measure can occur at any particular point in time and the OUs reported
status should be revised if the site's conditions change or if new or additional information
is discovered regarding the contamination or conditions at the site (e.g., contaminant
occurrence, migration, toxicity levels for specific contaminants, and exposures). If at the
time of the determination, or at any other time, EPA becomes aware of other
environmental problems that pose unacceptable risk relevant to the site or reuse,
including risks addressed under other cleanup or public health authorities, the site should
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not be reported under the RAU measure. Documentation that OUs achieve the RAU
measure should be changed accordingly if, or when, information becomes available that
would bring into question whether the OUs continue to meet the RAU definition. Those
specific acres associated with the OU in question should only be re-recorded as meeting
the RAU measure if and when acres once again meet the RAU definition.
The total number of sites with one or more OUs meeting the RAU measure will be
determined from information recorded in CERCLIS and routinely reported for
management and communication purposes.
For more information about this measure, please refer to the "Guidance for Documenting
and Reporting Performance in Achieving Land Revitalization: The Office of Superfund
Remediation and Technology Innovation (OSRTI) and Federal Facilities Restoration and
Reuse Office (FFRRO)" (http://www.epa.gov/fedfac/sf ff final cprm guidance.pdf).
Definition of Accomplishment:
The RAU performance measure captures the acreage within sites or OUs that are PFP and
meet the following two additional criteria: (1) all cleanup goals have been achieved for
media that may affect current and reasonably anticipated future land uses (or decision
documents confirm uncontaminated acres) for the site or OU such that there is no
unacceptable risk, and (2) all institutional or other controls identified as part of the
response action to help ensure long-term protection have been put in place.
The Total RAU designation at a site or OU is achieved when one of the following occurs:
- PFP/RAU Checklist: The date that EPA completes (Actual Completion Date) and
saves the data on the Checklist form, or the date a user revises a completed form
(Action Name = PRP/RAU Checklist).
FOST: The date (Actual Completion Date) the appropriate regional official signs
a letter, form, or memo stating that EPA has completed its review and provided
comments or concurrence on the transfer document(s) (Action Name = FOST).
User must also attest that ICs are in place via the FOST screen in CERCLIS.
Change in Definition FY10 - FY11:
None
Special Planning/Reporting Requirements:
Universe Indicator: The Universe Indicator seeks to count the total number of acres and
sites that have been investigated at all sites since program inception. In order to be
included in the Universe Indicator, the site should be eligible for investigation under
CERCLA, or as the result of EPA's involvement at BRAC facilities. For sites that are
proposed for, listed on, or deleted from the NPL, or for SA sites, acres included in the
Universe Indicator should be investigated in a manner consistent with the Guidance for
Conducting Remedial Investigations and Feasibility Studies Under CERCLA. Similarly,
NTCRA sites should be investigated in a manner consistent with Guidance on
Conducting Non-Time-Critical Removal Actions Under CERCLA. Both remedial and
NTCRA sites and acres where initial investigations indicate that no unacceptable risks
October 1,2010 D-58 FY11SPIM
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exist, and therefore no further action is required, should be included in the Universe
Indicator.
The Universe Indicator and performance measures apply to the following contaminated
or potentially contaminated media - land, wetlands, surface water, and/or sediments -
provided that media is subject to Superfund and Federal facilities remedial investigation,
oversight, and/or response action. However, the acres captured under the Universe
Indicator do not include land areas overlying a ground water plume where those land
areas are not intended to be assessed consistent with applicable EPA guidance. For
example, if a plume extends under a land area and EPA has no intention of investigating
these acres of land for contamination unrelated to the plume, then those land acres would
not be included in the acreage reported by the Universe measure. By extension, a site
with only ground water contamination would not be captured by the Universe Indicator.
Note that there may also be exceptions in which sites with areas of surface water,
sediments, and/or tidal basins will not automatically be included due to site-specific
circumstances. These types of sites will be dealt with on a case-by-case basis.
Data Entry Timeliness Requirement:
SPIM Action/
Activity
Action Name
= PFP/RAU
Evaluation
Checklist
FOSET
FOSL
POST
Activity
Type
Program
Measure
Action
Lead
EP
FF
FF
FF
Documentation
Required
Checklist Form
Transfer Document
Lease Document
Transfer Document
Documentation
Approval/ Date
Requirements
Signed by
Regional division
director or
designee.
Data Must Be Entered By
It is good management practice to
enter data regarding the event as
soon as practicable after the event
occurs. However, data must be
entered prior to the quarterly pull for
the quarter in which the event occurs.
(Generally, the quarterly pull occurs
on the fifth business day following
the end of FYQ1, FYQ2 and FYQ3,
and on the tenth business day
following the end of FYQ4.)
D.B.6 Cleanup Privatization at BRAC NPL Sites
Definition:
At Department of Defense (DoD) Base Realignment and Closure (BRAC) sites, EPA
recognizes that the privatization of the cleanup, where a developer or other organization
rather than the military conducts the cleanup using funds provided by DoD, can present
an opportunity to integrate redevelopment planning with cleanup. Such privatized
cleanups provides another option to Federal and state agencies and local communities to
help maximize the impact of cleanup and redevelopment resources to help move
properties back into productive reuse more quickly.
Privatization is an early transfer of property. In order to conduct an early transfer of
property, DoD must request a deferral of the covenant required by CERCLA section
120(h)(3)(A)(ii)(I) ensuring that all remedial action necessary has been completed prior
to transfer by the federal government. For NPL installation, EPA and the Governor of the
State must approve such requests.
FY 11 SPIM
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Regions should follow "EPA Guidance on the Transfer of Federal Property by Deed
Before All Necessary Remedial Action Has Been Taken Pursuant to CERCLA Section
(120(h)(3)(Early Transfer Guidance) when reviewing covenant deferral requests from
other federal agencies. Where institutional controls are or will be required as part of the
early transfer, Regions should also consult the "Institutional Controls and Transfer of
Real Property under CERCLA Section 120(h)(3)(A), (B) or (C) Guidance." DoD often
transmits the information used by EPA to review and approve an early transfer through a
Finding of Suitability for Early Transfer (FOSET). EPA's guidance discusses the
requirements found in CERCLA 120(h)(3)(C) and how they are related to EPA approval
of the FOSET and deferral of the covenant.
Definition of Accomplishment:
- Action Memo - EPA signs action memo. (Subaction Name = Approval of Action
Memo(Actual Complete), Action Lead = EP)
FF Removal Start (Private Party Lead) - Private Party and their contractor
mobilize at the site to perform the removal action as documented in a Pollution
Report (Action Name = FF Removal (Actual Start), Action Lead = PP, Critical
Indicator = TC or NTC).
FF Removal Complete (Private Party Lead) - Private Party and their contractor
have completed actions specified in the action memo and have demobilized from
the site as documented in the final Pollution Report.. (Action Name = FF
Removal (Actual Complete), Action Lead = PP, Action Qualifier = Cleaned Up or
Stabilized).
- EE/CA Start (PP Lead) - EPA approves EE/CA Approval Memo. (Action Name =
Engineering Evaluation/cost Analysis (Actual Start), Action Lead = PP)
EE/CA Complete (Private Party Lead) - EPA approves EE/CA Action Memo.
(Action Name = Engineering Evaluation/Cost Analysis, (Actual Complete),
Action Lead = PP)
FF PJ Start or RI/FS Start (Private Party Lead) - Receipt of draft work plan for
RI or RI/FS from the private party. (Action Name = FF RI or FF RI/FS (Actual
Start), Action Lead = PP)
- FF RI/FS Complete (Private Party Lead) - Use date of ROD (Action Name = FF
RI or FF RI/FS (Actual Complete), Action Lead = PP)
Public Comment Period Start (EPA Lead) - Letter transmitting RI/FS reports and
the proposed plan to the site repository for public review, signed by the
appropriate Regional official; OR first page of the approved proposed plan is
included in the site file. (Action Name = Public Comment Period (Start Date),
Action Lead = EP)
Record of Decision (EPA Lead) - EPA approves in writing the ROD. (Action
Name = Record of Decision (Actual Complete), Action Lead = EP). Enter the
same date in the Actual Complete of the FF RI/FS or FF FS.
FF RD Start (Private Party Lead) - Receipt of draft work plan for RD from the
private party. (Action Name = FF RD (Actual Start), Action Lead = PP)
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FF RD Complete (Private Party Lead) - EPA approves RD Report. (Action Name
= FF RD (Actual Complete), Action Lead: PP)
FF RA Start (PrivateParty Lead) - Receipt of draft work plan for RA from the PP.
(Action Name = FF RA (Actual Start), Action Lead = PP)
FF RA Complete (PrivateParty Lead)- EPA approves the Interim or Final RA
Report. (Action Name = FF RA (Actual Complete), Action Lead = PP, Action
Qualifier = Interim RA Report or Final RA Report)
Changes in Definition FY10 - FY11:
None
Special Planning and Reporting Requirements
None
D. C SUBJECT MA TTER EXPERTS
Exhibit D.5. identifies the subject matter experts for Appendix D: Federal Facility
Response
EXHIBIT D.5. SUBJECT MATTER EXPERTS
Subject Matter Experts
Marie Bell
Tencil Coffee
Brendan Roache
Amanda Sutton
Allison Abernathy
Timothy Mott
Doug Maddox
Dianna Young
Subject Area
Budget Execution
Budget Planning
Measures
CERCLIS
ICs/Disputes
RODs/Groundwater
Munitions/UXO
Community Involvement
Phone #
(703) 603-0050
(703) 603-0053
(703) 603-8704
(703) 603-0055
(703) 603-0052
(703) 603-8807
(703) 603-0087
(703) 603-0045
E-Mail
bell.marie(S>,epa. sov
coffee.hortensia(@,epa.sov
roache.brendan(S>epa.sov
sutton.amanda(S>,epa. sov
abernathv. allison(3),epa. sov
mott.timothv(8),epa.sov
maddox.dous(@,epa. sov
vouns. diana(@,epa. sov
FY 11 SPIM
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Superfund Program Implementation Manual FY 11
Appendix E: Information Systems
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OSWER Directive 9200.3-14-1G-V
APPENDIX E: Information Systems
Table of Contents
E.A Information Systems E-l
E.A.1 Purpose of CRECLIS and SDMS E-l
a. Site Assessment E-l
b. Remedy Selection E-2
c. Federal Facilities E-2
d. Community Involvement E-3
e. Removal E-3
f. Enforcement E-3
g. Project Management E-4
h. Program Management E-5
E.A.2 Superfund Data Architecture E-6
E.A.3 Reporting Superfund Information E-7
a. Regional Users E-7
E.A.4 Applicability of the Freedom of Information Act E-8
a. Reports Releasable under Freedom of Information Act (FOIA) E-8
b. Sensitive Information Not Releasable under FOIA E-8
c. Ad Hoc Reporting E-ll
d. Accessing FOIA Information E-l 2
E.A.5 Data Owners/Sponsorship E-13
E.B Data Sponsors E-13
List of Exhibits
Exhibit E.I: Superfund Data Architecture E-7
Exhibit E.2: Data Sponsors E-13
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OSWER Directive 9200.3-14-1G-V
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OSWER Directive 9200.3-14-1G-V
APPENDIX E: INFORMATION SYSTEMS
E.A INFORMATION SYSTEMS
E.A.1 Purpose of CRECLIS and SDMS
CERCLIS is the official repository of nationally defined and nationally required data for
planning, tracking, and describing all activities at sites and removal incidents. SDMS is the
official repository of all Superfund documents.
Over the next 4 years, steady progress is expected towards building an integrated
CERCLIS- SDMS - Institutional Controls Tracking System (ICTS).
The following categories of site/incident activity have national definitions and national
requirements:
• Site Assessment;
• Remedy Selection;
• Federal Facilities;
• Community Involvement;
• Removal;
• Enforcement;
• Project Management; and
• Program Management.
a. Site Assessment
To support the site assessment process, CERCLIS provides the following capability:
Enter, store, and retrieve basic site discovery information, including site
identification (name and location), narrative description, contaminants, and site
setting;
- Identify the Site Assessment Manager (SAM) and other site contacts;
- Distinguish between removal program site initiation and site assessment program
discoveries;
- Enter, store, and retrieve site assessment decision information, including
qualifiers and text rationale and referrals to States or other program areas;
Manage site assessment schedules through the Project Management module;
Generate site assessment reports and perform ad hoc queries on basic site level
and decision information; and
Create Headquarters site assessment reports.
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OSWER Directive 9200.3-14-1G-V
b. Remedy Selection
To support the remedy selection process, CERCLIS provides the following capability:
Add, edit, and delete Actions and SubAction's in the site schedule and add
operable units (OU's);
Add, edit, and review an Action and its associated operable unit, actual and
planned start dates, and actual and planned completion dates;
View and update site information, including media, contaminants, concentrations,
and regulations that possibly apply to the contaminant;
- Review ROD contaminants of concern data and relevant standards, and cleanup
levels for the contaminants;
View site descriptions which can be used to aid in the development of remedial
documents, such as proposed plans and ROD's;
View and compare data among pipeline actions for site and OU contaminants,
contaminated media, site and OU risk/threats, and selected remedy information;
Identify program initiative sites, such as presumptive remedy sites;
- Perform queries to identify like sites;
- Review selected or amended remedies at sites with ROD's, ROD amendments,
and Explanation of Significant Differences (ESD's) including remedial response
actions associated with the selected remedy;
Review ROD abstracts; and
Create Headquarters remedy reports.
c. Federal Facilities
To support Federal facilities, CERCLIS provides the following capability:
Track the proper relationship between Federal facilities, Federal facility sites,
parcels and OU's;
Add, update, and delete Actions and SubActions and associated information;
View, edit, and track information pertaining to dispute resolutions such as the
issue triggering dispute, compliance status, and dispute type (i.e., informal or
formal);
Record, display, and view information pertaining to Interagency
Agreement/Federal Facility Agreement (IAG/FFA) negotiations and agreements;
- Record, display, and update information pertaining to Base Realignment and
Closure (BRAC) sites, including BRAC types, Fast Track sites, Environmental
Baseline Survey (EBS) information, detailed parcel information, Finding of
Suitability to Lease (FOSL) information, and Finding of Suitability to Transfer
(FOST) information;
- Record key community involvement and outreach activities at Federal facilities;
Display listings of all IAG milestones to be reviewed within a user specified time
frame;
- Record and display a site abstract;
October 1,2010 E-2 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
- Record and display Federal Facility Docket information;
- Provide the capability to track penalty and Supplemental Environmental Project
(SEP) information;
Provide access to all modules in CERCLIS (e.g., Removal, Remedy Selection,
etc.) to view all technical and administrative data pertaining to a site; and
Provide Headquarters Federal facility reports.
d. Community Involvement
To support the community involvement process, CERCLIS provides the following
capability:
View Community Involvement Schedule information;
Enter and view the address of site information repositories and identify which
repositories contain Administrative Records; and
Create Headquarters community involvement reports.
e. Removal
To support the removal process, CERCLIS provides the following capability:
Add, update, and delete Actions and SubActions and associated information;
- Document the following information: On-Scene Coordinators (OSC's) assigned to
the removal, EPA branch that is addressing the removal, site operable unit name,
category of removal and outcome of the removal action, attorney assigned to the
removal, planning status, removal media, contaminants data and risk, remedy
implemented, and site funding rank;
Track Action Memo types, support the Action Memo approval process, and
capture response action scientific and location information;
Develop removal fact sheets;
Assist in the management of removal budgets for various contract vehicles and
other EPA costs;
Enter and store regional removal assessment detail description information
including date assigned to OSC, where the site was referred from, referral date,
response date, site visit date, media, flags for sampling performed, eligibility for
removal, referred to remedial program office, and returned to State;
Generate regional cost/financial management reports; and
Create Headquarters removal reports.
f. Enforcement
To support the enforcement process, CERCLIS provides the following capability:
Add, update, and delete Actions and SubActions and associated information;
Identify site contacts, including RPM's and attorneys;
FY 11 SPIM E-3 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
Capture and retrieve information about Potentially Responsible Parties (PRP's)
and other parties and associate parties with all sites and enforcement actions with
which they have been involved;
- Document a party's involvement type with a site;
Generate party-related summary statistics;
Group parties for enforcement actions or correspondence mailings;
Track party compliance with letters and settlement terms;
Track liens against a party's property;
- Document the issuance of Comfort/Status letters, the parties they were sent to,
and the intended future use of the property;
Track the assessment of Prospective Purchaser Agreements (PPA' s);
Track negotiations, including type of response actions sought, cost recovery
amount sought, orphan share compensation offered and outcome;
Track Alternative Dispute Resolution (ADR) usage, identifying sites where ADR
was used, the outcome of the ADR, and the mediator used;
Track settlements, type and estimated value of response actions to be performed
by the parties, cost recovery funds achieved, response actions that are being
reimbursed, cash out funds achieved, amount of orphan share that was actually
compensated, amount of funds to be disbursed from a special account or
deposited into a special account as part of the settlement, and whether the
settlement was with de minimis or non-exempt de micromis parties;
- Log case files, including EPA Docket and DOJ case numbers and names and
district court location docket number;
Track referrals, including the type of referral, statutes, response actions sought,
cost recovery amount sought, and outcome;
Track potential Statute of Limitations (SOL's);
View costs written off and the rationale behind a decision not to pursue cost
recovery;
Track the timely issuance of oversight bills or accounting of oversight costs
incurred;
- Record the planned bills, actual bills, refunds/payments, and collections; and
Create Headquarters enforcement reports.
g. Project Management
To support the site management process, CERCLIS provides the following capability:
Maintain schedule for site activities;
Identify RPM's and other site contacts;
Add and delete Actions, SubActions, and new operable units to/from the
schedule;
October 1,2010 E-4 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
View and edit action-specific information including operable unit, sequence
number (system generated), lead, planned and actual start/complete dates, and
planned start/complete Fiscal Year/Quarter (system generated);
View the targeted Fiscal Year/Quarter for actions defined as regional targets;
Define associations among actions and add user-defined actions to schedules;
Reorder actions on the schedule and create what-if scenarios by cascading
planned dates (automatically updating subsequent dates based on a schedule
change);
Add and view action-specific comments;
Generate reports such as a Site Summary report, a Management Review report,
and a Target Comparison report, and create/print weekly notes to keep managers
apprized of hot issues;
Access Smartscreens, which provide online SCAP definitions and apply SCAP
logic during data entry and updates or edits;
- Enter or copy technical data through Smartscreens (e.g., remedy, media type).
Data can be copied to subsequent actions to avoid duplicate data entry;
View financial data by site, action, or financial transaction and track Superfund
State Contracts (SSC) cost share payment and reimbursable account information;
Generate like dates for actions that, by definition, have the same actual start or
actual complete date;
Track Five-Year Reviews consistently for Fund, Enforcement and Federal Facility
lead sites;
Track post-construction activities;
Allow reviewers (e.g., Section Chiefs) to approve or disapprove schedule changes
and financial transactions before they become official and notify Remedial Project
Managers (RPM's) if any of their sites have been reviewed; and
Generate Headquarters project management reports.
h. Program Management
To support the program management process, CERCLIS provides the following
capability:
View allowance and budget information for a comparison of regional spending
plans to the negotiated budget for each allowance;
Record and access all site and non-site financial details associated with an
allowance;
Track allowance change requests by viewing existing change request data used to
issue/reprogram an allowance and generate a new change request online;
View aggregate site planning data to support program planning and reporting
measures and access data on a national (at Headquarters only), regional, branch,
or section level, or by program office;
Access project schedule details for sites included in the aggregated information on
planning and reporting measures and identify target candidates;
FY 11 SPIM E-5 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
Track progress in meeting targets and planning estimates, view details on target
and alternate sites that support these targets/estimates for each planning and
reporting measure, and substitute target and alternate sites when necessary;
Identify the funding priority for Remedial Actions (RAs) and removals based on
factors such as the status of PRP negotiations, whether the Remedial Design (RD)
has reached 95% complete, and estimated cost;
Associate sites with a specific national and/or regional priority;
- Enter Environmental Indicator (El) and Land Reuse data at the site/action level,
and view summary information for Indicators identified in Appendix B at the
national (at Headquarters only) and regional levels;
Transfer financial data from Integrated Financial Management System (IFMS) on
a daily basis; and
Generate Headquarters program management reports.
E.A.2 Superfund Data Architecture
The CERCLIS data architecture is comprised of various components. The goal of this
architecture is to allow regions, the data owners, to enter data and ensure that the national
database contains all regional data.
Exhibit E-l outlines the relationship among various components of the Superfund data
architecture. Each region enters their information into the CERCLIS database.
Regular exports of datasets from CERCLIS include:
• CERCLIS: This dataset contains active sites and related program management
information tracked through the SCAP process.
• FOIA: This dataset contains active sites and related information that is releasable to
the public.
• Archive: This dataset contains archived sites and related information.
Others as needed: Additional datasets can be created to meet additional program needs
and special initiatives as they are defined. For example, a "Pre-Discovery" dataset could be
created to track information on sites prior to beginning the listing process.
In addition, each day, financial data from the IFMS are transferred via Agency
Information Management to the regional CERCLIS databases.
The data architecture of SDMS is undergoing a major change to a centralized core
(located in RTF with regional and HQ data entry through web based screens, indexing through a
Citrix application.
October 1,2010 E-6 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
EXHIBIT E.1: SUPERFUND DATA ARCHITECTURE
CBRCLIS 3 I 'm. k M ion I >i, n:|r, in.
SCERCLISftpplttatlon
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E.A.3 Reporting Superfund Information
The CERCLIS Reports Module is accessible to users, and contains nationally defined
reports. The reports are categorized by the following program areas: Site Assessment, Risk
Assessment, Remedy Selection, Federal Facilities, Community Involvement, Removal,
Enforcement, Project Management, and Program Management. Headquarters program managers
and staff have access to the database and the ability to use the application to display data and
print reports. In many cases the application can be used by program managers in lieu of
contacting regional staff.
a. Regional Users
The data entry application used by regional staff with Superfund program responsibilities
is referred to as CERCLIS. CERCLIS allows data owners to enter and manage their own
data, however, regions have established and published in the Data Entry Control plans
(variously called Data Entry Quality Plans and Data Quality Plans) specific data
management procedures that they have implemented (e.g., centralized or decentralized
approach to data management). These plans are collected annually for review by
OSRTI/EVIB. The information collected via the application is for either unrestricted use
by all parties or for restricted access (that portion of the information identified as
sensitive and not releasable under FOIA).
FY 11 SPIM
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OSWER Directive 9200.3-14-1G-V
E.A.4 Applicability of the Freedom of Information Act
a. Reports Releasable under Freedom of Information Act (FOIA)
There is a set of system-generated reports that have sensitive information (records or
information that are protected under FOIA and cannot be released to the public) removed
and may be released under FOIA. These reports include:
- SCAP 12 (Site Summary Report for NPL/Non-NPL Sites);
- List 8E (Site/Response Action Listing Report/External);
List 8T (Site/Event Listing, Archived Sites);
- List 9 (Site Comprehensive Listing);
- List 10 (Contaminants at CERCLIS Sites);
- List 11 (Noticed Parties at CERCLIS Sites);
- FOIA 01 (Preremedial Report- All Sites);
- FOIA 02 (Preremedial Report- Federal Facilities); and
Enforcement 10 (The Settlements Master Report Public Version).
Note: The SCAP 12, List 8T, and List 9 are currently available to the public on the
Superfund Home Page.
In addition, the Records of Decision System (RODS) may be released under FOIA. It
provides the justification for the remedial action (treatment) chosen under the Superfund
program and stores information on the technologies being used to clean up sites.
b. Sensitive Information Not Releasable under FOIA
FOIA is intended as a disclosure law, not a withholding law. In handling all FOIA
requests, there should be a presumption in favor of releasing information. There are
certain types of information, particularly enforcement information, that have been
designated as sensitive and, therefore, are not releasable to the public because disclosure
could cause significant harm to the Agency. All planning data fit into this category
including:
Section 106 and 107 litigation, Consent Decrees (CDs), and all related
information where the planning information indicates that the action has been or
will be referred to Headquarters or to the Department of Justice (DOJ). If the case
is filed or CD lodged, the information may be released.
- PRP lead Remedial Investigation/Feasibility Study (RI/FS) projects and all related
information where only planning data exist. If there is an actual PRP RI/FS start,
the planned completion date (Fiscal Year/Quarter) can be released.
Administrative Order and all related information where only planning data exist.
This information is only releasable where an actual completion date exists.
Information pertaining to cost recovery decision documents such as rationale for
write-off;
- Planned obligation amounts related to regional enforcement extramural budget
activity associated with the following activities:
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OSWER Directive 9200.3-14-1G-V
• Litigation (106, 106/107, 107) support;
• Removal Negotiations;
• NPL and NPL PRP search;
• RI/FS negotiations;
• RD/RA negotiations; and
• Cost recovery negotiations.
RD and RA planned events where the lead is the RP with no actual starts. When
there is an actual start, the planned completion can be released.
- RI/FS and RD/RA negotiations planned start and completion dates. When there is
an actual start, the planned completion can be released.
- Planned removal/remedial obligations.
All planned activities for sites that have not been designated as final or proposed
NPL sites in the Federal Register.
The following enforcement data also cannot be released:
Information pertaining to the financial viability of PRPs;
- PRPs excluded from a UAO and reasons why PRP was not issued a UAO;
Comments;
- Parties not issued a General and/or Special Notice Letter or associated with an
actual enforcement instrument;
- Party identification under Section 104(e); and
Compliance data
This information is protected from mandatory disclosure by the following FOIA
exemptions and provisions:
EXEMPTION 7 - Records or information compiled for law enforcement
purposes. Specifically, EXEMPTION 7(a) could reasonably be expected to
interfere with enforcement proceedings.
Exemption 7 - Records or Information Compiled For Law Enforcement Purposes
This exemption provides that records or information compiled for law enforcement
purposes need not be disclosed in six specific instances. Even though a document falls
under Exemption 7, the Agency, in its discretion, encourages release of the document
unless release would significantly harm the Agency. Under this section, records or
information can be withheld from disclosure if:
- Exemption 7(a) - Disclosure could reasonably be expected to interfere with
enforcement proceedings. Harm to the government's case in court by premature
release of evidence or information or damage to the Agency's ability to conduct
an investigation constitutes interference under the exemption.
Exemption 7(b) - Disclosure would deprive a person of a right to fair trial.
Exemption 7(c) - Disclosure could reasonably be expected to constitute an
unwarranted invasion of personal privacy.
FY 11 SPIM E-9 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
- Exemption 7(d) - Disclosure could reasonably be expected to disclose the identity
of a confidential source. This includes protection of information provided by the
source on a criminal law enforcement investigation.
Exemption 7(e) - Disclosure would reveal a special technique or procedure for
law enforcement investigations or prosecutions.
- Exemption 7(f) - Disclosure could reasonably be expected to endanger the life or
safety of any person.
As a result of 1986 Amendments to FOIA Exemption 7, the general coverage of
Exemption 7 is no longer investigatory records but records of information compiled for
law enforcement purposes. As long as some law enforcement authority exists and the
record meets the threshold test for exemption 7, the record need no longer reflect or result
from specifically focused inquiries by the Agency.
EXEMPTION 5 - Privileged Interagency or Intra-Agency Memoranda. Specifically,
EXEMPTION 5, Privilege 1 - Deliberate Process Privilege, and EXEMPTION 5,
Privilege 4 - Government Commercial Information Privilege.
Exemption 5 - Privileged Interagency or Intra-Agency Memoranda
Intra-agency records include reports prepared by outside consultants at the request of the
agency. Recommendations from State officials to Environmental Protection Agency
(EPA) may be considered intra-agency records when EPA has solicited State comments,
has a formal relationship with the State, and the records concern a specific deliberative
process.
This exemption allows the Agency to withhold from disclosure interagency or intra-
agency memoranda or letters which fall under the following privileges:
- The Deliberative Process Privilege protects the quality of the Agency's decision-
making process (i.e., to protect against premature disclosure of proposed policies
before they are adopted), to encourage candid discussions among Agency
officials, and to avoid premature disclosure which could mislead the public.
Only pre-decisional, deliberative documents may be withheld. These are written prior to
the Agency's final decision, and are not likely to be those that are written by a person
with final decision-making authority. Drafts of documents usually fall under this
category, and documents transmitted between the government and third parties during
settlement negotiations are occasionally protected under this privilege.
The deliberative process privilege does not allow the withholding of purely factual
portions of documents. These portions must be released if they can be segregated from
the remainder of the document (partial denial). This requirement presents a problem
where the facts themselves reflect on the Agency's deliberative process; in this instance,
the factual portions may be withheld.
The Attorney-Work Product Privilege allows the withholding of documents
prepared in anticipation of possible litigation. Litigation need not have
commenced but it must be reasonably contemplated. This privilege does not
October 1,2010 E-10 FY11SPIM
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extend to purely factual documents unless they reflect the results of an attorney's
evaluation.
The Attorney-Client Privilege applies to confidential communications between
attorney and client, including communications between an Agency attorney and
Agency employee.
The Government Commercial Information Privilege is available to the
government for information it generates in the process leading up to the award of
a contract. This privilege expires once the contract is awarded or upon withdrawal
of the contractual offer. An example of this privilege is cost estimates prepared by
the government and used to evaluate the construction proposals of private
contractors.
The Expert Witness Privilege is commonly invoked to allow the withholding of
records generated by an expert witness.
The Confidential Witness Statement Privilege allows statements obtained from
confidential witnesses to be withheld.
The Agency encourages the discretionary release of documents falling under any of the
privileges, unless release would significantly harm the Agency's decision-making
process. All of the privileges may be waived if the Agency has disclosed the document to
third parties.
The sensitive information listed above covers the information restricted from public
disclosure as of the compilation of this Manual. Additional information may be added to
this category and information may be restricted in specific instances (though the prior
disclosure rule must be satisfied). If requested information is potentially able to be
restricted under a FOIA provision (in this case, under Exemptions 5 or 7), the official
receiving the request should contact the appropriate FOIA office to determine whether
the information should be restricted.
c. Ad Hoc Reporting
In general, all regional requests for ad hoc reporting, a special request for records, or
information that is not part of the approved public reports should be referred to the Office
of Site Remediation and Enforcement (OSRE) Director immediately. The Regional
official receiving the request should inform the requestor of this policy and advise the
requestor to contact Headquarters for a decision on whether this information may be
released. If the requested information is only available from a specific region, and
Headquarters has decided to release this information, Headquarters will inform the
responsible region that the information should be compiled and disclosed to the
requestor.
Ad hoc reporting requests should be treated like FOIA requests. The following guidelines
apply:
If the information is protected under one of the FOIA exemptions, the information
will not be disclosed (except in cases of discretionary release);
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OSWER Directive 9200.3-14-1G-V
Absent FOIA exemption protection, the information will be disclosed if it can be
compiled or obtained in a reasonable amount of time by an Agency employee
familiar with the subject area; and
Fees for ad hoc reporting requests will be charged in accordance with the fee
structure used for FOIA requests.
d. Accessing FOIA Information
There are several methods to access FOIA information.
On the Internet, via the World Wide Web, several standard reports can be viewed or
downloaded from the Superfund Information Systems area of the EPA Web site
http://www.epa.gov/superfund/sites/siteinfo.htm, through the "Order Superfund
Products" link on the sidebar. Reports available for viewing or download include:
Inventory ofCERCLIS and Archived Sites by State. This report, updated monthly,
displays the number of sites by state/possession that are currently in CERCLIS; it
also displays the number of sites by state/possession that have been archived or
require no further remedial action.
CERCLIS and Archived Site Database and Text Files with Record Layout. These
databases and text files, updated monthly, provide detailed information on sites
that are currently in CERCLIS and sites that have been archived or require no
further remedial action. The Record Layout identifies and provides the layout of
the fields used.
National Priorities List (NPL) Site Map. The NPL Site Map, updated quarterly,
displays the location (based on latitude and longitude coordinates) of sites across
the nation that have been proposed, finalized, or deleted from the NPL
Several standard reports and products can also be ordered from the Superfund
Information Systems area of the EPA Web site
(www.epa.gov/superfund/sites/siteinfo.htm), through the "Order Superfund Products"
link on the sidebar. Reports and products that can be ordered online include:
List 8T- Archive Listing. This report, updated monthly, lists all sites that were
previously listed as contaminated or were suspected of being contaminated, but
have subsequently been cleared of contamination or are no longer suspected of
contamination. The report lists the sites/incidents, addresses, and Congressional
districts, and the remedial, removal, and community involvement activities
associated with each site/incident. This report was previously called the
"Transition Site/Event Listing."
List 9- Site Comprehensive Listing. This report, updated monthly, lists all
Superfund sites/incidents, addresses, and Congressional districts, and the
remedial, removal, and community involvement activities associated with each
site/incident.
SCAP 12- Site Summary Report for NPL/Non-NPL Sites. This report, updated
quarterly, provides detailed information on Superfund sites/incidents that are on
the National Priorities List (NPL) and not on the NPL. Only the sites/incidents
that have planned or actual remedial/removal activities are selected for inclusion
October 1,2010 E-12 FY11SPIM
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on the report. The remedial/removal activities (planned or actual) as well as the
enforcement activities (actual) related to each site/incident are listed.
The Superfund Order and Information Line (800-775-5037 or 202-260-8321) is an
interactive phone/fax system that provides information from CERCLIS. By following
voice prompts, the Superfund Order and Information Line allow users to request List 8T,
List 9, SCAP 11, and SCAP 12 reports on CD-ROM.
FOIA requests may also be submitted to an EPA region or Headquarters office for any
FOIA reports or information. FOIA report requests should include the name of the FOIA
report being requested, or the site name, city, county, state, and/or ZIP code for which
information is being requested.
E.A.5 Data Owners/Sponsorship
Headquarters managers take an active role in improving the quality of data stored in
CERCLIS by acting as data sponsors. Data sponsorship promotes consistency and
communication across the Superfund program. Headquarters data sponsors communicate and
gain consensus from data owners on data collection and reporting processes. Data sponsors
ensure that the data they need to monitor performance and compliance with program
requirements is captured and stored properly in CERCLIS. To meet this goal, Headquarters data
sponsors identify their data needs, develop data field definitions, and distribute guidance
requiring submittal of these data. Data owners are normally site managers that need the data in
support of site work. Data owners follow the guidance they receive from data sponsors, as they
acquire and submit data.
Headquarters data sponsors assist data owners in maintaining and improving the quality
of Superfund program data. These data are available for data evaluation and reporting. Data
sponsorship helps promote consistency in both national and regional reporting. In addition, data
sponsorship provides a tool to improve data quality through program evaluation and adjustments
in guidance to correct weaknesses detected. Data sponsors may conduct audits to determine if
there are systematic data problems (e.g., incorrect use of codes, data gaps, etc.).
E.B DATA SPONSORS
The following exhibit identifies the data sponsors for Appendix E, Information Systems.
EXHIBIT E.2: DATA SPONSORS
Data Sponsor
David Reynolds*
Trish Gowland
Ellen Treimel
Alice Ludington
Amy Vandenburg
Alan Youkeles
Alice Ludington
Subject Area
Project Management
Information Systems
Work Planning (Response)
Work Planning (Enforcement)
Budget/Financial (Response)
Budget/Financial (Enforcement)
Phone #
(703) 603-8895
(703)603-8721
(703)603-8811
(202) 564-6066
(703) 603-9028
(703) 603-8784
(202) 564-6066
Email
revnolds.david(@,epa.sov
sowland.patricia(@,epa. sov
treimel.ellen(®,epa.sov
ludinston. alice (@,epa. sov
vandenburs.amv(@,epa.sov
voukeles.alan(8),epa.sov
ludinston. alice (@,epa. sov
FY 11 SPIM
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OSWER Directive 9200.3-14-1G-V
Data Sponsor
Bruce Pumphrey
Bruce Pumphrey
Mary Bell
Jennifer Hovis
Mary Bell
Ruth Broome
Rich Norris
Brendan Roache
Amanda Sutton
Lance Elson
Steven Ridenour
Katherine Garufi
Ellen Treimel
Pat Kennedy
Matthew Charsky
Brette Beasley
Scott Blair
Tracy Hopkins
Melissa Friedland
Shahid Mahmud
Tracy Hopkins
Jennifer Hovis
Scott Blair
Stuart Walker
Dana Stalcup
Bill Finan
Steven Chang
Randy Hippen
Filomena Chau
Tracy Stewart
Silvina Fonseca
Bob Myers
Sheldon Selwyn
Alice Ludington
Scott Blair
Mary Bell
Subject Area
Enforcement SF Revitalization
Enforcement Compliance Monitoring
Enforcement
Construction Completion
Cost Recovery SOLs
Cost Recovery Process
Environmental Indicators
Federal Facilities
Federal Facilities Measures
Federal Facility Enforcement
Five Year Review
RD/RA
GPRA (OSRTI)
GPRA (OSRE)
Groundwater/Remedial Remedy Selection
FOIA (OSRTI)
FOIA (OSRE)
Institutional Controls
Land Ready for Reuse
Mining Sites
Post Construction
PRP Data
Radioactive Sites
Removal/Counter Terrorism
Removal Implementation
Risk
Site Assessment/Remedy Selection
Special Accounts
Tribal Involvement
OSRTI Data Quality
SCAP & Enforcement (ENFR) CERCLIS Reports
Phone #
(202) 564-4222
(202) 564-4222
(202) 564-2256
(703) 603-8888
(202) 564-2256
(202) 564-6077
(703) 603-9053
(703) 603-8704
(703) 603-0055
(202) 564-2577
(703) 603-8922
(703) 603-8827
(703)603-8811
(202) 564-6061
(703) 603-8777
(866) 635-0440
(202) 564-6023
(703) 603-8788
(703) 603-8864
(703) 603-8789
(703) 603-8788
(703) 603-8888
(202) 564-6023
(703) 603-8748
(202) 564-2089
(202) 564-7981
(703)603-9017
(703) 603-8829
(202) 564-4424
(703)603-8791
(703) 603-8799
(703)603-8851
(703) 603-8776
(202) 564-6066
(202) 564-6023
(202) 564-2256
Email
pumphrev.bruce(S!epa.sov
pumphrev.bruce(8),epa.sov
bell.marv(8),epa.sov
hovis.iennifer(S>epa.sov
bell.marv(8),epa.sov
broome.ruth(@,epa.sov
norris. rich(®,epa. sov
roache.brendan(S>epa.sov
sutton.amanda(S>,epa. sov
elson.lance(8),epa.sov
ridenour. steven(S>epa. sov
sarufi.katherine(@,epa. sov
treimel.ellentS.epa.sov
kennedv.patricia(@,epa. sov
charskv.matthew(3),epa.sov
beaslev .brett(S>,epa. sov
blair. scott(@,epa. sov
hopkins.tracv(@,epa.sov
friedland.melissa(3),epa.sov
mahmud. shahid(@,epa. sov
hopkins.tracv(8),epa.sov
hovis . i ennif er(3),epa. sov
blair. scott(@,epa. sov
walker. stuart(S>,epa. sov
stalcup . danat@,epa. sov
finan.bill(@,epa. sov
chans. steven(3),epa. sov
hippen.randv(@,epa. sov
chau.filomena(@,epa. sov
Stewart. tracev(8),epa.sov
fonseca. silvina(@,epa. sov
mvers .bob(@,epa. sov
selwvn. sheldon(S>epa. sov
ludinston. alice (@,epa. sov
blair. scott(@,epa. sov
bell.marv(8),epa.sov
October 1,2010
E-14
FY11 SPIM
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OSWER Directive 9200.3-14-1G-V
Data Sponsor
Sheldon Selwyn
Scott Blair
Freya Margand
David Reynolds
Emily Johnson
Subject Area
Superfund e-Facts
Community Involvement
CERCLIS SCAP Reports
Acquisition
Phone #
(703) 603-8776
(202) 564-6023
(703) 603-8889
(703) 603-8895
(703) 603-8764
Email
selwvn. sheldon(®,epa. sov
blair. scott(@,epa. sov
marsand.freva(S!epa. sov
revnolds.david(@,epa.sov
iohnson.emilv(@,epa.sov
* Traditionally the lead for Project Management is the manager of CERCLIS
FY 11 SPIM
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October 1,2010 E-16 FY11SPIM
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Superfund Program Implementation Manual FY 11
Appendix F: Removal Targets and Measures
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APPENDIX F: Removal Targets and Measures
Table of Contents
F.A Protect Human Health and the Environment. F-l
F.A.I Removal Actions F-l
F.A.2 Removal Initiation F-l
F.A.2 Homeland Security F-l
F.A.3 Overview of Removal Actions Target/Measures F-3
a. Removal Starts F-4
b. Removal Completions F-6
F.B Subject Matter Experts. F-8
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APPENDIX F: REMOVAL TARGETS AND MEASURES
F.A PROTECT HUMAN HEALTH AND THE ENVIRONMENT
Protection of human health and the environment remains the highest priority for the
Superfund Program. EPA will continue to address the worst sites first while balancing the need
to complete response actions at sites. The Agency will ensure that available resources are
disbursed in a fiscally sound manner. Maximizing Potentially Responsible Party (PRP)
involvement remains a high priority.
F.A.1 Removal Actions
The goal of EPA's emergency response and removal program is to provide quick
response to immediate threats to public health and the environment from releases of hazardous
substances whenever and wherever they occur.
EPA will continue to enhance its emergency response infrastructure through procurement
of state-of-the-art response equipment and continued training and exercising of response
personnel. EPA will also ensure that the appropriate resources and contract vehicles are available
to conduct necessary removal actions.
F.A.2 Removal Initiation
Removal Initiation is the process by which a potential hazardous waste site is entered into
the CERCLIS inventory for Removal response activities. All sites considered removal only sites
should have a Removal Initiation flag and date documented in CERCLIS. Entry of the site
removal initiation date initiates the removal process and distinguishes it from the NPL
assessment process. The removal initiation flag and date is added at the time when a site is
entered in CERCLIS. If the site needs to go through the NPL assessment process, then it would
require a Site Discovery action and date (see Appendix A for further information on sites
needing assessment work).
F.A.3 Homeland Security
EPA played a crucial role in response to the terrorist attacks of September 11, 2001,
particularly, through its emergency response program. Subsequently, the Agency has played a
major role in response to anthrax attacks, the crash of the Columbia space shuttle in Texas, and
natural disasters (primarily Hurricanes Katrina and Rita). In each case, the Agency has
developed lessons learned from the response and is making appropriate adjustments to our
standard procedures. A major development is the National Approach to Response (NAR) that
addresses a variety of issues related to improving EPA's response capabilities (e.g., health and
safety, training and exercises, communications (both internally and with the public at large), and
equipment).
The 2006-2011 Strategic Plan calls for the emergency response and removal program to
meet the following target: "By 2011, achieve and maintain at least 95 percent of the maximum
score on readiness evaluation criteria." The readiness criteria (known as "Core ER") are applied
to the regions, appropriate headquarters offices and Special Teams that are likely to be involved
FY 11 SPIM F-l October 1, 2010
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OSWER Directive 9200.3-14-1G-V
in a response. The score reported for the Strategic Plan will be a weighted composite of all the
scores for headquarters, Special Teams, and the regions.
EPA's field response capability relies on a support infrastructure including specialized
equipment, equipment inventories, and laboratory support. The Agency will continue to build on
its equipment support by identifying state-of-the-art detection, monitoring, and response
equipment designed to address chemical, biological, and radiological agents. Also, EPA will
build inventories of standard response equipment such as personal protective gear to ensure that
it is prepared to respond to multiple incidents. Equipment will be maintained and replaced as
necessary to ensure the Agency has the best technology available.
EPA's field responders and National Response System special forces require extensive
training in a variety of response-related areas, including scientific and technical training for
detection, analysis, and response to chemical, biological, and radiological agents; and training in
incident command system response management processes. Training courses will be developed
and implemented for different levels of response experience and involvement, including
refresher courses for senior, experienced responders; in-depth training for newer responders in
both scientific and response management areas; and training for all responders in state-of-the-art
response techniques and emerging chemical, biological, and radiological threats.
EPA's Environmental Response Team (ERT) will continue to provide specialized field
support to Regional responders, including specialized air monitoring, health and safety support,
and other scientific and technical support. ERT will continue to enhance its capabilities in its
Edison, New Jersey, Cincinnati, Ohio, and Las Vegas, Nevada, locations to ensure that they are
ready at all times to quickly and effectively meet the specialized field support needs of EPA's
responders, including those responses to terrorist incidents with biological, chemical, and
radiological agents.
EPA will continue the development of the National Response Decontamination Team
(Decon Team) that provides unique, immediate response capabilities to safely and effectively
support decontamination activities related to chemical, biological, and radiological terrorism
events. While focused domestically, the Decon Team may respond worldwide delivering
scientific and engineering expertise for the decontamination of buildings, building contents,
public infrastructure, indoor environments and the associated environmental media. The primary
function of the Decon Team is to support EPA OSCs conducting or overseeing response
activities under the authorities of the National Contingency Plan (NCP) at the scene of the
aftermath of a weapon of mass destruction (WMD) event. The Decon Team is designed to
integrate with and operate from within incident command structures, along with and
complementing other Special Forces. When not fully engaged, this team is devoted to
preparedness activities related to the team's primary function.
EPA's capability to respond effectively to chemical, biological, and radiological incidents
will be measured through the Core Emergency Response (Core ER) program. This continued
enhancement in EPA's Regional response capabilities will cover all aspects of the Core ER
program, including Regional Response Centers, transportation, coordination with backup
Regions, health and safety, delegation and warrant authorities, response readiness, response
equipment, identification clothing, training and exercises, and outreach. The Agency has
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established measurable improvement goals in Core ER and will work toward that improvement
through exercises and other program enhancements.
EPA has established criteria of excellence through the structure of the Core ER program.
While EPA is currently prepared to respond to chemical, biological, and radiological incidents,
improvement in the emergency response and homeland security readiness measure will
demonstrate an increased ability to respond quickly and effectively to national-scale events.
F.A.4 Overview of Removal Actions Target/Measures
The Superfund Comprehensive Accomplishments Plan (SCAP) is used by the Assistant
Administrator for the Office of Solid Waste and Emergency Response (AA OSWER), Assistant
Administrator for the Office of Enforcement and Compliance Assurance (AA OECA), and senior
Superfund managers to monitor progress each region is making towards achieving the
Government Performance and Results Act (GPRA) annual performance goals. In addition, SCAP
will continue to be used as an internal management tool to project and track activities that
contribute to these GPRA goals and support resource allocation. The program will set national
goals based on historical performance and performance expectations within a limited budget for
the performance goals in GPRA and track accomplishments in the activities contributing to those
goals. Regions should continue to plan and report accomplishments in CERCLIS as they have
traditionally.
To more clearly reflect the relationship between GPRA and the SCAP process, GPRA
annual performance goals and measures and program targets and measures are defined as
follows:
• GPRA Annual Performance Goals (APG) and GPRA Annual Performance Measures
(APM) - The Agency's Annual Plan describes the specific annual performance goals,
annual measures of outputs and outcomes, and activities aimed at achieving the
performance goals that will be carried out during the year. APGs are the specific
activities that the Agency plans to conduct during the fiscal year in an effort towards
achieving its long-term strategic goals and objectives. APMs are used by managers to
determine how well a program or activity is doing in achieving milestones that have
been set for the year. The annual performance goals will inform Congress and
Agency stakeholders of the expected level of achievement for the significant
activities covered by the GPRA objective. The goals are a subset of the overall
planning and budgeting information that has traditionally been tracked by the
Superfund program offices.
• Program Targets and Measures are activities deemed essential to tracking overall
program progress. Program targets are used to identify and track the number of
actions that each region is expected to perform during the year and to evaluate
program progress. Program measures are used to show progress made in achieving
program priorities.
The following pages contain the definitions of the FY 11 removal activities, GPRA
annual performance goals, GPRA and program measures, and removal project support activities.
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Exhibit F.I displays the full list of removal and activities defined in this Appendix. Exhibit F.2,
at the end of this Appendix lists the subject matter experts for each relevant subject area.
ACTIVITY
Removal Starts
Removal Completions
GPRA
APG
T
APM
T
PROGRAM
TARGET
MEASURE
T
a. Removal Starts
Definition:
Removal actions are responses performed at NPL and non-NPL sites that eliminate or
reduce threats to public health or the environment from the release, or potential release,
of hazardous substances or pollutants or contaminants which may pose an imminent and
substantial danger to public health or welfare. These risk reduction activities can be
conducted as emergency, time-critical, or NTC removal actions. This measure tracks each
removal action. The appropriate use of Special Account funds for removal actions is
provided in the Guidance on Key Decision Points in Using Special Account Funds dated
September 28, 2001.
Definition of Accomplishment:
A site is addressed by a removal action when the EPA, Response Action Contract (RAC),
Emergency and Rapid Response Services (ERRS), State, or PRP, or their contractors,
have mobilized for construction of the removal action specified in the Action
Memorandum.
Fund-financed (Including F-, TR-, or S-lead) actions - EPA, State or their
contractors have begun work at a site for construction of the removal (emergency,
time-critical, or non-time critical) as documented by a Pollution Report
(POLREP). The date of on-site construction is reported in CERCLIS as the
removal (Action Name = Removal Action) actual start date (Actual Start).
PRP- financed from a Special Account (Including Special Account Financed
Action performed by EPA (SA-lead), the State (SS-Lead), or Tribal Government
(ST-lead) actions) - EPA, State, tribal government or their contractors have begun
work at a site for construction of the PRP-fmanced removal (emergency, time-
critical, or non-time critical) as documented by a Pollution Report (POLREP).
The date of on-site construction is reported in CERCLIS as the removal (Action
Name = Removal Action) actual start date (Actual Start).
PRP-fmanced (Including RP- and MR- lead) actions under the terms of an AOC,
UAO, CD, or judgment - The PRPs or their contractors have begun work on-site
for construction of the removal (emergency, time critical, or non-time critical) as
documented in a POLREP AND the PRPs provide written notice of intent to
comply with a UAO, or an enforcement instrument has been signed by EPA and
the PRPs, or a judgment has been signed by a Federal judge. The date of on-site
construction is reported in CERCLIS as the removal (Action Name = PRP
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OSWER Directive 9200.3-14-1G-V
Removal) actual start date (Actual Start). The following information must be
entered into CERCLIS for the enforcement instrument:
* The date the AOC (Action Name = Admin Order on Consent) was signed
by the PRPs and the designated Regional official (Actual Complete), and
the Response Acts Pd by Parties of PRP Removal; or
* The date (Actual Complete) the PRPs provide notice of intent to comply
(Action Name = PRP Notfy EPA of Intent to Comply) with a UAO for a
RP-lead removal signed (Actual Complete) by the designated Regional
official (Action Name = Unilateral Admin Order), and the Response Acts
Pd by Parties of PRP Removal; or
* The date the Regional Administrator signs the memorandum transmitting
the CD (Action Name = Consent Decree) to DOJ or HQ and the Response
Acts Pd by Parties of PRP Removal; or
* The date a judgment (Action Name = Judicial/Civil Judgment) was signed
by the Federal judge (Actual Complete), and the Response Acts Pd by
Parties of PRP Removal.
- PRP-fmanced (PS-lead actions) under terms of a State Order or decree - The
PRPs or their contractors have begun work on-site for construction of the removal
(emergency, time critical, or non-time critical) as documented in a Pollution
Report (POLREP) and the State enforcement instrument has been signed by the
appropriate State official.
- PRP-Lead (RP- lead actions) Emergency Removals Without an Enforceable
Instrument - The PRP or their contractors have begun construction work on-site in
response to an emergency incident and EPA provides on-site technical oversight
and/or is part of an incident command system/unified command (as documented
in a POLREP). The date of construction is reported in CERCLIS as the removal
(Action Name = PRP Emergency Removal), actual start date (Actual Start).
For both Fund- and PRP-fmanced removals, the following additional information
must be entered into CERCLIS:
* The Critical Indicator classification of the removal (1) Emergency, (2)
Time Critical, and (3) Non-Time Critical;
» The media addressed through the removal (Media Type);
* The Media Name;
* The Response Action being conducted (Selected Response Actions);
» The response action cost data;
» The Institutional Control information; and
* The five year review information (at NPL sites only).
An endangerment determination should be documented when an Action Memo or
Removal Action Decision Document or an enforcement instrument is prepared. Regions
identify which of the documents contain the endangerment determination when they enter
the actual completion date (Actual Complete) for the corresponding action into
CERCLIS.
Changes in Definition FY09 - FY10:
None.
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OSWER Directive 9200.3-14-1G-V
Planning/Reporting Requirements:
Program policy remains enforcement first. Headquarters encourages the Regions, in order
to be able to bill for oversight costs, to use enforceable instruments for PRP-Lead time
critical and non-time critical removals.
Fund-financed removals, PRP-financed removals under the terms of an enforceable
instrument, PRP-financed emergency removals without an enforceable instrument, and
PRP-financed time-critical and nontime-critical removals without an enforceable
instrument will be tracked separately for management purposes. Removals are covered
under the removal AOA. Removal start totals will not include Coast Guard leads. Coast
Guard lead removals are recorded non-site-specifically in CERCLIS through the program
management screen.
b. Removal Completions
Definition
Removal actions are responses performed at NPL or non-NPL sites that eliminate or
reduce threats to public health or the environment from the release, or potential release,
of hazardous substances or pollutants or contaminants which may present an imminent
and substantial danger to public health or welfare. These risk reduction activities can be
conducted as emergency, time-critical or NIC removal actions. This measure tracks each
removal completion at a site.
DISCLAIMER: Regions will receive credit in the management of the Superfund program
for completion of a removal action even though the removal action itself may not be
complete for cost recovery statute of limitations purposes. Agency policy for statute of
limitations purposes provides that a removal is not complete until EPA has made a final
decision on whether any additional cleanup activity is required (and, if it is required, until
EPA has both made a final decision on such additional activity and has completed the
design for that activity). The date found in the removal action, actual complete column of
a CERCLIS report is a programmatic measure only, and cannot be relied upon to create
any rights, substantive or procedural, enforceable by any party in litigation with the
United States. EPA reserves the right to change such data at any time without public
notice.
Definition of Accomplishment:
Following are the conditions under which a removal is considered complete:
A Fund-financed removal is considered complete when the actions specified in
the Action Memorandum are met, OR when the contractor has demobilized and
left the site (as documented in the POLREP) and recorded as the removal (Action
Name = Removal Action) actual completion date (Actual Complete) in
CERCLIS.
A PRP-financed removal performed by the PRP under the terms of a Federal
enforcement instrument, is considered complete when the Region has certified
that the PRPs have fully met the terms of an AOC, UAO, CD, or judgment and
have completed the actions specified in the Action Memorandum (as documented
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in the POLREP) and recorded as the removal (Action Name = PRP Removal)
actual completion date (Actual Complete) in CERCLIS.
A PRP-financed removal performed by the PRPs under the terms of a State
enforcement document is considered complete when the State has certified the
PRPs have fully met the terms of the instrument AND have completed the actions
specified in the Action Memorandum (as documented in the POLREP) and
recorded as the removal (Action Name = PRP Removal) actual completion date
(Actual Complete) in CERCLIS.
A PRP-fmanced emergency removal action where no enforcement instrument
exists is considered complete when the OSC, in consultation with the unified
command/incident command system if applicable, has determined that the
emergency is stabilized (as documented in a POLREP) and recorded as the
removal (Action Name = PRP Emergency Removal) actual completion date
(Actual Complete) in CERCLIS. In order to receive credit for a removal
completion an endangerment determination must be performed. This
endangerment determination may be documented in an Action Memo, Removal
Action Decision Document or enforcement instrument. Regions identify which of
these documents contain the endangerment determination by entering the actual
completion date (Actual Complete) into CERCLIS.
- For either Fund- or PRP-fmanced removals, an action qualifier (Qualifier) must
be recorded to identify whether the action resulted in the site being Cleaned Up or
Stabilized.
Action qualifiers are defined as follows:
* Cleaned Up: All threats have been addressed as defined in the Action
Memo and the region determines that it has addressed all threats posed by
the site (will not be returning for subsequent response activity). Also, all
removal obligations and related work have been completed.
* Stabilized: All threats identified in the Action Memo have been addressed.
The region may take additional removal actions as new threats are
identified/investigatory information is available. Example: Leaking drums
and contaminated soil in the area of the drums are excavated and disposed
of in an approved off-site facility. Site is stabilized.
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, a removal 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.
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A removal would be considered complete if:
* IF The scope of work for the action does not specify final off-site disposal
of hazardous substances;
* the substances have been stabilized and are stored on-site due to
circumstances such as the unavailability of a final treatment/disposal
remedy; and
* no additional Comprehensive Environmental Response, Compensation,
and Liability Act (CERCLA) removal authority funds are anticipated to be
expended on this action. In this instance, no CERCLA removal authority
funds will be expended for remedial-term site O&M. Any remedial-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.
Changes in Definition FY09-FY10:
None.
Special Planning/Reporting Requirements:
Upon completion of a removal, an action Qualifier must be recorded to identify whether
the removal resulted in the site being Cleaned Up or Stabilized. This is a both a GPRA
annual performance goal and GPRA measure. Removal completion totals will not include
Coast Guard leads. Coast Guard lead removals are recorded non-site-specifically in
CERCLIS through the program management screen.
F.B SUBJECT MA TTER EXPERTS
The following exhibit identifies the subject matter experts for Appendix F: Removals.
Subject Matter Expert
Josh Woodyard
Bill Finan
Subject Area
OEM Strategic Planning/
Reporting
Removal Implementation
Phone #
202-566-0738
202-564-7981
Email
woodyard.joshua@epa.gov
finan.bill@epa.gov
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Superfund Program Implementation Manual FY 11
Appendix G: Government Performance and Results Act (GPRA)
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APPENDIX G: Government Performance and Results Act (GPRA)
Table of Contents
G.A Government Performance and Results Act (GPRA) of 1993 G-l
G.A.I Strategic Plan Requirements G-l
a. Comprehensive Mission Statement G-l
b. General Goals and Objectives G-l
c. Description of How General Goals and Objectives Will Be Achieved. G-2
d. Relationship Between Goals in the Annual Performance Plan and in a
Strategic Plan G-2
e. Key Factors Affecting Achievement of General Goals and Objective G-2
f Program Evaluations G-2
G.A.2 Annual Performance Plan G-2
a. Performance Goals G-2
b. Resources G-3
c. Performance Indicators G-3
d. Verification and Validation G-3
G.A.3 Performance and Accountability Report G-3
G.B Superfund GPRA Structure G-3
List of Exhibits
Exhibit G.I. Subject Matter Experts G-6
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APPENDIX G: GOVERNMENT PERFORMANCE AND
RESULTS ACT (GPRA)
G.A GOVERNMENT PERFORMANCE AND RESULTS ACT (GPRA) OF
1993
Superfund's program planning and reporting requirements have evolved and matured in
recent years. The National Goals Project of 2005 and the Chief Financial Officer's (CFO) Act
started the evolution of Superfund program management by shifting the focus from tracking
administrative and program outputs to a results-oriented future (e.g., Superfund environmental
indicators) in which the program is held accountable for achieving quantifiable environmental
results. Superfund has continued its evolution towards more outcome-oriented measures under
the Congressionally mandated GPRA, which provides the overarching principles for Superfund
program management.
Background
In 1993, Congress enacted the Government Performance and Results Act of 1993 (Public
Law 103-62). The Government Performance and Results Act (GPRA) holds federal
agencies accountable for using resources wisely and achieving program results. GPRA
requires agencies to develop plans for what they intend to accomplish, measure how well
they are doing, make appropriate decisions based on the information they have gathered,
and communicate information about their performance to Congress and to the public.
GPRA has three basic requirements -the Strategic Plan, the Annual Performance Plan and
the Annual Performance Report - which are described in detail in the sections that follow.
G.A.2 Strategic Plan Requirements
GPRA requires that the Agency write a strategic plan which covers a minimum period of
six years, beginning in the fiscal year that it is published. The Agency must update its strategic
plan every three years or when there are significant policy, programmatic, or other changes to
any element of the current plan. Minor changes to the strategic plan can be incorporated in
advance of the three-year cycle by including the changes in the annual performance plan. The
latest strategic plan was published in October 2006 and covers 2006 through 2011. The Agency
is currently working on the next update, which will be published in October 2009; therefore,
performance measures might change in FY 2010. Strategic plan elements required by GPRA are
as follows:
a. Comprehensive Mission Statement
The mission statement is a brief statement which defines the basic purpose of the agency.
It focuses on the core programs and activities, including a brief discussion of the enabling
or authorizing legislation and issues Congress specifically charged the agency to address.
b. General Goals and Objectives
The Strategic Plan documents the long-term programmatic, policy, and management
goals of the agency, including the planned accomplishments and the schedule for their
implementation. The general goals and objectives elaborate how the agency will carry out
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its mission. To the extent possible, this should be in the form of outcome-type goals. In
the EPA Strategic Plan objectives are broken down into subobjectives to address specific
issues not captured in the broad objective statements. These subobjectives correspond
with program result codes (PRCs) in the EPA planning and budget structure.
The criteria for the general goals and objectives are as follows: (a) the goals/objectives
need to be precise in order to direct and guide the staff to fulfill the mission of the
agency, (b) the goals/objectives should be within the agency's span of influence, and (c)
the goals/objectives should be defined in a manner that allows future assessment to be
made on whether the goals/objectives were or are being achieved.
c. Description of How General Goals and Objectives Will Be Achieved
This section describes the means the agency will use to meet the general goals and
objectives. This includes, when applicable: (a) operational processes, (b) skills and
technologies, and (c) human, capital, information, and other resources.
d. Relationship Between Goals in the Annual Performance Plan and in a Strategic
Plan
The Strategic Plan should briefly outline: (a) the type, nature, and scope of performance
goals to be included in a performance plan, (b) the relationship between the performance
goals and the general goals and objectives, and (c) the relevance and use of performance
goals in helping determine the achievement of general goals and objectives.
e. Key Factors Affecting Achievement of General Goals and Objective
The Strategic Plan identifies key external factors that are beyond the Agency's control
that could significantly affect the achievement of the general goals and objectives. The
external factor needs to be linked to a goal(s) and describe how the achievement of the
goal could be affected by the factor.
f. Program Evaluations
Program evaluations that were used in preparing the Strategic Plan should be briefly
described. Also, a schedule for future program evaluations needs to be included.
Development of the Strategic Plan is considered to be an inherently governmental
function; therefore, it can only be performed by federal employees.
G.A.3 Annual Performance Plan
Agencies submit an annual performance plan to Congress with the enacted operating plan
for each fiscal year. The performance plan includes:
a. Performance Goals
Objective, quantifiable, and measurable performance goals that define the level of
performance to be achieved by a program activity. At EPA these are called annual
performance goals (APG's).
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b. Resources
A brief description of the operational processes, skills and technology, and the human,
capital, information, or other resources required to meet performance goals.
c. Performance Indicators
Performance indicators to assess the relevant outputs, service levels, and outcomes of
each activity. At EPA these are called annual performance measures (APMs).
d. Verification and Validation
A basis for comparing actual program results with the established performance goals, and
a description of the methodology to be used to verify and validate measured values.
The development of the annual performance plan is considered to be an inherently
governmental function; therefore, it can only be performed by federal employees.
G.A.4 Performance and Accountability Report
Agencies are required to submit an annual performance report to the President and
Congress no later than November 15 of each year. At EPA, this is called the Performance and
Accountability Report (PAR). In FY2011, the Agency will pilot a new approach to submitting
the PAR materials in two separate reports: an Agency Financial Report and an Annual
Performance Report.
The FY 2010 Agency Financial Report (AFR) consists of:
• Managements Discussion and Analysis (MD&A), which provides executive-level
information on EPA's history, mission, organization, and key performance activities;
• EPA's financial statements and analysis;
• the Agency's annual Integrity Act and Audit Follow Up Reports; and
• other required information.
The AFR is due to OMB by November 15, 2010.
The FY 2010 Annual Performance Report (APR) will be submitted in conjunction with
EPA's FY 2012 Congressional Budget Justification (CBJ). It will report the results EPA
achieved against the annual measures in EPA's FY 2010 enacted budget and progress toward the
long-term goals established in the Agency's 2006-2011 Strategic Plan. The APR will be
submitted as Tab 13 of the FY 2012 CBJ, to be issued February 7, 2011.
Development of the annual performance report is considered to be an inherently
governmental function; therefore, it can only be performed by federal employees
G.B SUPERFUND GPRA STRUCTURE
EPA's planning and budgeting architecture for Superfund appropriations is encompassed
in Goal 3 of the 2006-2011 Strategic Plan. The text below is the section of the Strategic Plan that
covers the Superfund program. The remedial GPRA measures are tracked using the SCAP-15
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report. Regions negotiate their own specific targets with Headquarters during annual work
planning sessions. The Agency's Strategic Plan and budget requests can be found on the internet
at http://www.epa.gov/ocfo/. The numerical goals indicated in each strategic target listed below
are national.
Goal 3: Land Preservation and Restoration
Preserve and restore the land by using innovative waste management practices and
cleaning up contaminated properties to reduce risks posed by releases of harmful
substances.
Objective 3.2: Restore Land
By 2011, control the risks to human health and the environment by mitigating the impact
of accidental or intentional releases and by cleaning up and restoring contaminated sites
or properties to appropriate levels.
Sub-objective 3.2.1: Prepare for and Respond to Accidental and Intentional Releases
By 2011, reduce and control the risks posed by accidental and intentional releases of
harmful substances by improving our nation's capability to prevent, prepare for and
respond more effectively to these emergencies.
Strategic Targets:
By 2011, achieve and maintain at least 95 percent of the maximum score on readiness
evaluation criteria in each region.
By 2011, complete an additional 975 Superfund-lead hazardous substance removal
actions. (In FY 2005, 175 of these actions were completed.)
By 2011, oversee and complete an additional 650 voluntary removal actions. (In FY
2005, 137 of these actions were completed.)
By 2011, reduce by 25 percent the gallons of oil spilled by facilities subject to Facility
Response Plan regulations relative to the 601,000 gallons of oil spilled in 2003.
By 2011, inspect (and ensure compliance at) 90 percent of the estimated 4.200 facilities
subject to Facility Response Plan regulations, up from 50 percent in 2004.
Sub-objective 3.2.2: Clean Up and Revitalize Contaminated Land
By 2011, control the risks to human health and the environment at contaminated
properties or sites through cleanup, stabilization, or other action, and make land available
for reuse.
Strategic Targets:
By 2011 make final assessment decisions at 40,491 of 44,700 potentially hazardous waste
sites evaluated by EPA to help resolve community concerns on whether these sites
require long-term cleanup to protect public health and the environment and to help
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determine if they can be cleared for possible redevelopment (By the end of FY07, a total
of 39,766 final site assessment decisions had been made).
By 2011, control all identified unacceptable human exposures from site contamination for
current land and/or groundwater use conditions at 85 percent (1,316) of 1,543 Superfund
human exposure sites. (The universe of 1,543 is the number of National Priorities List
(NPL) sites with potential human exposure pathways as of FY 2005 and includes 172
Superfund federal facility sites. Baseline: By the end of FY 2006, approximately 82
percent (1,266) of sites had human exposure under control.) By 2011 increase to 95
percent the high National Corrective Action Prioritization System (NCAPS)-ranked
RCRA facilities with human exposure to toxins controlled. (The universe of all facilities
that need RCRA Corrective Action will be finalized by the end of 2007 and will include
high, medium, and low ranked facilities.)
By 2011, control the migration of contaminated ground water through engineered
remedies or natural processes, or other appropriate actions at 74 percent (1,017) of 1,381
Superfund groundwater sites. (The universe of 1,381 sites is the number of NPL sites
with groundwater contamination as of FY 2005 and includes 166 Superfund federal
facility sites. Baseline: By the end of FY 2005, 68 percent (937) of sites had groundwater
migration under control.) By 2011, increase to 80 percent the high NCAPS-ranked RCRA
facilities with migration of contaminated groundwater under control. (The universe of all
facilities that need RCRA Corrective Action will be finalized by the end of 2007 and will
include high, medium, and low ranked facilities.)
By 2011, reduce the backlog of LUST cleanups (confirmed releases that have yet to be
cleaned up) that do not meet state risk-based standards for human exposure and
groundwater migration from 26 percent to 21 percent. By 2011, increase to 22 percent the
RCRA facilities with final remedies constructed. (The universe of all facilities that need
RCRA Corrective Action will be finalized by the end of 2007 and will include high,
medium, and low ranked facilities.) By 2011, complete construction of remedies at
approximately 76 percent (1,171) of 1,547 Superfund sites. (The universe of 1,547 sites is
the total number of sites on the NPL as of FY 2005 and includes 172 Superfund federal
facility sites. Baseline: By the end of FY 2005, 62 percent or 966 sites had completed
construction.) (Note that construction completion is a milestone which indicates that all
significant construction activity has been completed, even though additional remediation
may be needed for all cleanup goals to be met.)
By 2011, ensure that 36 percent (345) of 966 final and deleted construction complete
NPL sites are ready for reuse site-wide. (As of July 2006, 20 percent (195) of the 966
final and deleted construction complete NPL sites, including 14 Superfund federal facility
sites, met EPA's definition for ready for reuse site-wide.)
Sub-objective 3.2.3: Maximize Potentially Responsible Party Participation at
Superfund Sites
Through 2011, conserve federal resources by ensuring that potentially responsible parties
conduct or pay for Superfund cleanups whenever possible.
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Strategic Targets:
Each year through 2011, reach a settlement or take an enforcement action before the start
of a remedial action at 95 percent of Superfund sites having viable, liable responsible
parties other than the federal government.
Each year through 2011, address all unaddressed costs in statute of limitations cases for
sites with unaddressed total past Superfund costs equal to or greater than $200,000.
EXHIBIT G.I. SUBJECT MATTER EXPERTS
Subject Matter Expert
Jennifer Hovis
Patricia Kennedy
Rich Norris
Lance Elson
Augusta Wills
Amanda Sutton
Melissa Friedland
Janet Weiner
Bill Finan
Josh Woodyard
Renee Hamilton
Randy Hippen
Subject Area
Construction Completion
Enforcement
Environmental Indicators
Federal Facility Enforcement
Federal Facility Enforcement
Federal Facility Response
Land Reuse
OSRTI/GPRA/Performance
Measures/PART
Removals
Removals
SPIM Coordinator
Site Assessment
Phone #
(703) 603-8888
(202) 564-6061
(703) 603-9053
(202) 564-2577
(202) 564-2468
(703) 603-0055
(703) 603-8864
(703)603-8717
(202) 564-7981
(202) 564-9588
(703) 603-9092
(703) 603-8829
Email
hovis j ennif er@epa. gov
kennedy .patricia@epa. gov
norris.rich@epa.gov
elson.lance@epa.gov
wills . augusta@epa. gov
sutton.amanda@epa.gov
friedland.melissa@epa.gov
weiner.j anet@epa. gov
fman.bill@epa. gov
woody ard.j oshua@epa. gov
hamilton.renee@epa.gov
hippen.randy@epa.gov
October 1,2010
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Superfund Program Implementation Manual FY 11
Appendix H: Community Involvement
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APPENDIX H: Community Involvement
Table of Contents
H.A FY08/09 Targets and Measures H-l
H.A.I Overview of FY11 Community Involvement Target/Measures H-l
a. Community Advisory Groups (CAGs)/Restoration Advisory Boards (RABs)/Site-
Specific Advisory Boards (SSABs) H-l
b. Technical Assistance Grants (TAGs) H-2
c. Technical Assistance Services for Communities (TASC) H-3
H.B CIOB Data Sponsor Responsibilities H-3
H.B.I National Program Requirements and the Data Sponsor Role H-3
a. Program Goals and Objectives H-3
b. Statutory Mandates H-4
c. Regulatory and Policy Requirements H-4
d. Superfund Reforms H-4
e. Reauthorization, Congressional Inquiries, and Audits H-4
H.B.2 CIOB Headquarters and Regional Organization H-8
H.B.3 Program Monitoring and Reporting H-9
a. Data Quality H-9
b. Management Reports H-10
c. Coding Guide H-10
d. Modifications (since last update) H-10
H.C Subject Matter Experts. H-10
List of Exhibits
Exhibit H.I: Community Involvement Requirements H-5
Exhibit H.2: CIOB HQ and Regional Roles and Responsibilities H-9
Exhibit H.3: Subject Matter Experts H-10
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APPENDIX H: COMMUNITY INVOLVEMENT
H.A FY08/09 TARGETS AND MEASURES
H.A.1 Overview of FY11 Community Involvement Target/Measures
The Superfund Comprehensive Accomplishments Plan (SCAP) is used by the Assistant
Administrator for the Office of Solid Waste and Emergency Response (AA OSWER), Assistant
Administrator for the Office of Enforcement and Compliance Assurance (AA OECA), and senior
Superfund managers to monitor the progress each Region is making towards achieving the
GPRA targets and annual performance goals. Actual GPRA objectives do not include any
community involvement activities.
The following pages contain the definitions of the FY11 community involvement
activities: Community Advisory Group Program, Restoration Advisory Board Program, Site
Specific Advisory Board Program, Technical Assistance Grant Program, and Technical Outreach
Services for Communities.
a. Community Advisory Groups (CAGs)/Restoration Advisory Boards
(RABs)/Site-Specific Advisory Boards (SSABs)
Definition:
A Community Advisory Group (CAG) is an organized group of local stakeholders
representing the diversity of community interests for a particular Superfund site. CAGs
serve as a point for exchanging information among local community and EPA, the state
regulatory agency, and other agencies involved in Superfund cleanups. CAGs also
provide a forum for community members to present and discuss their needs and concerns
related to the Superfund decision-making process. CAGs may receive help from EPA,
state, tribal and local governments, and universities in areas such as meeting facilitation,
technical assistance, and administrative support.
Site-Specific Advisory Boards (SSABs) are a forum for experts and concerned
stakeholders to provide advice and recommendations on Department of Energy's (DOE)
Environmental Management strategic decisions. Restoration Advisory Boards (RABs)
provide a forum through which members of nearby communities can provide input to
Department of Defense's (DoD) environmental restoration program.
RABs and SSABs complement other community involvement activities, such as public
meetings, mailings, and local information repositories.
Definition of Accomplishment:
CAG Established Date: The establishment of the Community Advisory Group is defined
as the date (Actual Start) of the first meaningful (not interest finding) Community
Advisory Group Meeting (Action Name = Community Advisory Group).
CAG Closeout Date: Date CAG (Action Name = Community Advisory Group) is
completed/closed out (Actual Complete) by EPA and the CAG.
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RAB/SSAB Start (Established) Date: The actual start of the RAB/SSAB is defined as the
actual start date (Actual Start) of the initial RAB/SSAB information meeting (SubAction
Name = Site-Specific Advisory Board Meeting or SubAction Name = Restoration
Advisory Board Meeting).
RAB Completion (Adjourned) Date: The actual completion (Actual Complete) date of the
Restoration Advisory Board (SubAction Name = Restoration Advisory Board) is the date
the RAB is adjourned by DoD.
SSAB Completion (Terminated) Date: The actual completion (Actual Complete) date of
the Site-Specific Advisory Board (SubAction Name = Site-Specific Advisory Board) is
the date the SSAB is terminated by the Secretary of Energy.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
None.
b. Technical Assistance Grants (TAGs)
Definition:
The Superfund Amendments and Reauthorization Act of 1986 (SARA) established the
TAG program to provide technical assistance to eligible communities. This technical
assistance allows communities to improve the decision making process at their sites.
Definition of Accomplishment:
The start of the TAG (Action Name = Technical Assistance Grant) is the date the award
document is signed by the regional award official. There can only be one active TAG at a
site. For Superfund programmatic purposes, the completion of the TAG is the ending date
of the budget and project period as documented in the award document; as documented in
the one year extension document; as documented in a time period extension document; or
as documented in other documents, such as a memo to the file prepared by the TAG
coordinator to document these decisions. The planned or actual completion date in
CERCLIS (whichever is applicable) must be changed to reflect the date of the most
recent source document, e.g., award document, one-year extension document, memo to
the file, etc. These definitions may be applied to all historical CERCLIS data, including
data prior to FY 89, which is the first fiscal year TAG appeared in the SPIM. In addition,
the TAG completion definitions from previous years may also be used for TAGs
completed within those years.
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
TAG is a program measure. Planned start and completion dates are required in
CERCLIS. Funds may be planned site-or non-site specifically; however, they must be
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obligated site specifically. Funds for TAGs at Federal facility sites are contained in the
Federal facility budget and found in the Federal facility AOA.
If more than one active TAG exists at a site, only the TAG with the earliest actual start
date with no completion date at the site will be counted.
c. Technical Assistance Services for Communities (TASC)
Definition:
Technical Assistance Services for Communities (TASC) was developed to provide
communities that live near hazardous waste sites with independent technical assistance to
help them understand the technical issues related to hazardous substance contamination
and cleanup so that they can substantively participate in the decision-making process.
TASC will be funded by an EPA contract that will be awarded in April 2007.
Definition of Accomplishment:
The start of the TASC is the date when a work assignment or task order has been issued
by the project officer. The date the work assignment or task order was issued should be
reported in CERCLIS as the actual start date (Actual Start) of the TASC (Action Name =
Technical Assistance Services for Communities).
Changes in Definition FY10 - FY11:
None.
Special Planning/Reporting Requirements:
The Region must indicate on the Community Organizations Information screen that the
organization is a TASC recipient.
H. B CIOB DA TA SPONSOR RESPONSIBILITIES
H.B.I National Program Requirements and the Data Sponsor Role
The following statutory, policy, and management requirements establish the mandate for
meeting the program requirements described in the rest of this Appendix. A description of
program goals and objectives, statutory mandates, regulatory and policy requirements, as well as
subsequent program reforms and redirection in measuring program results are included in this
section.
a. Program Goals and Objectives
The goal of Superfund's community involvement program is to encourage
communications with affected citizens and participation in decision-making. Community
involvement is not a phase in Superfund, like a removal or remedial cleanup action, but
rather it is an integral part of the entire process that benefits both the public and EPA. The
program has three main objectives:
Giving the public opportunities to comment on and provide input into technical
decisions that affect their lives;
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- Informing the public of planned or ongoing activities and keeping them apprised
of the nature of the environmental problem, the threats it may pose, the responses
under consideration, and the progress that is being made; and
Focusing and resolving conflict (conflict may be unavoidable in some
circumstances, but it can be constructive if it brings into the open alternative
viewpoints).
b. Statutory Mandates
Sections 113, 117, and 122 of CERCLA, as amended by the Superfund Amendments and
Reauthorization Act (SARA), established seven principle requirements for community
involvement:
- Developing a locally available administrative record;
- Establishing a locally available information repository;
- Notifying the public of the release of the Remedial Investigation/Feasibility Study
(RI/FS) and Proposed Plan, and in the case of removal actions with a planning
period of at least six months, the engineering evaluation/cost analysis (EE/CA);
Providing a public comment period on the RI/FS, Proposed Plan, and EE/CA;
Holding a public meeting on the RI/FS and Proposed Plan and developing a
meeting transcript;
Providing notice and comment period on the Administrative Order on Consent or
Consent Decree; and
Developing a responsiveness summary on comments received on the RI/FS,
Proposed Plan and EE/CA.
c. Regulatory and Policy Requirements
Section 300 of the National Oil and Hazardous Substances Pollution Contingency Plan
(NCP) and subsequent policy directives and guidance documents establish the
requirements for community involvement through every phase of Superfund's cleanup
process. These requirements are presented Exhibit H. 1.
d. Superfund Reforms
Since 1993, EPA has launched three rounds of reforms to address criticisms raised by
affected parties and to improve the pace, cost and public participation aspects of the
program. Each set of reforms consists of various initiatives and pilots focusing on
changes to the program that can be implemented within the existing statutory framework.
The following are reforms related to the Community Involvement area: Community
Advisory Groups; Technical Assistant Grants (TAGs), Community Involvement in the
Enforcement Process Pilots, Pilot Remedy Selection by Selected States and Tribes, Pilot
Community Based Remedy Selection, Superfund Ombudsman in Every Region, and
Improve Communication with Superfund Stakeholders.
e. Reauthorization, Congressional Inquiries, and Audits
CERCLIS is the primary data source to support Reauthorization and Congressional
inquiries, as well as questions from the Inspector General (IG), and General Accounting
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Office (GAO). An example of inquires specific to the Community Involvement program
area is the number of Technical Assistance Grants provided.
EXHIBIT H.1: COMMUNITY INVOLVEMENT REQUIREMENTS
Site Activity Requirement(s) Citation (Source)
For All Removal Actions
Designate an Agency
Spokesperson
(Community
Involvement
Coordinator)
Administrative Record
The Agency must designate a spokesperson to inform the public
about the release and actions taken, to respond to questions, and to
notify immediately affected citizens, State and local officials and,
when appropriate, civil defense or emergency management
agencies.
The Agency must establish an administrative record and make the
administrative record available to the public at a central location at
or near the site, if applicable.
NCP, Section
300.415(m)(l)
SARA Section
113(k); NCP Section
300.820
For Removal Actions with Planning Period of Less Than Six Months
Notice and Availability
of Administrative
Record
Public Comment
Period
Response to Significant
Comments
Within 60 days of the start of on-site removal activity, the lead
Agency must make the administrative record available to the
public and issue a notice of availability in a major local newspaper
of general circulation.
The Agency must provide a public comment period, if appropriate,
of not less than 30 days from the time the administrative record is
made available for public inspection.
The Agency must prepare a written response to significant
comments.
NCP Sections
300.415(m)(2)(I) and
300.820(b)(l)
NCP Section
300.415(m)(2)(ii)
NCP
Section300.415(m)(2
)(iii)
For Removal Actions Expected to Extend Beyond 120 Days
Community Interviews
Community
Involvement* Plan
*(CIP)
Information
Repository
Establishment and
Notification/Notice of
Availability of
Administrative Record
By the end of the 120-day period, the Agency must conduct
interviews with local officials, public interest groups, or other
interested parties to determine their concerns and information
needs, and to learn how citizens would like to be involved in the
Superfund process.
The Agency must prepare a CIP, based on community interviews
and other relevant information that specifies the community
involvement/outreach activities the Agency plans to undertake
during the response. The Agency must complete this CIP within
120 days of the start of on-site removal activity.
Within 120 days of the start of on-site removal activity, the
Agency must establish at least one information repository at or
near the location of removal actions that contains items available
for public inspection and copying. The Agency must inform the
public of the establishment of the information repository and
provide notice of the availability of the administrative record in the
repository.
CP Section
300.415(m)(3)(I)
NCP Section
300.415(m)(3)(ii)
NCP Section
300.415(m)(3)(iii)
For Removal Actions with a Planning Period of at Least Six Months
Community Interviews
and Community
Involvement Plan
*(CIP)
The Agency must follow the same procedures as outlined in the
previous section, except that staff must conduct interviews and
prepare a CIP prior to completion of the engineering
evaluation/cost analysis (EE/CA)
NCP Section
300.415(m)(4)(I)
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Site Activity Requirement(s) Citation (Source)
Information
Repository
Establishment and
Notification/Notice of
Availability of
Administrative Record
The Agency must follow the same procedures as outlined in the
previous section, except that staff must establish the information
repository and make the administrative record available no later
than the signing the EE/CA approval memorandum
NCP Section
300.415(m)(4)(I)
For Removal Actions with a Planning Period of at Least Six Months
Notice of Availability/
Description of EE/CA
Public Comment
Period
Responsiveness
Summary
The Agency must publish a notice of availability and a brief
description of the EE/CA in a major local newspaper of general
circulation.
Upon completion of the EE/CA, the Agency must provide at least
30 days for the submission of written and oral comments. The
Agency must extend this comment period at least 15 days upon
timely request.
The Agency must prepare a written response to significant
comments and make this responsiveness summary available to the
public in the information repository.
NCP Section
300.415(m)(4)(ii)
NCP Section
300.415(m)(4)(iii)
NCP Section
300.415(m)(iv)
Remedial Responses
Prior to Remedial Investigation (RI)
Community Interviews
Community
Involvement Plan
*(CIP)
Information
Repository
Technical Assistance
Grant (TAG)
Notification
The Agency must hold on-site discussions with local officials and
community members to assess their concerns and determine
appropriate community involvement activities.
The Agency must develop and approve a complete CIP based on
community interviews before RI field activities start.
The Agency must establish an information repository to contain
items developed, received, published, or made available pursuant
to SARA Section 1 17. The Agency must make these items
available for public inspection and copying and inform interested
citizens of the establishment of the information repository.
The Agency must inform the public of the availability of TAGs
and include in the information repository material that describes
the TAG application process.
NCP Section
300.430(c)(2)(I)
NCP Section
300.430(c)(2)(ii)(A-
Q
SARA Section
117(d); NCP Section
300.430(c)(2)(iii)
NCP Section
300.430(c)(2)(iv)
Upon Commencement of Remedial Investigation
Administrative Record
Administrative Record
Notification
The Agency must establish an administrative record. The Agency
must consider the participation of interested persons when
developing the administrative record.
The Agency must publish a notice of availability of the
administrative record in a major local newspaper of general
circulation.
SARA Section
113(k); NCP Section
300.815
NCP Section 300.815
Upon Completion of the Feasibility Study (FS) and Proposed Plan
RI/FS and Proposed
Plan Notification and
Analysis
The Agency must publish a notice of the availability of the RI/FS
and proposed plan, including a brief summary of the proposed
plan, in a major local newspaper of general circulation. The notice
also must announce a comment period.
SARA Section
117(a); NCP Section
300.430(f)(3)(I)(A)
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Site Activity Requirement(s) Citation (Source)
Public Comment
Period on RI/FS and
Proposed Plan
Public Meeting
Meeting Transcript
Responsiveness
Summary
The Agency must provide at least 30 days for the submission of
written and oral comment on the RI/FS and proposed plan. This
comment period will be extended by a minimum of 30 additional
days upon timely request.
The Agency must provide an opportunity for a public meeting to
be held at or near the site during the comment period.
The Agency must prepare a meeting transcript and make it
available to the public.
The Agency must prepare a response to significant comments,
criticisms, and new data submitted on the proposed plan and
RI/FS, and ensure that this response document accompanies the
ROD.
SARA Section
117(a)(2);NCP
Section
300.430(f)(3)(c)
SARA Sections 113
andll7(a)(2);NCP
Section
300.430(f)(3)(D(E)
SARA Section
122(1); NCP Section
300.430(c)(5)(I)
SARA Sections 113
and!17(b);NCP
Section
300.430(f)(3)(D(F)
Pre-ROD Significant Changes
Discussion of
Significant Changes
Revised Proposed Plan
and Public Comment
Upon determination that such changes could be reasonably
anticipated by the public, the Agency must include in the ROD a
discussion of significant changes and the reasons for such changes.
Upon determination that such changes could not have been
reasonably anticipated by the public, the Agency must issue a
revised proposed plan that includes a discussion of the significant
changes and the reasons for such changes. The Agency must seek
additional public comment on the revised proposed plan.
NCP Section
300.430(f)(3)(ii)(A)
NCP Section
300.430(f)(3)(ii)(B)
After the ROD is Signed
ROD Availability and
Notification
Revision of the CIP
Site Activity
The Agency must make the ROD available for public inspection
and copying at or near the site prior to the commencement of any
remedial action. Also, the Agency must publish a notice of the
ROD=s availability in a major local newspaper of general
circulation. The notice must state the basis and purpose of the
selected action.
Prior to the remedial design, the Agency should revise the CIP, if
necessary, to reflect community concern, as discovered during
interviews and other activities, that pertains to the remedial design
and construction phase.
NCP Section
300.430(f)(6)
NCP Section
300.435(c)(l)
Post-ROD Significant Changes
Differs significantly from remedy in terms of scope, performance, or costs:
Notice and Availability
of Explanation of
Significant Differences
The Agency must publish a notice that briefly summarizes the
explanation of significant differences and the reasons for such
differences in a major local newspaper, and make the explanation
of significant differences and supporting information available to
the public in the administrative record and information repository.
NCP Section
300.435(c)(2)(I)(A)
and(B)
Fundamentally alters the basic features of the selected remedy with respect to scope, performance, or cost;
Notice of
Availability/Brief
Description of
Proposed ROD
Amendment
The Agency must propose an amendment to the ROD and issue a
notice of availability and a brief description of the proposed
amendment in a major local newspaper of general circulation.
NCP Section
300.435(c)(2)(ii)(A)
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Site Activity Requirement(s) Citation (Source)
Public Comment
Period, Public
Meeting, Meeting
Transcript, and
Responsiveness
Summary
Notice and Availability
of Amended ROD
The Agency must follow the same procedures as that required for
completion of the FS and proposed plan.
The Agency must publish a notice of availability of the amended
ROD in a major local newspaper and make the amended ROD and
supporting information available for public inspection and copying
in the administrative record and information repository prior to
commencement of the remedial action affected by the amendment.
NCP Section
300.435(c)(2)(ii)(B)-
(F)
NCP Section
300.435(c)(2)(ii)(G)
and (H)
Remedial Design (RD)
Fact Sheet and Public
Briefing
Upon completion of the final engineering design, the Agency must
issue a fact sheet and provide a public briefing, as appropriate,
prior to beginning remedial action.
NCP Section
300.435(c)(3)
NPL Additions
Publication of
Proposed Rule and
Public Comment
Period
Publication of Final
Rule and Response to
Comments
EPA must publish the proposed rule in the Federal Register and
seek comments through a public comment period.
EPA must publish the final rule in the Federal Register and
respond to significant comments and significant new data
submitted during the public comment period.
NCP Section
300.425(d)(5)(I)
NCP Section
300.425(d)(5)(ii)
NPL Deletions
Public Notice and
Public Comment
Period
Public Access to
Information
Response to Significant
Comments
Availability of Final
Deletion Package
EPA is required to publish a notice of intent to delete in the
Federal Register and provide notice of the availability of this
announcement in a major local newspaper. EPA must also provide
a comment period of at least 30 days on the proposed deletion.
Copies of information supporting the proposed deletion must be
placed in the information repository for public inspection and
copying.
EPA must respond to each significant comment and any significant
new data submitted during the comment period and include these
responses in the final deletion package.
The final deletion package must be placed in the local information
repository once the notice of final deletion has been published in
the Federal Register.
NCP Section
300.425(e)(4)(I) and
(ii)
NCP Section
300.425(e)(4)(iii)
NCP Section
300.425(e)(4)(iv)
NCP Section
300.425(e)(5)
H.B.2 CIOB Headquarters and Regional Organization
To meet these national program requirements, specific roles and responsibilities have
been identified for the Headquarters' and Regional staff that work in the Community
Involvement program area. The following table summarizes each of these positions along with
their responsibilities.
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EXHIBIT H.2: CIOB HQ AND REGIONAL ROLES AND RESPONSIBILITIES
Title Responsibilities
Community Involvement and
Outreach Branch (CIOB) (HQ)
Director, CIOB (HQ)
CIOB Staff (HQ) and
Community Involvement
Managers (CIMs) (Regions)
CIMs, Remedial Project
Managers (RPMs) and On Site
Coordinators (OSCs) (Regions)
Community Involvement
Coordinators (CICs) (Regions)
Information Management
Coordinator (IMC) (Regions)
Budget Coordinator (Regions)
Facilitate CERCLIS staying closely aligned with the Superfund program,
including developing and updating guidance that requires submission of
these data for national reporting needs, maintaining and updating data
element definitions, and developing and implementing the process of
gathering, reviewing and entering the data into CERCLIS.
Provide a synergy to create useful program policy and guidance to help the
Regions achieve program goals. Act as the central point of contact for the
Regions and is responsible for providing Regional coordination support.
Participate in program reviews, as well as prepare periodic reports on
Regional accomplishments, progress on problems, and respond to quick
turn-around, site specific requests for information from senior management
for Congressional requests, Regional visits or other needs. Serves as a forum
for sharing information, lessons learned and issues on community
involvement activities.
Ensure all data necessary to meet the requirements(s) are in CERCLIS to
support their Regional reporting needs and commitments to Headquarters.
As the data owner, provide current, complete, and consistent data into
CERCLIS that are necessary to met real-time reporting requirements and
review data that are provided in hard copy or electronically submitted.
Coordinate with the CICs to ensure all data necessary to support reporting
requirements are in CERCLIS on a real-time basis.
Ensure all data necessary to support the Regional budget are in CERCLIS
prior to specified calendar events.
H.B.3 Program Monitoring and Reporting
Each reporting and associated data acquisition requirement specific to Community
Involvement is discussed below.
The detail includes: data quality objectives, data needs, as well as reports and associated
coding guidance.
a. Data Quality
One of the goals of the Community Involvement data sponsor is to ensure data quality
which requires data to be correctly entered into CERCLIS. Although the methodology of
acquiring and reviewing data may change over time, both will contain a quality assurance
(QA) process to ensure data quality.
Current, complete, and consistent data in CERCLIS will meet the Community
Involvement data sponsor goals and objectives, as well as support real-time reporting.
The following defines what the Community Involvement data sponsor views as current,
complete, and consistent data:
Current - Data need to be entered as actions occur.
Complete - For the particular data element, all needed information is provided.
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Consistent - Data should be consistent nationally. Also, within CERCLIS, data
should be entered consistent with the data element definitions. The data entered
should be entered using the same standard across all Regions/HQ.
b. Management Reports
SCAP-04 (TAGs)
CERCLIS provides the data necessary to support ad hoc requests as they relate to
Reauthorization, GAO, and IG.
c. Coding Guide
The coding guidance for SCAP measures will be reflected in the Coding Guide.
d. Modifications (since last update)
Send all proposed changes to the appropriate data sponsor for review and approval and
copy the Regional IMC. After the review of the proposed changes is completed, the data
sponsor will send the changes to Robert White for review by Headquarters and Regional
principals including Subject Matter Experts, Data Sponsors, and Senior Process
Managers, if applicable. The preferred method is to mark-up a photo-copy of text you
seek to change. The SPIM is a numbered EPA publication in loose leaf 3-ring binder
format so that changes can be incorporated accordingly.
H. C SUBJECT MA TTER EXPERTS
The following exhibit identifies the subject matter experts for Appendix H, Community
Involvement.
EXHIBIT H.3: SUBJECT MATTER EXPERTS
Subject Matter Expert
Jim Byrne
Amanda Sutton
Freya Margand
Renee Hamilton
Subject Area
Community Involvement
Federal Facilities/
SSABs/RABs
TAGs/CAGs
SPIM Coordinator
Phone #
(703) 603-9006
(703) 603-0055
(703) 603-8889
(703) 603-9092
Email
by rne j im@epa.gov
Sutton.amanda@epa.gov
margand.freya@epa.gov
hamilton. renee @epa. gov
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Superfund Program Implementation Manual FY 11
Appendix I: Superfund Documents
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APPENDIX I: Superfund Documents
Table of Contents
LA Record Definition 1-1
IB Records 1-1
1C SDMS. 1-2
I.D Applicability to Superfund 1-2
List of Exhibits
Exhibit I.I. Core Superfund Documents 1-2
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APPENDIX I: SUPERFUND DOCUMENTS
LA RECORD DEFINITION
Includes all books, papers, maps, photographs, machine-readable materials, or other
documentary materials, regardless of physical form or characteristics, made or received by an
agency of the United States Government under Federal Law or in connection with the transaction
of public business and preserved or appropriate for preservation by that agency or its legitimate
successor as evidence of the organization, functions, policies, decisions, procedures, operations,
or other activities of the Government or because of the informational value of data in them.
Library and Museum material made or acquired and preserved solely for reference or exhibition
purposes, extra copies of documents preserved only for convenience of reference and stocks of
publications and of processed documents are not included. (Source: 36 CFR 1220.14)
I.B RECORDS
The Federal Records Act of 1950, as amended, requires all federal agencies to make and
preserve records containing adequate and proper documentation of their organization, function,
policies, decisions, procedures, and essential transactions. These records are public property and
must be managed according to applicable laws and regulations.
The Federal Records Act also requires agencies to establish a records management
program, defined as a planned, coordinated set of policies, procedures, and activities needed to
manage its recorded information. Essential elements include issuing up-to-date records
management directives, properly training those responsible for implementation, and carefully
evaluating the results to ensure adequacy, effectiveness, and efficiency.
Records serve a number of purposes including:
• administrative and program planning needs
• evidence of EPA activities
• protection of legal and financial rights
• oversight by Congress and other authorized agencies
• documentation of the Agency's history
• the continuation of key functions and activities in the event of an emergency or
disaster
Records serve as the Agency's historical data; they are of critical importance in ensuring
that the organization continues to function effectively and efficiently.
According to: The OEI Records Management Policy that was issued by the EPA Chief
Information Officer, Pursuant to Delegation 1-19, dated 7/07/2005.
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I.C SDMS
SDMS is a key EPA asset used to meet responsibilities of Federal agencies, Congress,
and the Public in Superfund Site Remediation and cleanup, and emergency response support.
SDMS is an electronic repository of Superfund documents routinely used to disseminate records
in response to FOIA requests, Administrative Records, and for litigation support. These records
provide a rich institutional "memory" of the highest importance to the Superfund Program.
SDMS advances e-Government by providing reliable and easily accessible documents to citizens
for making informed decisions in their communities. Beneficiaries of content exported from
SDMS include ordinary citizens, States, Tribes, Congress, and the business community. SDMS
specifically supports Goal 3: Land Preservation and Restoration and Goal 5: Compliance and
Environmental Stewardship of the agency's strategic
plan http ://www. epa. gov/ocfo/pl an/pi an. htm.
SDMS allows increased access to records while reducing physical record storage. For
FY2006 through FY2008 more than 78,000 e-records were captured in SDMS. SDMS fosters
collaboration of information. An example is the 24,548 documents from Region 4 that were
captured in SDMS for Hurricane Katrina. These digital documents, which meet the standard for
e-FOIA, may be distributed to many stakeholders including States, Tribes, concerned citizens,
the legal community, and other Federal agencies.
LD APPLICABILITY TO SUPERFUND
In order to support the documentation/records collection requirements of Superfund
Program a regional emphasis has been to standardize the records collected and stored in SDMS.
The collection has been reviewed and commented upon by Regional Records Managers. This
collection of records should be the core of documents/records included in SDMS.
EXHIBIT LI. CORE SUPERFUND DOCUMENTS
Document
Core
Document
Source
Document
(C3or
ICTS)*
Action Source Corresponds To
SOURCE (Based on FY 2008 Definitions) and/or CORE
104E
INFORMATION
REQUEST
ACTION
MEMORANDUM
ADMINISTRATIVE
ORDER ON
CONSENT
C
C
C
C3
C3
C3
ICTS
ISSUE REQ LTTRS (104e) [1C] - Act Comp
Approval of Action Memo [AM]- Act Comp
ENGINEERING EVAL/COST ANALYSIS (EE) - Act Comp
ADMIN ORDER ON CONSENT [AC] - Act Comp.
PRP FS [NK] - Act Start
PRP RD [BE] - Act Start
PRP REMOVAL [BB] - Act Start
PRP RI [NA] - Act Start
PRP RI/FS [BD] - Act Start
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Document
BANKRUPTCY
REFERRAL/PROOF
OF CLAIM
COMFORT/STATUS
LETTER
COMMUNITY
INVOLVEMENT
PLAN
CONTRACT
MODIFICATION
CONSENT DECREE
CONSENT DECREE
TRANSMITTAL
MEMO
DEMAND LETTER
EE/CA START
APPROVAL
EXPLANATION OF
SIGNIFICANT
DIFFERENCES
FCOR
FEDERAL
REGISTER OF
NOTICE OF
DELETION
Core
Document
C
C
C
C
r
Source
Document
(C3or
ICTS)*
C3
C3
C3
C3
C3
ICTS
C3
C3
C3
C3
TCTS
C3
ICTS
C3
ICTS
Action Source Corresponds To
CLAIM IN BANKRUPTCY PROCEEDING [CB] - Act Start
COMFORT/STATUS LETTER [UB] - Act Comp
Community Relations Plan [CX] - Act Comp
Rev Community Relations Plan [CE] - Act Comp
COMBINED RI/FS [CO] - Act Start
FEASIBILITY STUDY [FS] - Act Start
NEGOTIATION (GENERIC) [NG] - Act Comp
RD/RA NEGOTIATIONS [AN] - Act Comp
REMEDIAL ACTION [RA] - Act Start
REMEDIAL DESIGN [RD] - Act Start
REMEDIAL INVESTIGATION [RI] - Act Start
REMOVAL NEGOTIATIONS [RN] - Act Comp
TECHNICAL ASSISTANCE [TA] - Act Start
Award of Contract [AG] - Act Comp
CONSENT DECREE [CD] - Act Comp
SECTION 106 107 LITIGATION [CL] - Act Comp
SECTION 106 LITIGATION [SX] - Act Comp
SECTION 107 LITIGATION [SV] - Act Comp
CONSENT DECREE [CD] - Act Start
DEMAND LETTERS ISSUED [DL] - Act Comp
ENGINEERING EVAL/COST ANALYSIS [EE] - Act Start
Explanation of Significant Differences [EH] - Act Comp
CLOSE OUT REPORT [CQ] - Act Comp
Grndwtr Monitor (Post-ROD) [GM] - Act Comp
NOTICE OF INTENT TO DELETE [TU] - Act Comp
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Document
Core
Document
Source
Document
(C3or
ICTS)*
Action Source Corresponds To
FEDERAL
REGISTER OF
NOTICE OF
INTENT TO
DELETE
C3
ICTS
NOTICE OF INTENT TO DELETE [TU] - Act Start
FINAL POLREP
(date of
demobilization)
C3
REMOVAL [RV] - Act Comp
PRP REMOVAL [BB] - Act Comp
FF REMOVAL [LV] - Act Comp
PRP EMERGENCY REMOVAL [PJ] - Act Comp
FIRST LETTER
TRANSMITTING
ARTO
REPOSITORY
C3
ADMINISTRATIVE RECORDS [AR] - Act Start
FIRST POLREP/
POLREP 1 (date of
mobilization)
C3
REMOVAL [RV] - Act Start
PRP REMOVAL [BB] - Act Start
FF REMOVAL [LV] - Act Start
PRP EMERGENCY REMOVAL [PJ] - Act Start
FIVE YEAR
REVIEW REPORT
C3
ICTS
FIVE YEAR REVIEW [FE] - Act Comp
FF FIVE-YEAR REVIEW [VY] - Act Comp
Grndwtr Monitor (Post-ROD) [GM] - Act Comp
FIVE YEAR
REVIEW START
MEMO OR
WORKPLAN
FIVE YEAR REVIEW [FE] - Act Start
FF FIVE-YEAR REVIEW [VY] - Act Start
FS WORK PLAN &
AMENDMENTS
C3
FF FS [NI] - Act Start
GENERAL NOTICE
LETTER
C3
Notice Letters Issued [NJ] - Act Comp
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OSWER Directive 9200.3-14-1G-V
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INTERAGENCY
AGREEMENT
LITIGATION
REFERRAL
TRANSMITTAL
LETTER
OVERSIGHT BILL
PCOR
PRELIMINARY
ASSESSMENT (PA)
PROPOSED PLAN
PROSPECTIVE
PURCHASE
AGREEMENT
PRP OVERSIGHT
LETTER
PRP NOTICE OF
INTENT TO
COMPLY
PUBLIC MEETING
RECORD
Core
Document
C
C
Rl Core
Rl Core
Source
Document
(C3or
ICTS)*
C3
C3
C3
C3
C3
C3
C3
C3
C3
C3
Action Source Corresponds To
COMBINED RI/FS [CO] - Act Start
FEASIBILITY STUDY [FS] - Act Start
FEDERAL INTERAGENCY AGREEMENT [FI] - Act Comp
FF FS [NI] - Act Start
FF Rl [NH] - Act Start
FF RI/FS [LW] - Act Start
NEGOTIATION (GENERIC) [NG] - Act Comp
OPERATIONS AND MAINTENANCE [OM - FF Lead] - Act
Comp
PRE DESIGN ASSISTANCE [DA] - Act Start
RCRA CORRECTIVE MEASURE STUDY [MW] - Act Start
RCRA FACILITY INVESTIGATION [MX] - Act Start
RD/RA NEGOTIATIONS [AN] - Act Comp
REMEDIAL ACTION [RA] - Act Start
REMEDIAL DESIGN [RD] - Act Start
REMEDIAL INVESTIGATION [Rl] - Act Start
REMOVAL NEGOTIATIONS [RN] - Act Comp
TECHNICAL ASSISTANCE [TA] - Act Start
LITIGATION (GENERIC) [LT] - Act Start
SECTION 104(E) REF LITIGATION [SF] - Act Start
SECTION 106 107 LITIGATION [CL] - Act Start
SECTION 106 LITIGATION [SX] - Act Start
SECTION 107 LITIGATION [SV] - Act Start
Issuance of Oversight Bill [QZ] - Act Comp
PRELIM CLOSE-OUT REP PREPARED [CM] - Act Comp
PRELIMINARY ASSESSMENT [PA] - Act Comp
Proposed Plan (NU)
Parent actions are Combined RI/FS, PRP RI/FS, FS, PRP FS,
FF FS, and ROD
PPA ASSESSMENT [QX] - Act Comp
Offer to Discuss EPA Oversight Expectations w/PRPs [QY] -
Act Comp
PRPs Ntfy EPA, Intent to Comply [NC] - Act Comp
Public Meeting [JE] - Act Comp
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OSWER Directive 9200.3-14-1G-V
Document
RECORD OF
DECISION (ROD)
REMEDIAL
ACTION REPORT
APPROVAL MEMO
REMEDIAL
ACTION START
MEMO
REMEDIAL
DESIGN 100%
APPROVAL
RI/FS WORK PLAN
& AMENDMENTS
ROD AMENDMENT
SITE INSPECTION
SPECIAL NOTICE
LETTER
UNILATERAL
ORDER
Core
Document
C
C
C
C
C
Source
Document
(C3or
ICTS)*
C3
ICTS
C3
C3
C3
C3
C3
ICTS
C3
C3
C3
ICTS
Action Source Corresponds To
RECORD OF DECISION [RO] - Act Comp
PRP REMOVAL [BB] - Act Comp
REMEDIAL ACTION [RA] - Act Start
REMOVAL [RV] - Act Comp
REMEDIAL ACTION [RA] - Act Comp
PRP RA [BF] - Act Comp
FF RA [LY] - Act Comp
PRP RA [BF] - Act Start
FF RA [LY] - Act Start
REMEDIAL DESIGN [RD] - Act Comp
PRP RD [BE] - Act Comp
PRP RA [BF] - Act Start
FF RI [NH] - Act Start
FF RI/FS [LW] - Act Start
ROD Amendment [JQ] - Act Comp
SITE INSPECTION [SI] - Act Comp
Special Notice Issued [SG] - Act Comp
UNILATERAL ADMIN ORDER [UA] - Act Comp. PRPs
written letter of intent to comply with UAO is the start
date of the PRP RD
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OSWER Directive 9200.3-14-1G-V
Superfund Program Implementation Manual FY 11
Appendix J: American Recovery and Reinvestment Act (ARRA)
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OSWER Directive 9200.3-14-1G-V
APPENDIX J: American Recovery and Reinvestment Act (ARRA)
Table of Contents
J.A General Information J-l
J.A.I Purpose, Contents, and Applicability J-l
a. Why is EPA issuing this guidance? J-l
b. What is in this guidance? J-l
c. To whom does this guidance apply to? J-2
J.A.2 Responsible Officials in the Superfund Program J-2
J.A.3 Ensuring Accountability for Recovery Act Implementation J-2
J.A.4 Roles and Responsibilities of Other EPA Offices J-2
J.A.5 EPA Governance and Risk Management Activities J-3
J.A.6 Inspector General Activities J-4
J.A.7 Links to Other Information J-5
J.B Superfund Remedial Program Provisions of the American Recovery and
Reinvestment Act 7-5
J.B.I Availability of Funds J-5
J.B.2 Objectives of the Recovery Act Funding for the Superfund Remedial Program J-5
J.B.3 Comparison to Regular Appropriations J-6
J.B.4 Eligible Activities J-6
J.B.5 Distribution of Recovery Act Funds J-6
J.B.6 State Cost Share J-7
J.B.7 Monitoring and Evaluating Recovery Act Implementation J-7
J.C Superfund Recovery Act Communications and Reporting J-8
J.C.I Recovery Act Press Release Procedures J-8
J.C.2 Recovery Act Award Notification Procedures J-8
a. Monday Close of Business J-8
b. Tuesday Noon J-8
c. Thursday J-8
d. Friday J-9
J.C.3 Public Communication Procedures J-9
J.C.4 Recipient Reporting Requirements J-9
J.C.5 EPA Reporting Requirements J-10
J.C.6 Weekly Financial and Activity Reports J-10
J.C.7 Agency and Program-Specific Plans J-ll
J.C.8 Performance Measures J-ll
J.C.9 Reporting and Tracking Systems J-12
J.D Recovery Act Budget Execution Guidance for the Superfund Remedial Program... J-14
J.D.I Budget Structure and Coding J-14
J.D.2 Allocating Recovery Act General Resources J-15
J.D.3 Allocating Recovery Act Management and Operation Resources J-15
J.D.4 Reprogramming of Recovery Act Funds J-16
J.D.5 CERCLIS Planning J-16
J.D.6 Projects that are Unable to Use Allocated Recovery Act Funds J-17
J.D.7 Cost Recovery J-17
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OSWER Directive 9200.3-14-1G-V
J.E Recovery Act Superfund Contracts, Interagency Agreements, and Cooperative
Agreements J-17
J.E.I Recovery Act Financial Award Vehicles J-17
J.E.2 Contracts J-18
J.E.3 Interagency Agreements and Interagency Assisted Acquisitions J-18
J.E.4 Best Interest Reviews for Assisted Acquisitions J-18
J.E.5 Direct Cite Programs J-19
J.E.6 Cooperative Agreements J-19
J.E.7 Superfund State Contract Payment Schedules J-19
J.E.8 Socio-Economic Goals J-20
J.E.9 Bona Fide Needs Rule J-20
J.E.10 Infrastructure and Buy American Provisions J-20
J.E. 11 Davis Bacon Act J-21
J.E. 12 Funds-In Interagency Agreements for Federal Facility Oversight J-22
List of Exhibits
J.I. Appendix A Funding Award Notification Template J-23
J.2. Appendix B OMB Definition of Obligation and Outlay J-25
J.3. Appendix C Class Deviation Approval 3/9/09 J-27
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OSWER Directive 9200.3-14-1G-V
APPENDIX J: AMERICAN RECOVERY AND REINVESTMENT
ACT (ARRA)
J.A GENERAL INFORMA TION
J.A.1 Purpose, Contents, and Applicability
a. Why is EPA issuing this guidance?
The U.S. Environmental Protection Agency (EPA) developed this guidance in response
to the American Recovery and Reinvestment Act of 2009 ("Recovery Act" or "Act")
which provides a supplemental appropriation of $600 million for Superfund remedial
activities authorized by the Comprehensive Environmental Response, Compensation, and
Liability Act (CERCLA)1. The Recovery Act requires unprecedented levels of
transparency, accountability, and oversight to ensure that taxpayers know how, when, and
where their tax dollars are being spent. This program guidance is a resource to assist
Headquarters and Regional Superfund remedial program offices in the effective
management of Recovery Act activities and to help ensure that EPA expends the
Recovery Act funds in an accelerated and accountable manner.
b. What is in this guidance?
This guidance provides information on the implementation requirements of the Act for
the Superfund remedial program, the communication and reporting processes related to
Recovery Act funds, enhancements to standard budget execution procedures, and funding
award implementation information.
The goal of this guidance, consistent with the Office of Management and Budget's
(OMB's) accountability objectives for all agencies, is to establish and clarify the requisite
steps the Superfund remedial program, in consultation with Regional acquisition offices,
must take to meet the following crucial accountability requirements of the Recovery Act:
- Funds are awarded and distributed in a prompt, fair, and reasonable manner;
- The recipients and activities related to all funds are transparent to the public and
the benefits of these funds are reported clearly, accurately, and in a timely
manner;
Funds are used for authorized purposes and instances of fraud, waste, error, and
abuse are mitigated;
Projects funded under this Act avoid unnecessary delays and cost overruns; and
1 This document provides guidance to Regional staff and states regarding how the Agency intends to interpret and
implement the American Recovery and Reinvestment Act of 2009. This document does not impose legally binding
requirements, nor does it confer legal rights, impose legal obligations, or implement any statutory or regulatory
provisions. This document does not change or substitute for any statutory or regulatory provisions. Any decisions
regarding a particular situation will be made based on the statute and the regulations, and EPA decision-makers
retain the discretion to adopt approaches on a case-by-case basis that differ from the guidance where appropriate.
FY 11 SPIM J-l October 1, 2010
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OSWER Directive 9200.3-14-1G-V
- Program goals are achieved, including specific Superfund remedial program
performance measure outcomes.
Work conducted with Recovery Act funds will supplement the current cleanup activity
projected to occur using base appropriated program resources.
c. To whom does this guidance apply to?
The provisions of this guidance apply to all EPA offices involved in or affected by the
Superfund remedial activities funded by the Recovery Act. States should work with EPA
Regions to ensure funds are used consistent with the Act.
J.A.2 Responsible Officials in the Superfund Program
The National Policy Managers for the Superfund remedial program are the responsible
officials for ensuring that EPA implements and expends Recovery Act funds in accordance with
the requirements of the Recovery Act and the related procedures outlined in this guidance. In
Headquarters, the responsible official is the Director of the Office of Superfund Remediation and
Technology Innovation (OSRTI). In the Regions, the responsible officials are the Superfund
Program Division Directors.
On March 20, 2009, President Obama issued a memorandum, Ensuring Responsible
Spending of Recovery Act Funds, which establishes requirements for ensuring merit-based
awards, avoiding imprudent projects, and disclosing communications with lobbyists. All federal
personnel involved in Recovery Act implementation must closely review this memorandum and
take all necessary steps to ensure full compliance. The memorandum can be found at
http://www.whitehouse.gov/the_press_office/Memorandum-for-the-Heads-of-Executive-
Departments-and-Agencies-3-20-09/. On April 3, 2009, OMB issued an update to its initial
guidance, providing a second installment of government-wide guidance. The April guidance
supplements, amends, and clarifies the initial guidance. That memorandum can be found at
http://www.recovery.gov/sites/default/files/m09-15.pdf
J.A.3 Ensuring Accountability for Recovery Act Implementation
The Superfund program will ensure that the expenditure and monitoring of Recovery Act
funds is transparent and that appropriate, qualified, and certified staff oversee the use of
Recovery Act resources. Working with established Agency and Recovery Act guidelines, the
Superfund program will ensure that it monitors and reports Recovery Act resource utilization and
project progress in an effective and timely manner. The responsible officials for the Recovery
Act funding (the Director of OSRTI and the Regional Division Directors) will have timely and
regular meetings to resolve any issues related to Recovery Act-funded projects. In addition, EPA
will update personnel performance standards for Agency management and staff to reflect
Recovery Act management and oversight activities.
J.A.4 Roles and Responsibilities of Other EPA Offices
Several EPA offices are responsible for overseeing aspects of the Agency's Recovery Act
implementation to ensure that the Superfund remedial program meets the Act's requirements:
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OSWER Directive 9200.3-14-1G-V
• Office of Environmental Information (OEI) manages the information to support the
goals of the Recovery Act, including transparency, reporting, and accountability. OEI
is responsible for facilitating the transparency of information related to Recovery Act
activities, and ensuring information collection and proper dissemination.
• EPA's Office of Inspector General (OIG) ensures that EPA manages its Recovery Act
funds economically and efficiently. The Act specifically authorizes EPA's OIG to
mitigate fraud, waste, error, and abuse in the use of Recovery Act funds.
• Office of the Chief Financial Officer (OCFO) manages financial services, strategic
planning, Agency budgets, annual plans, and performance and accountability
reporting. Under the Act, OCFO has major responsibilities for risk management tied
to the allocation and distribution of Recovery Act funds. OCFO is responsible for
accounting for EPA's expenditures of these funds.
• Office of Administration and Resources Management (OARM) directs the Agency's
acquisition management function, consistent with the Federal Acquisition
Regulations (Office of Acquisition Management- OAM). OARM also manages EPA's
grants and debarment activities (Office of Grants and Debarment-OGD) as well as the
Agency's human resource and facility management functions. OARM has developed
the Agency's procurement strategy for the Recovery Act to ensure that EPA awards
and distributes the funds in a prompt, fair and reasonable fashion. EPA has designated
Craig E. Hooks, Acting Assistant Administrator of OARM, as the Agency's Senior
Responsible Official (SRO). The SRO has responsibility and authority to coordinate
Recovery Act activities across Agency programs.
• Office of Public Affairs (OPA) coordinates and approves all press events related to
the Recovery Act. They also shepherd press announcements through the OMB and
White House approval process.
• Office of Congressional and Intergovernmental Affairs (OCIR) coordinates and
implements all Congressional Recovery Act notification activities.
• Office of Enforcement and Compliance Assurance (OECA) assists other Federal
agencies in their timely compliance with NEPA, acquires other necessary EPA
approvals for Recovery Act funded actions, and assists with reporting and green
principles coordination.
J.A.5 EPA Governance and Risk Management Activities
The Recovery Act (Division A, Title XV, Subtitle B, 1521) established the Recovery
Accountability and Transparency Board to coordinate and conduct oversight of covered funds
and to prevent fraud, waste, and abuse. OMB will work with agencies to meet the accountability
objectives.
OMB's guidance sets out the requirement that agencies designate a senior accountable
official for Recovery Act activities. EPA has designated Craig E. Hooks, Acting Assistant
Administrator of OARM, as the Agency's Senior Responsible Official (SRO). The SRO has
responsibility and authority to coordinate Recovery Act activities across Agency programs. In
addition, EPA has established a stimulus steering committee, chaired by Susan B. Hazen, which
FY 11 SPIM J-3 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
is organized into eight subcommittees. The following chart shows the steering committee
structure and the chair persons of each subcommittee. Each subcommittee includes an Office of
Solid Waste and Emergency Response (OSWER) representative.
EPA Stimulus Steering Committee
Agency Senior
Responsible Official
Craig E, Hooks
Steering Committee Chair
Susan B. Hazen
Co rsgr ess iona!
C oordination
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J.A.6 Inspector General Activities
The Recovery Act allocated $20 million for the OIG to carry out Agency oversight of the
$7.2 billion of Recovery Act funding allocated to EPA (including the $600 million allocated for
the Superfund remedial program). The OIG has developed an initial plan (March 2009) for
oversight activities and their funds are available for obligation through September 30, 2012.
The OIG will assess whether EPA is using Recovery Act funds in accordance with the
requirements and whether EPA is meeting the Act's accountability objectives. They will also
monitor EPA's progress in achieving program goals and ensure that EPA accurately tracks and
reports expenditure of Recovery Act funds. Their work is being closely coordinated with the
Recovery Accountability and Transparency Board.
Once EPA has awarded its Recovery Act funds, the OIG will focus on performance and
financial audits of the Recovery Act programs. This focus will include evaluating and auditing
EPA's use of the Recovery Act funds and assessing the accuracy of the Agency's reporting
information. The OIG will continue to take proactive actions to prevent mismanagement of funds
and will undertake investigations tied to allegations of fraud, waste, and abuse.
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OSWER Directive 9200.3-14-1G-V
J.A.7 Links to Other Information
More information on the Recovery Act and related guidance and implementation
activities can be found at the following web areas:
• National Recovery Act Website: http://www.recovery.gov/
• EPA Recovery Act Website: http://www.epa.gov/recovery/
• O SRTI Recovery Act Web site:
http://www.epa.gov/superfund/eparecovery/index.html
• Recovery Act Plan for the Superfund remedial program:
www. epa. gov/superfund/eparecovery
• The American Recovery and Reinvestment Act:
http://www.whitehouse.gov/the_press office/ARRA_public review/
• OMB's Recovery Act guidance documents:
- Updated guidance (April 3, 2009)
http ://www.recovery. gov/sites/default/files/m09-15 .pdf
Initial guidance (February 18, 2009
http://www.recovery.gov/files/Initial%20Recoverv%20Act%20Implementing%20
Guidance.pdf.
• EPA Office of Inspector General initial plan for oversight:
http://www.epa.gov/oig/reports/2009/InitialEPAOIG StimulusPlan03-05-09.pdf
J.B SUPERFUND REMEDIAL PROGRAM PRO VISIONS OF THE
AMERICAN RECOVERY AND REINVESTMENT ACT
J.B.I Availability of Funds
The Recovery Act provides $600 million for Superfund remedial activities. In accordance
with the provisions of the Recovery Act, up to 3 percent may be retained by the Agency for
management and oversight purposes. As such, EPA will allocate $18 million to internal EPA
activities related to the management, oversight, and reporting of Superfund Recovery Act funds,
and will allocate $582 million to remedial cleanup activities at sites.
Recovery Act resources for Superfund remedial activities were obligated by September
30, 2010, but are available for expenditure until September 30, 2017. The Recovery Act
management and oversight resources will be available for obligation until September 30, 2011,
and are available for expenditure until September 30, 2018. EPA will incrementally allocate and
obligate management and oversight resources during the three-year obligation period (i.e., 2009 -
2011).
J.B.2 Objectives of the Recovery Act Funding for the Superfund Remedial Program
The overall objectives for the use of Recovery Act funding for the Superfund remedial
program are to further cleanup at National Priorities List (NPL) sites, maximize job creation and
retention, and provide human health, environmental, and economic recovery benefits. EPA will
FY 11 SPIM J-5 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
achieve these objectives by starting new cleanup projects, accelerating cleanups at projects
already underway, increasing the number of workers and activities at cleanup projects, and
returning affected sites to more productive use.
Cleanup activities at Superfund sites receiving Recovery Act funds may also yield
significant site-specific, non-environmental economic benefits, including improved site property
values and job opportunities. EPA will ensure that it conducts Recovery Act-related activities in
a manner that considers environmental justice at sites that suffer disproportionate environmental
impact to ensure that environmentally and economically distressed communities are protected.
The Superfund remedial program will also implement the Recovery Act activities in a
manner that creates an overall healthier environment and lays the groundwork for more efficient,
greener ways to clean up hazardous waste sites. The use of "green technology"2 can emphasize
low-carbon footprint technologies to lower green house gas emissions as well as provide other
substantial "green benefits" such as increased energy and water efficiencies through technology
and use of renewable resources; reduction of land and water contamination and air emissions;
and development of new technologies for broader applications. EPA will consider, to the extent
feasible and permitted by law, using green remediation practices, clean diesel technologies, and
anti-idling practices at Superfund projects receiving Recovery Act funding.
J.B.3 Comparison to Regular Appropriations
There are two main differences between the Recovery Act remedial program funds and
the Superfund remedial program's regular, annual appropriations:
• Unlike the Agency's annual Superfund appropriations which have no required
timeframe for obligation or expenditure, EPA was required to obligate the Recovery
Act appropriation by September 30, 2010 (Recovery Act, Division A, Title XVI,
Subtitle D, 1603) and expend Recovery Act funds by September 30, 2017 (September
20, 2018 for management and oversight resources).
• The Recovery Act includes unique reporting and funds tracking requirements for
activities funded under the Recovery Act (e.g., jobs created, and more frequent
reporting).
J.B.4 Eligible Activities
The Recovery Act neither expands nor limits eligible uses of Superfund remedial funds,
with the exception of prohibiting Recovery Act funds from uses related to casinos and other
gambling establishments, aquariums, zoos, golf courses, or swimming pools. Under the
Recovery Act, EPA will fund cleanup projects it traditionally funds with its annual
appropriations.
J.B.5 Distribution of Recovery Act Funds
EPA will distribute Recovery Act funding in a manner that promotes both a healthier
environment and jobs that benefit the environment. Recovery Act funding will support both new
2 Green Remediation: Incorporating Sustainable Environmental Practices into Remediation of Contaminated Sites
US Environmental Protection Agency, Office of Solid Waste and Emergency Response, EPA 542-R-08-002 April,
2008. Link: http://www.cluin.org/greenremediation/
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OSWER Directive 9200.3-14-1G-V
start and ongoing Superfund remedial projects to provide immediate short and longer-term
health, environmental, and economic benefits. The Agency anticipates that Recovery Act funds
will support at least 51 NPL sites in 28 states across the country. A list of the sites anticipated to
receive Recovery Act funding is on the Superfund Recovery Act web area and can be found at:
http://www.epa.gov/superfund/eparecovery/sites.html.
For projects funded with Recovery Act resources, as with projects funded with regular
appropriations, the Superfund program used one of three types of financial awards to implement
remedial activities-contracts, interagency agreements or cooperative agreements. (See Section 5
for more information)
J.B.6 State Cost Share
The Recovery Act did not provide a waiver from the provision in the Superfund statute
(CERCLA 104(c)(3)(C)) that requires states to pay a 10 percent (or more) cost share for all
remedial actions conducted with federal Superfund appropriations.
In order to ensure that states will agree to satisfy the cost share and other CERCLA
requirements under a Superfund state contract (SSC) without delaying the use of Recovery Act
funds for Superfund remedial activities, EPA modified the timeframe requirements associated
with SSC cost share agreements. EPA's regulation normally requires that a state pay its cost
share upon completion of all activities within the scope of the SSC. Recognizing the economic
and budgetary constraints states currently face, EPA issued a class deviation to modify these
requirements. Under the class deviation, EPA negotiated with SSC signatories to set a mutually
agreeable final payment date for all SSCs signed or amended from February 17, 2009, through
September 30, 2010. (See Section 5 for more information)
J.B.7 Monitoring and Evaluating Recovery Act Implementation
EPA Headquarters reviewed Recovery Act resource utilization and performance progress
on a regular basis. Headquarters also discussed any concerns related to Recovery Act resource
utilization, activities, and progress with the Regions during established mid-year and end-of-year
Superfund remedial program work planning meetings.
Activity
Evaluate Recovery Act resource utilization and performance progress
Re-allocate funds, if necessary
Complete obligation of Recovery Act Funds to all sites (Internal OSRTI goal: September 30,
2009)
Projected Date
Monthly
Quarterly
September 30,
2010
All EPA Recovery Act awards (i.e., cooperative and interagency agreements, and
contract work assignments or task orders) included reporting requirements. The purpose of these
reports is to provide EPA with detailed project progress information in a manner consistent with
the reporting requirements identified in the Recovery Act (Division A, Title XV, Subtitle A,
1512).
EPA also conducted quarterly in-depth reviews to ensure Recovery Act recipients are
making sufficient progress with Recovery Act funds. These reviews allowed EPA to ensure that
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OSWER Directive 9200.3-14-1G-V
recipients were expending Recovery Act funds quickly and prudently. Funds that EPA identified
as being at risk of not being spent in a timely matter were re-obligated to another project in order
to meet the statutory deadline of obligating all funds by September 30, 2010. In order to monitor
and preserve accountability for Recovery Act expenditures, the Superfund remedial program will
follow OKI's Management Action Plan, "Quality Assuring EPA's ARRA Grants, Contracts, and
Interagency Agreements".
J. C SUPERFUND RE CO VER Y ACT COMMUNICA TIONS AND
REPORTING
J.C.I Recovery Act Press Release Procedures
The Administrator announced on April 15, 2009 that EPA would be distributing
approximately $600 million to 51 Superfund sites; the announcement included a site list. With
the exception of three sites, the Regions issued press releases for all of the sites receiving
Recovery Act funds.
The process and template for subsequent press releases on Recovery Act activities has
been provided to the Regional Public Affairs Directors (PADs). If Regions are interested in
doing a press release on site-specific Recovery Act activities they should contact OSRTI
(Suzanne Wells at 703-603-8863, wells.suzanne@epa.gov; and Lois Gartner at 703-603-8711,
gartner.lois@epa.gov) and the OSWER Communications Director (Marsha Minter at 202-566-
0215, minter.marsha@epa.gov).
J.C.2 Recovery Act Award Notification Procedures
Prior to the funding of any Recovery Act awards including contracts, interagency
agreements (lAs), and cooperative agreements (but not including management and oversight
funds), EPA must notified the White House in advance of the award according to this process.
Note that the project was ready to be funded when White House notification is made. The
template for Recovery Act financial award notifications can be found in Appendix A.
a. Monday Close of Business
- Regional Recovery Act points of contact (POC) sent award notifications for
contract actions to OAM (Tim Farris) and award notifications for lAs and
cooperative agreements to OGD (Catherine Vass and Alexandra Raver) with a cc
to OSRTI (James Woolford, Robin Richardson, Elizabeth Southerland, and
Phyllis Anderson).
b. Tuesday Noon
- OARM completed a table for Recovery Act awards and submitted that table to the
White House by noon. OARM copies OP A, OCIR, OCFO, Susan Hazen, the
Regions, and Headquarters program offices.
c. Thursday
- If there is no feedback from the White House, the Recovery Act awards moved to
"stand by" pending Congressional notification. Regional POCs were notified by
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Thursday if there was a problem. It is important to note that Congressional
notification should be made prior to any public notification.
d. Friday
If no problems had been identified, awards were signed and obligations
completed.
J.C.3 Public Communication Procedures
On an ongoing basis, EPA will provide information on the performance, progress, and
accomplishments of Superfund-related Recovery Act remedial activities in a transparent fashion,
as outlined in the Agency and Recovery Act guidelines. The Agency will also continue to
publicize information regarding site activities as required by CERCLA.
Recovery Act progress information will be posted on the EPA Recovery Act web area at
www.epa.gov/recovery as well as on the Federal Recovery Act web area at
http://www.recovery.gov. The Superfund remedial program has also created its own web area,
located at www.epa.gov/superfund/eparecovery and will publicly post information on activities
conducted with Recovery Act funds.
In addition, site-specific information for all sites receiving Recovery Act funding is
available through individual site fact sheets located on the Superfund program web area at
http://cfpub.epa.gov/supercpad/cursites/srchsites.cfm. EPA's Cleanups in My Community web
tool can be used to create maps of Superfund sites receiving Recovery Act resources. The
Cleanups in My Community tool can be accessed by using the instructions on the following
webpage: http://iaspub.epa.gov/Cleanups/.
Superfund Remedial Program Recovery Act Public Communications Flow
recovery.gov
epa.recovery.gov
epa.recovery.gov/
superfund/eparecovery
Broad Detailed More Detailed
Information Information Information
TExact Web Address: http://cfpub.epa.gov/supercpad/cursites/srchsites.cfm
Site Factsheets on
epa.gov/superfund*
Site-Specific
Information
J.C.4 Recipient Reporting Requirements
The Recovery Act and OMB's guidance require extensive reporting from recipients of
Recovery Act funding. The Recovery Act defines "recipient" as any entity that receives
Recovery Act funds directly from the Federal Government (including Recovery Act funds
received through cooperative agreement or contract) other than an individual and includes a State
that receives Recovery Act funds. See Division A, Title XV, Subtitle A, 1512 of the Recovery
Act.
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Section 1512(f) of the Recovery Act requires recipient reporting to begin 180 days after
enactment and for reports to be submitted by recipients 10 days after the end of each calendar
quarter. This results in an initial statutory reporting deadline of October 10, 2009, with quarter
reports due 10 days after the end of each calendar quarter thereafter. Detailed reporting
instructions are available at http://www.FederalReporting.gov.
J.C.5 EPA Reporting Requirements
OMB's Recovery Act guidance sets out the schedule for Agency reporting requirements
under the Recovery Act. The following table provides a sampling of Agency level Recovery Act
reports.
Reporting Requirement
Funding Award
Notification Reports
Regional Submissions for
the Weekly Financial and
Activity Reports (see
Section 3. 6)
Weekly Financial and
Activity Reports (see
Section 3. 6)
Award-level Reporting (as
required for
USAspending.gov)
OSRTI
From
Regional
POC
Regions
OSRTI
TBD
OSWER
To
OAM for contracts (Tim
Farris), OGD for lAs and
cooperative agreements
(Catherine Vass/Alexandra
Raver)
OSRTI (thru CERCLIS web
module)
OSWER
TBD
N/A
CC
James Woolford,
Elizabeth
Southerland, Robin
H. Richardson,
Phyllis Anderson
N/A
N/A
TBD
N/A
Projected Date
Immediate/ongoing
Weekly /ongoing
Weekly/ongoing
TBD
Draft: May 1, 2009;
Final: May 15, 2009
J.C.6 Weekly Financial and Activity Reports
OMB's guidance requires all agencies receiving Recovery Act funds to submit weekly
financial and activity reports. These are broad-level reports that are posted on the federal
Recovery Act web area at http://www.recovery.gov/?q=content/agency-weekly-reports. The
reporting frequency and details have changed slightly over time, reflecting the information needs
of the Administration and the public.
The weekly financial reports provide total obligations and gross outlays to date (See
Appendix B for OMB's definitions of obligations and outlays). For EPA, the financial report was
developed by the Office of the Chief Financial Officer (OCFO) and the information is drawn
from the Agency's Integrated Financial Management System (IFMS). The monthly activity
reports provide a short bulleted list of the major activities taken to date and major planned
activities. "Major" actions include those of likely interest to senior government officials,
Congress, and the public. The Superfund monthly activity reports were developed by OSRTI,
and then posted on http://www.epa.gov/Superfund/EPARecovery/index.html.
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Currently, the Superfund monthly activity reports are at a broad program level. OSRTI
anticipates collecting major activity information from the Regions on a weekly basis for
inclusion in the report. It is anticipated that the Regions will enter major site-specific activity
information into the Comprehensive Environmental Response, Compensation and Liability
Information System (CERCLIS) using a webform. The webform will be pre-populated with
Superfund site and Recovery Act program information already stored in CERCLIS. By the 5th
business day of each month, the Regions will input information into the webform on any major
cleanup activities achieved the previous month and any major activities anticipated in the month
ahead. If there are no major activities that have occurred or are planned, then the Regions do not
need to enter any information in CERCLIS. On the following day, Headquarters will compile the
regional contributions into the Superfund monthly activity report summary that will then undergo
EPA review and be released to the public.
J.C.7 Agency and Program-Specific Plans
Guidance issued by the Office of Management and Budget (OMB) required programs
receiving funding under the Act to develop formal Agency and program-specific plans that
summarized planned implementation activities. Draft plans were due to OMB no later than May
1, 2009 and were finalized on May 15, 2009. The Agency and Superfund remedial program
Recovery Act plans are posted on recovery.gov.
J.C.8 Performance Measures
The Superfund program will measure its Recovery Act performance using the eight
performance measures listed in the table on the following page. These measures will be reported
for the public on EPA's Recovery Act website (https://www.epa.gov/recovery).
Performance
Measure
Total Number of
Sites in Receipt of
Recovery Act
Funding
Total Number of
Projects in Receipt
of Recovery Act
Funding
Total Number of
Sites with New
Construction in
Receipt of Recovery
Act Funding
Total Number of
Projects with New
Construction in
Receipt of Recovery
Act Funding
Percentage of
Recovery Act
Funding Obligated
Source
CERCLIS,
IFMS,
eFacts
CERCLIS,
IFMS,
eFacts
CERCLIS,
IFMS,
eFacts
CERCLIS,
IFMS,
eFacts
IFMS
Description/Definition
The total number of National Priorities List (NPL)
sites where Recovery Act resources were obligated.
The total number of projects at NPL sites where
Recovery Act resources were obligated.
The total number of NPL sites where Recovery Act
resources were obligated for new construction.
The total number of new construction projects at
NPL sites where Recovery Act resources were
obligated.
The amount of Recovery Act resources obligated
divided by the total amount of Recovery Act funds.
Reporting
Frequency
Monthly
(5th
Business
Day)
Monthly
(5th
Business
Day)
Monthly
(5th
Business
Day)
Monthly
(5th
Business
Day)
As needed
Reporting
Office
OSRTI
OSRTI
OSRTI
OSRTI
OCFO
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Performance
Measure
Number of Projects
Receiving Recovery
Act Funding
Achieving
Completion
Number of Sites
Achieving
Construction
Completion (CC)
with Recovery Act
Funding
Number of Sites
Achieving Human
Exposure under
Control (HEUC)
with Recovery Act
Funding
Source
CERCLIS
CERCLIS,
eFacts
CERCLIS,
eFacts
Description/Definition
The number of projects receiving Recovery Act
funding achieving completion by the end of FY2012
(Completion of projects is defined as those projects
receiving Recovery Act funds which achieve a
CERCLIS action for remedial action completion or
remedial design completion as defined through the
Superfund Program Implementation Manual).
The number of sites receiving Recovery Act funding
achieving construction completion by the end of FY
2012 (The current FY 2009 through FY 2012 CC
GPRA targets for the Superfund remedial program
include accomplishments anticipated at Recovery
Act funded sites).
The number of sites receiving Recovery Act funding
achieving HEUC by the end of FY 2Q\2(The current
FY 2009 through FY 2012 HEUC GPRA targets for
the Superfund remedial program include
accomplishments anticipated at Recovery Act funded
sites).
Reporting
Frequency
Monthly
(5th
Business
Day)
Monthly
(5th
Business
Day)
Monthly
(5th
Business
Day)
Reporting
Office
OSRTI
OSRTI
OSRTI
EPA will use the first six measures, which are new, for Recovery Act reporting purposes
only. The last two measures are based on existing Government Performance and Results Act
(GPRA) measures that EPA uses for traditional Annual Performance Reporting and will now
also use to track Recovery Act accomplishments. EPA chose all of the measures to reflect new
and continuing cleanup activities at Superfund sites receiving Recovery Act funding.
EPA will use the Annual Commitment System (ACS) to track performance for these
measures, using codes to be created specifically for this purpose (more guidance will follow
from OCFO). OSRTI anticipates that these ACS codes will be similar to the parallel codes
previously established for the EPA Quarterly Report (EQR). Until Headquarters provides further
instructions, Regions should continue to promptly enter their performance data into the
Comprehensive Environmental Response, Compensation, and Liability Information System
(CERCLIS) according to normal business operations. Headquarters will utilize CERCLIS data to
enter accomplishments into ACS for all Recovery Act accomplishments.
J.C.9 Reporting and Tracking Systems
Recovery Act funding for the Superfund remedial program will be tracked and reported
from two EPA databases. Financial data will be reported from the Integrated Financial
Management System (IFMS) and program data will be reported from CERCLIS. The primary
device used to automate reports, graphics, and charts for Superfund remedial program Recovery
Act information will be the OSWER Performance Assessment Tool (PAT) and Superfund
eFacts. The following diagram illustrates the flow of data between these systems to support
Superfund remedial program data moving to the EPA Recovery Act web area.
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Superfund Remedial Program Recovery Act Data Flow
www.epa.recovery.gov
OSWER Performance
Assessment Tool
• IFMS: This database will be the primary location of all financial information related
to Recovery Act funds. EPA has modified IFMS to contain the necessary budget
structure and account coding for FY 2009 Recovery Act funds (See Section 4 for
more details on the budget structure and account coding). Data for reporting actual
obligation and expenditure data will be pulled from IFMS.
• CERCLIS: This is EPA's primary database to report data for NPL sites and non-NPL
Superfund sites. EPA has modified CERCLIS to track budget accounting codes
related to Recovery Act data elements, including fund account coding and program
priority flags. The Superfund Comprehensive Accomplishment Plan (SCAP) reports
in CERCLIS also reflect new account coding. In addition, CERCLIS data may be
used to populate new eFacts reports, reports from OSWER's PAT, or ReportLink
reports specifically designed to track sites and projects receiving Recovery Act funds.
More detail will follow as EPA specifies additional job-related and progress-related
requirements and procedures for reporting.
• Superfund eFacts: This tool will serve as the primary internal servicing resource tool
for organizing and reporting data on Recovery Act activities. Information will be
extracted from both IFMS and CERCLIS and used to populate eFacts to provide the
required Recovery Act reports. It is important to note that eFacts reports provide
CERCLIS data at a certain time (e.g., reports pulled on March 10th reflect
accomplishments in the database as of March 9th). A specific Recovery Act section in
the Superfund eFacts intranet web area will display frequently used charts, forms, and
graphics to report the performance measures previously noted in Section 3.8. Some of
these charts will allow site-specific drilldown capability to provide additional site
detail. For additional information on eFacts or to obtain intranet access to eFacts,
contact Sheldon Selwyn at 703-603-8776, or selwyn.sheldon@epa.gov.
• OSWER Performance Assessment Tool (PAT): This tool will serve as the primary
external servicing resource for organizing and reporting data on Recovery Act
activities. PAT is a central reporting mechanism for OSWER traditional performance
data, which collects information from OSWER program systems, and conforms it for
uniform reporting and data provisioning. OSWER has modified PAT to support not
only traditional OSWER reporting, but also for Recovery Act purposes. PAT will
collect Recovery Act measures data for Superfund, Brownfields, and Leaking
Underground Storage Tanks, then deliver that data to EPA staff and managers via a
business intelligence dashboard interface for analytic and reporting use. OSWER
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developed PAT reporting tools to report Recovery Act site information for program
reporting measures to include sites achieving Construction Completion, Human
Exposure Under Control, and Site-Wide Ready for Anticipated Use. In addition, PAT
will deliver the same data to the Agency's Recovery Act reporting facility for
submission to OMB's Recovery.gov site.
J.D RECOVERY ACT BUDGET EXECUTION GUIDANCE FOR THE
SUPERFUND REMEDIAL PROGRAM
J.D.I Budget Structure and Coding
To maximize the transparency of Recovery Act spending, agencies must separately track
Recovery Act apportionments, allotments, obligations, and expenditures. The following table
provides an outline of the budget structure and coding that EPA has established for Recovery Act
Superfund resources:
Recovery Act: Superfund Remedial Actions
Appropriation Code:
Fund Code:
Budget Fiscal Years:
NPM:
NPM Code:
PRC Codes:
Activities Codes:
Add-On Codes:(positions 5-7 of Budget Org Field):
Recovery Act: Reimbursable Superfund Remedial Actions
Appropriation Code:
Fund Code:
Budget Fiscal Years:
NPM:
NPM Code:
PRC Codes:
Activities Codes:
Add-On Codes:(positions 5-7 of Budget Org Field):
Recovery Act: Superfund Management and Oversight
Appropriation Code:
Fund Code:
Budget Fiscal Years:
NPM:
NPM Code:
PRC Codes:
Activities Codes:
Add-On Codes:(positions 5-7 of Budget Org Field):
T
TS
2009/2010
OSWER
D
302DD2
C,D,E
T
TRS
2009/2010
OSWER
D
302DD2
C,D,E
B
BS
2009/2011
OSWER:
D
ZZZDJ8
C,D,E
RSF
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J.D.2 Allocating Recovery Act General Resources
OSRTI is responsible for allocating "Recovery Act: Superfund Remedial Actions" (Fund
Code: TS) to the Regions. By law, these resources were available for obligation until September
30, 2010 and are available for expenditure until September 30, 2017. In order to identify and
track the allocation of TS funds, OSRTI developed a Region-specific "FY 2009 Recovery Act
Remedial Action (RA) Funding Plan". This plan contained information on a site/project-specific
basis (site/RAT/ACT codes), including the total amount of funds planned for allocation to the
Regions during FY 2009, the actual allocated amounts, and the amounts remaining to be
allocated for the remainder of the year. Although the plan primarily pertained to funding RA
activity, it also supported a small number of pipeline (remedial design) activities in support of
remedial action projects. Although no further obligations will take place, EPA will maintain and
update the plan in subsequent years until the Agency expends or deobligates all TS funds. The
plan does not include project obligations and expenditures information; however, such
information can be found elsewhere, as described in the following sections.
The Recovery Act funding plan documents funding decisions and any later modifications
to those decisions. Throughout the FY2009 & FY2010, OSRTI monitored this plan in
partnership with the Regions to accommodate changing project circumstances and to adjust
project-specific funding decisions. Regions immediately discussed any modifications to the plan
with their OSRTI/Assessment and Remediation Division (ARD) regional coordinator for
design/construction.
The Recovery Act RA Funding Plan is updated continuously as necessary and is
reviewed by OSRTI management on a bi-weekly (i.e., twice monthly) basis. OSRTI management
will also review Superfund eFacts reports to monitor the financial status of each project on the
Recovery Act RA Funding Plan. Also, in addition to routine staff level interaction with the
Regions, OSRTI will use scheduled Superfund Remedial Program work planning discussions
with the Regions to assess progress in using Recovery Act resources in a timely and efficient
manner and meeting Superfund program and Recovery Act objectives.
J.D.3 Allocating Recovery Act Management and Operation Resources
*Note: this section is pending further edits*
OSRTI is also responsible for allocating "Recovery Act: Superfund Management and
Oversight" ("BS") resources to the Regions. These resources are available for obligation until
September 30, 2011. Because BS resources are for management and oversight purposes, they
will be allocated on a Region-specific rather than site-specific basis over a three year period.
Pursuant to the pending Program/Project Description Book narrative for the new Recovery Act
Program/Project "J8", Superfund management and oversight resources may be used to:
• Coordinate, monitor, and evaluate an alytical, technical, and financial aspects of
Recovery Act funded Superfund remedial cleanups, including making site visits and
overseeing contracts, contract modifications, interagency agreements (lAs), and
cooperative agreements;
• Provide liaison to states and communities affected by Recovery Act funded
Superfund remedial cleanups, including managing state cost share agreements
(Superfund State Contracts (SSCs) or cooperative agreements);
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• Provide high level review and analysis of project and financial information submitted
to EPA and reported to Agency management and the public (e.g., Recovery.gov);
• Provide resources to states and tribes through support agency cooperative agreements
to support Recovery Act funded Superfund remedial cleanups; and
• Modify existing IT systems to address collection and reporting requirements of
Recovery Act required data and information.
OCFO has subdivided the BS budget into three portions, to be allocated each of three
years. In FY 2009, OSRTI will reprogram the FY 2009 BS resource allotment to the Regions
based on the following methodology:
• Each Region will first receive a fixed share (5%) of FY 2009 BS resources, based on
the presumption that each Region has a minimal BS requirement, regardless of the
amount of Recovery Act remedial resources it receives.
• The remainder of "BS" resources will be allocated to each Region based on the total
amount of Recovery Act remedial construction resources it will receive based on the
OSRTI Recovery Act Remedial Construction Funding Plan.
Headquarters intends to retain this methodology for allocating subsequent years BS
resources but minor adjustments will be considered based on regional utilization and changes in
regional plans.
J.D.4 Reprogramming of Recovery Act Funds
*Note: This section is pending further edits*
OSRTI reprogrammed BS resources from another 9R account in IFMS to the appropriate
Region pursuant to the M&O methodology described in the previous section. As noted in the
table above, OSRTI reprogrammed all BS resources to the "ZZZDJ8" PRC and will use the
"RSF" add-on code in the 5-7 positions of the Budget Organization field of the IFMS account
number.
A Region could choose which Budget Object Class (BOC) and which Allowance Holder
should receive BS resources ("A" or "O" account). "A" account resources are for extramural
(BOCs 36, 37, 41) remedial program purposes only and their use must be planned out in
CERCLIS. Payroll (BOC 10) and site travel resources (BOC 28) should be reprogrammed to the
"0" account, though other BOCs may also be used in the "0" account. Although OSRTI expects
that most BS resources will be used site-specifically, BS resources may also be used non-site-
specifically but they must directly support implementation of Recovery Act Superfund remedial
program activities. Regions may only use BS resources for costs incurred from 3/15/2009
forward. Site travel resources may only be used at sites that are receiving TS funds.
J.D.5 CERCLIS Planning
The CERCLIS database will be used to plan obligations of TS and BS resources.
Appropriate revisions to CERCLIS planning screens and reports contain the required code
structures.
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Management and Oversight (Fund Code: BS) resources have significantly more coding
requirements than TS resources. The BS resources not only use different fund and PRC codes
(akin to EPM resources), but also require the use of add-on codes in the Budget Organization
field of the IFMS account number that override the Site Allowance code. CERCLIS has been
modified to automatically assign the appropriate PRC and add-on codes to any planned
obligation that used the BS fund code.
Since BS resources are three-year appropriations, both the BFY (budget fiscal year) and
EFY(end fiscal year) must also be included in the IFMS account number. Procurement officials
must take care to add the appropriate data ("2011") into the EFY field (or alternatively "2009-
20011" into the BFY field, as appropriate) in procurement request forms and when entering
commitment and obligation information for BS resources into IFMS. Once a Region obligates
Recovery Act BS resources, it must make a corresponding adjustment to its approved planned
obligation financial transaction data in CERCLIS. Planning data may not be modified at the time
of resource commitment.
J.D.6 Projects that are Unable to Use Allocated Recovery Act Funds
On September 30, 2010, budget authority to incur new obligations against the Recovery
Act appropriation of TS resources expired. Once this budget authority ended, no new obligations
can be incurred against the appropriation. Expired obligated balances (unliquidated obligations)
and unobligated balances will remain available until September 30, 2017, to liquidate obligations
(expended funds) that were properly incurred prior to September 30, 2010.
J.D.7 Cost Recovery
For cost recovery purposes, the Recovery Act is a supplemental appropriation and thus
should be treated the same as the annual Superfund remedial program appropriation. Any cost
recovery funds must be returned to the Trust Fund for future appropriations as required by 26
U.S. C. 9507 or, if future work is anticipated at the site, placed into a special account, under the
authority of CERCLA 122(b)(3). Unlike annual Superfund remedial program "no-year"
appropriations, by law Recovery Act funds had to be obligated by September 30, 2010, and
therefore, expenditures of stimulus funds were included in any reclassification of special account
resources unless they could have been recertified and obligated before September 30, 2010 and
liquidated by September 30, 2017. There are no stimulus-specific coding requirements for
recoveries of EPA costs incurred using Recovery Act funds or for the establishment of special
accounts using such recoveries.
J.E RECOVERY ACT SUPERFUND CONTRACTS, INTERAGENCY
AGREEMENTS, AND COOPERA TIVE AGREEMENTS
J.E.I Recovery Act Financial Award Vehicles
The support for Superfund remedial program activities under the Recovery Act occurred
through three types of financial awards: EPA contracts, interagency agreements, and cooperative
agreements. The following table identifies the type of financial vehicle in conjunction with the
anticipated recipient and description.
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Type of Financial Vehicle
EPA Response Action Contracts (RACs), Site-
Specific Contracts, and Emergency and Rapid
Response Services (ERRS) Contracts
Interagency Agreements (IAs) with the US
Army Corps of Engineers (USAGE), primarily
Interagency Assisted Acquisitions (lAAs)
Cooperative Agreements (CAs)
Type of
Recipient/Beneficiary
Contractors
Contractors
States, Political
Subdivisions, or Tribes
Description
Use of existing competitively
awarded contracts and some new
awards to site-specific contracts
Use of lAs with existing
competitively awarded contracts and
some new awards
All CAs with States, Political
Subdivisions, or Tribes are non-
competitively funded
Each of these vehicles has unique programmatic and administrative procedures as
described in the following sections. For acquisition or contract guidance, please refer to the
contract guidance issued by the Office of Acquisition Management (OAM).
http://oamintra.epa.gov/files/OAM/recoveyact.pdf. For IA and CA guidance, there are separate
guidance documents prepared for each by the Office of Grants and Debarment (OGD).
(http://epa.gov/ogd/).
J.E.2 Contracts
Typically, Superfund remedial activities are conducted using Response Action Contracts
(RACs), site-specific contracts, or task orders awarded under the Emergency and Rapid
Response Services (ERRS) contracts. Information regarding other vehicles for Superfund
remedial work appears in subsequent sections.
When adding funding to an existing contracting vehicle, Regions needed to issue a new
tasking document to the contractor to ensure segregation of Recovery Act activities and funds
and to comply with OMB's contract guidance. Regions could "cross-over" to another Region to
obtain additional contract capacity, although the Region should consult the headquarters RAC
liaison in OSRTI prior to making a RAC "cross-over" decision.
J.E.3 Interagency Agreements and Interagency Assisted Acquisitions
Superfund remedial program activities conducted through interagency agreements (IAs)
are typically agreements with the U.S. Army Corps of Engineers (USAGE) for their support in
the acquisition and management of remedial contracts (i.e., lAAs). For ongoing work, the
Regions may chose to amend existing lAs, provided that the amendment is within scope of the
existing lAs, or award new lAs. If the Region intends to use an IA amendment, that IA
amendment must show how the Recovery Act work will be segregated and tracked. Regions
should work with the USAGE to ensure site-specific monthly progress reports adequately
segregate Recovery Act funded activities and associated costs. The Interagency Agreement
Shared Service Center (IASSC) Web site, http://intranet.epa.gov/ogd/IASSC/main/index.htm
contains the applicable IA forms and terms and conditions for lAs with the USAGE.
J.E.4 Best Interest Reviews for Assisted Acquisitions
USACE's IAs utilizing contractors for remedial work are considered interagency assisted
acquisitions (lAAs). Only new lAs with contracting require best interest determinations.
OSWER requested a class best interest determination, which OAM approved on April 7, 2009.
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OAM has provided a cover memorandum outlining the roles and responsibilities of project
officers and contracting officers in implementing the determination. The class determination and
the form for Contracting Officer (CO) review can be found on the IASSC Web site.
Additionally, as part of the class determination, Regions must continue to follow the justification
and documentation requirements of OSRTI's April 3, 2008 policy on selecting another federal
agency to acquire and manage remedial contracts.
http://www.epa.gov/superfund/cleanup/pdfs/rdra/iagpolicy2008.pdf
J.E.5 Direct Cite Programs
Obligation and payment of Superfund Remedial Program work through Interagency
Assisted Acquisitions (lAAs) with the USAGE follow a unique procedure.
http://www.epa.gov/superfund/cleanup/pdfs/rdra/payment.pdf.
Under the "EPA/U.S. Army Corps of Engineers Payment Process, Direct Cite/Revised
Reimbursement Methods," issued March 21, 1990, the USAGE receives the contractor invoices
and after review and approval, submits them to EPA's Cincinnati Financial Management Center
for payment directly from EPA's appropriation. A copy of the payment request is sent by
USAGE to the Remedial Project Manager for review. The USAGE staff time, or in-house costs,
is reimbursed by EPA through the standard intergovernmental payment process. Regions may
use the Superfund Remedial Program Recovery Act appropriation (TS) for both revised
reimbursable and direct cite costs.
J.E.6 Cooperative Agreements
Superfund Recovery Act remedial activities may also be conducted through cooperative
agreements with states, tribes or political subdivisions. EPA's Office of Grants and Debarment
(OGD) has issued guidance regarding the use of Recovery Act funds under grants and
cooperative agreements. This guidance, which includes standard terms and conditions for
Recovery Act funds, can be found on the OGD website: http://epa.gov/ogd. IGMS will use
program code 2S to track all Recovery Act-related CAs.
J.E.7 Superfund State Contract Payment Schedules
On March 9, 2009, EPA issued a class deviation to permit an additional option for the
timing of EPA's invoice to the state for final payment under the state's payment schedule. The
two options for EPA to invoice a state for its final payment, with the exception of any change
orders and claims handled during reconciliation of the SSC, are: (1) upon completion of
activities in the site-specific statement of work (SOW) (currently permitted), or (2) after the final
payment date as negotiated by the signatories in the SSC (additional option), whichever is later.
This class deviation will permit signatories to an SSC to negotiate a payment schedule that
extends beyond the completion of activities in the site-specific SOW. The payment schedule
negotiated should generally not exceed five years after completion of SOW activities.
While EPA issued this class deviation to facilitate Recovery Act implementation, it is
only available for SSCs signed or amended from February 17, 2009 through September 30, 2010,
at which time the deviation will expire (See Appendix C). Note: Although a state cost share is
required for remedial actions under both the SSC and a cooperative agreement, under a
cooperative agreement states generally satisfy the cost share requirement without making
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payments to EPA. Therefore, this guidance does not address a state payment schedule under a
cooperative agreement.
J.E.8 Socio-Economic Goals
EPA Regions are encouraged to award Superfund remedial program appropriations,
including Recovery Act funds, to contractors meeting EPA's socio-economic goals. The
Administration and the Agency would like to see overall improvement in this area; therefore,
Regions should keep the utilization of such contractors in mind when determining their
Superfund remedial program contracting strategy.
EPA anticipates the use of standard reporting tools for tracking progress in achieving
socio-economic goals, including the Federal Procurement Data Systems' New Generation
(FPDS-NG). Thus, obligations using the EPA treasury symbol established for the Superfund
remedial program's Recovery Act appropriation will be used to track and report socio-economic
contract utilization. Obligations under both EPA contracts and USAGE contracts will be entered
into FPDS-NG using the EPA treasury symbol by the respective agencies and credited towards
EPA's socio-economic goals. Obligations through cooperative agreements are not reported in
FPDS-NG and, thus, are not included in EPA's socio-economic calculations.
J.E.9 Bona Fide Needs Rule
All funds appropriated under the Recovery Act were obligated by September 30, 2010 to
meet bona fide needs that arose prior to that date. If the Bona Fide Needs Rule is satisfied, the
work may extend beyond September 30, 2010, unless the funds are used for severable services. If
Superfund remedial activities are deemed to be non-severable, the contractor may perform work
and costs may be incurred after September 30, 2010. See Section 4 of this Guidance for more
details on OSRTI's goals for timely obligations and expenditures.
The Bona Fide Needs Rule applies differently to Superfund cooperative agreements and
EPA contracts and interagency agreements (lAs). For Superfund cooperative agreements, the
award of the cooperative agreement meets a bona fide need to provide financial assistance to the
eligible recipient that arises on the day of the award. The fact that the cooperative agreement
recipient performs the work funded by EPA after September 30, 2010 does not implicate the
"severable versus non-severable services" concept that applies to contracts and lAs. If a
contractor's services for Superfund remedial activities under EPA contracts or lAs are non-
severable, the Agency must have obligated funds prior to September 30, 2010 even though the
contractor performs all or part of the service after that date.
The severable versus non-severable services analysis may be made on a case by case
basis in consultation with the Office of General Counsel.
J.E.10 Infrastructure and Buy American Provisions
Division A, Title XVI, 1605 of the Recovery Act (Buy American) requires that Recovery
Act funded projects for the construction, alteration, maintenance or repair of a public building or
public work, use only iron steel and manufactured goods produced in the United States. OMB
has implemented this provision for direct procurement in Federal Acquisition Regulation; FAR
Case 2009-008, American Recovery and Reinvestment Act of 2009 (the Recovery Act)-Buy
American Requirements for Construction Material, 48 CFR Part 25, Subpart 25.6. The Buy
October 1,2010 J-20 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
American provision as applied to assistance agreements is implemented in 2 CFR Part 176,
Subpart B and the provisions contained therein are uploaded into IGMS as terms and conditions
for all Recovery Act assistance agreements. Under Superfund cooperative agreements, projects
that are subject to the Buy American provision include, but are not limited to, projects for the
construction, alteration, maintenance, or repair of caps, wells, reservoirs, water distribution
systems, and water treatment plants. The Recovery Act provides some exceptions to the Buy
American requirement. The exceptions involve complex issues that are addressed in the OMB
regulations and are beyond the scope of this guidance3.
Some Superfund remedial activities conducted by States and local governments pursuant
to a CERCLA 104(d) cooperative agreement may be considered infrastructure investments for
purposes of the Recovery Act under the Agency's interpretation of the term "infrastructure."
Examples include, but are not limited to, projects where the principal purpose is to
construct a cap to be directly incorporated into a public building or public work project as
defined in 2 CFR 176.140(a)), or to extend a municipal water supply to residents and businesses
affected by contaminated drinking water. If a project is an infrastructure investment, the grantee
must comply with Division A, Title XVI, 1602 (Preference for Quick-Start Activities). If the
grantee is a State or local government and the project is an infrastructure investment, then the
grantee must also comply with Division A, Title XV, Subtitle A, 1511 (Certifications). Also, if
the grantee is a State or local government conducting a project that constitutes an infrastructure
investment, there are additional reporting requirements for the infrastructure investment imposed
under Division A, Title XV, Subtitle A, 1512(c)(3)(E). The Recovery Act terms and conditions
uploaded into IGMS define infrastructure investment and set forth the reporting, preference for
quick-start activities, and certification requirements applicable to infrastructure investments. The
Recovery Act does not require infrastructure investment certification or reporting requirements
for contracts and I As.
J.E.I 1 Davis Bacon Act
As a practical matter, the Davis Bacon Act applies to expenditures of Superfund
Recovery Act funds to the same extent as it does to remedial activities funded from EPA's annual
Superfund appropriation. Division A, Title XVI, 1606 of the Recovery Act (section 1606).
Section 1606 requires that contractors and subcontractors on projects funded directly by or
assisted in whole or in part with Recovery Act funds pay prevailing wages as determined by the
Secretary of Labor under the Davis Bacon Act. However, pursuant to CERCLA, section
104(g)(l), the Davis Bacon Act already applies to "construction repair, or alteration work"
funded with annual Superfund appropriations.
Detailed information on how EPA applies the Davis Bacon Act to Superfund Remedial
work is found in the January 27, 1992, memorandum entitled "Superfund Guidance on the
Applicability and Incorporation of the Davis Bacon Act and Service Contract Acts into
Superfund Acquisitions" ("1992 Davis Bacon Guidance"). EPA will continue to insert the Davis
Bacon clauses required by FAR Part 22 when applicable into Agency contracts funded with
3 The Buy American provision, however, will not be applied if doing so is inconsistent with United States
obligations under international agreements. Additionally, EPA, in certain circumstances, may waive the Buy
American provision.
FY 11 SPIM J-21 October 1, 2010
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OSWER Directive 9200.3-14-1G-V
Recovery Act appropriations. EPA will include the term and condition that OMB prescribed at 2
CFR 176.190 for compliance with the Davis Bacon wage rate requirements in section 1606 of
the Recovery Act for Superfund cooperative agreements awarded with Recovery Act funds.
J.E.12 Funds-In Interagency Agreements for Federal Facility Oversight
EPA's Federal Facility program oversees Superfund cleanups at certain properties owned
and operated by other federal Agencies. EPA may receive Recovery Act funds from other federal
Agencies to support increased oversight requirements for accelerated cleanup actions at their
facilities. These funds would be transferred to EPA through lAs for Regional Oversight Contract
support and/or EPA intramural expenses. Funds-In agreements for Federal Facilities are outside
of the scope of this guidance. Regions should work with their Federal Facility Restoration and
Reuse Office (FFRRO) counterparts for additional information.
October 1,2010 J-22 FY11SPIM
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OSWER Directive 9200.3-14-1G-V
Exhibits
J.I. APPENDIX A FUNDING AWARD NOTIFICATION TEMPLATE
Funding Notification Version 1.3
Agency Name:
Submission Date:
Submitter Name:
Submitter
Contact Info:
Funding
Notification
Amount
(020) Enivron mental
Protection Agency
OX/QX/2009
Name
E-mail
Award Type
Contract
Inte ragcy Agre e me rU
Cooperative Agreement
CFDA
Program
Number
CFDA
Program
Title
Program
Description
Superfund
Supertund
Superfijnd
US Indicator
v-us
v-us
v-us
Place of
Perform
ance
County
Place
of
Perfor
mance
State
Place of
Performa
nee Zip
Code
Performa
nee
Congress
ional
District
Program
Source/Treas
ury Account
Symbol:
Account Code
Source/Treasury
Account
Symbol:
SubAc count
Code
For clarification, the table categories are:
Agency Name
Submission Date
Submitter Name
Submitter Contact Info
Funding Notification Amount
Award Type
CFDA Program Number (if applicable)
CFDA Program Title (if applicable)
Program Description
US Indicator
Place of Performance County
Place of performance State
Place of Performance Zip Code
Place of Performance Congressional District
Program Source/Treasury Account Symbol: Account Code
Program Source/Treasury Account Symbol: Sub Account Code (Optional)
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OSWER Directive 9200.3-14-1G-V
J.2. APPENDIX B OMB DEFINITION OF OBLIGATION AND OUTLAY
The table below defines Obligations and Gross Outlays for purposes of the reporting
required in the OMB guidance. Please note that the title "Total Expenditures" has now been
updated to Total Gross Outlays (As noted in OMB Circular A-ll, Gross Outlays are also called
Disbursements).
Term
Definition
Obligations, as adjusted
A binding agreement that will result in outlays, immediately or in the future.
Budgetary resources must be available before obligations can be incurred
legally. This term includes obligations as well as recoveries of the current and
prior year obligations. Recoveries of prior year obligations are reported as
budgetary resources in budget execution reporting rather than as obligations.
Here is a link to the definition in OMB Circular A-ll.
http://www.whitehouse.gov/omb/circulars/al I/current vear/s20.pdf
Gross Outlays, as adjusted
Amount of obligations paid. Includes payments in the form of cash (currency,
checks, or electronic fund transfers) and in the form of debt instruments (bonds,
debentures, notes, or monetary credits) when they are used to pay obligations.
This term includes obligations paid as well as refunds of payments made in
current and prior years. Refunds collected from prior year obligations that have
been paid are reported as budgetary resources in budget execution reporting
rather than as gross outlays. Here is a link to the definition in OMB Circular A-
11.
http://www.whitehouse.gov/omb/circulars/al l/current_y ear7app_f.pdf
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J.3. APPENDIX C CLASS DEVIATION APPROVAL 3/9/09
MEMORANDUM March 9, 2009
SUBJECT: Class Deviation from 40 C.F.R. §35 .6805(j)(3)
FROM: Howard F. Corcoran, Director
Office of Grants and Debarment
TO: James E. Woolford, Director
Office of Superfund Remediation and Technology Innovation (OSRTI)
This responds to your request (copy attached) for a class deviation from the requirements
of 40 C.F.R. §35.6805(j)(3) under the regulation, "Subpart 0 — Cooperative Agreements and
Superfund State Contracts for Superfund Response Actions". This provision requires EPA to
invoice a State for its final payment, with the exception of any change orders and claims handled
during reconciliation of the Superfund State Contract (SSC), upon completion of activities in the
site-specific Statement of Work (SOW). Specifically, OSRTI is requesting an exception from
these requirements to add an additional option for when EPA invoices a State for its final
payment under a SSC for all SSCs signed or amended from February 17, 2009 - September 30,
2010. An exception would permit EPA to invoice a State for its final payment on a final payment
date as negotiated by the signatories to the SSC.
As explained in your request, OSRTI believes a deviation is necessary because States will
need to match 10 percent (or more) of the American Recovery and Reinvestment Act of 2009
(ARRA) funding amount ($600 mill ion), in addition to the normally appropriated funding
(approximately $600 mill ion for FY 2009 and FY 2010) for Superfund remedial cleanup.
During the current recession, this places a huge burden on the States to pay their cost share
match by completion of activities in site-specific SOWs for Superfund remedial clean-ups. If
States cannot provide the assurances for matching funds, EPA may not be able to obligate the
ARRA's $600 million by September 30, 20 10.
The requirements in 40 C.F.R. §35.6805(j)(3) are regulatory and not a statutory mandate.
Under these circumstances, to expedite the award of the ARRA funds, I am approving your
request. If you have any questions, please contact me at (202) 564-1903.
cc: Lauren Willis, OGC
Steve Pressman, OGC
Janet Kasper, OIG
Doug Ammon, OSRTI
Angelo Carasea, OSRTI
Barbara McDonough, OSRTI
Phyllis Anderson, OSRTI
Elizabeth Southerland, OSRTI
Robin Richardson, OSRTI
Sue Priftis, OPM
Denise Benjamin-Sirmons
Catherine Vass
Jeanne Conklin
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