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OSWER DIRECTIVE NUMBER: 9851.3
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. O.C 20460
JUN 1 1 1580
SUBJECT; Integrated Timeline for Superfund Site Management
(SMR #5, 15)
FROM: Don R. Clay *" '^~~~
Assistant Administrator
Solid Waste and Emergency Response
James M^
Assistant
.tor for Enforcement
TO:
Regional Administrators
A major- theme of the Superfund Management^Review is the
importance of an aggressive, well planned and tightly coordinated
system for moving sites to completed remediation. Success in
these efforts depends in large part on identifying critical
decision points and our goals for the amount of time it should
take to get from one step to the next. Therefore we have
developed, and are attaching for your use in managing the program,
the Integrated Timelinefor Superfund Site Management.
The purpose of the Timeline is, as stated above, to display
the key steps and optimum duration of phases in moving sites from
identification to remediation. It is our intention that the
duration of key phases be viewed as goals toward which we will
jointly work to move the program.
It is also our intention that other major program policies
incorporate the same assumptions about timing and the sequence of
activities. To this end, appropriate language has been included
in such documents as the DOJ Interagency Agreement and the Pre-
referral Negotiations Procedures.
We will continue to review actual experience with you, to
identify and deal with problems which can be alleviated. We also
intend periodically to reevaluate this Timeline in light of
experience.
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OSWER DIRECTIVE NUMBER; 9851.3'
Please ensure that your managers are familiar with the
Timeline and are using it as a basic template for the site
remediation process. We encourage your comments on the Timeline
and look forward to its use as a management, guide.
Attachment
cc: Directors, Waste Management Division
Regions I, IV, V, VII
Directors, Hazardous Waste Management Division
Regions III, VI, VIII, IX
Director, Emergency and Remedial Response Division
Region II - .
Director, Hazardous Waste Division .
Region X
Regional Counsels
Regions I - X
Superfund Branch Chiefs
Regions I -, X
Henry Longest
Bruce Diamond
Lloyd Guerci
David Van Slyke ,_ f
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OSWER DIRECTIVE NUMBER; 9851.3
INTEGRATED TIMELINE FOR SUPERFUND
SITE MANAGEMENT
INTRODUCTION
Purpose
The purpose of the integrated timeline is to develop an
integrated site management framework. This timeline clearly
identifies critical decision-making points and timefranes for
each step of the process, and shows the interface between Fund
lead and Enforcement lead activities.
Background
The objective of the Superfund program is to achieve rapid, high
quality remediation of sites, with maximum participation of
responsible parties (RPs) in the cleanup process. The
combination of technical and negotiation complexities presented
by these objectives offers numerous opportunities for confusion
and delay in the site management process.
The Superfund Management Review identified several
recommendations directed at developing systems to coordinate the
complex and sometimes delicate decisions required for effective
management of the remedial pipeline. They cover such aspects of
the program as site management, site planning, case management,
case planning, coordination with other Federal agencies, and
creation of special technical support units.
As articulated in the Superfund Management Review, (The 90-Day
Study) the scope and intent of the timeline are the following:
Integrated Timeline for Enforcement and Response Actions
Finding:
A process involving both enforcement and response
activities at the vast majority of sites is complex and
susceptible to delays. An "enforcement first" process is
particularly vulnerable to delays if negotiation deadlines
are not established or if they are routinely allowed to
slip. Negotiations tend to be more effective where PRPs
understand that EPA will cut off negotiations if they fail
to settle before the deadline.
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OSWER DIRECTIVE NUMBER: 985L.3
Discussion:
EPA has established-timeframes for accomplishing particular
steps of.the cleanup process. For example, there are
negotiation timeframes derived from the provisions of
section 122 of CERCLA, and cleanup timeframes derived."-in
part from the statutory goals of section 116. Some
individual Regions have developed timeframes that integrate
both enforcement and response activities.
If EPA is to successfully integrate the response and
enforcement programs, EPA should establish a single
management system that organizes the work and defines when
the work can be realistically initiated and completed and
when contingent activities can ibe undertaken. Routine
issuance of orders may add time to the process and delay
Fund-financed response in situations where orders are not
complied with. An integrated timeline for enforcement and
response action will therefore' be valuable for minimizing
delays and uncertainties in predicting and1 planning .for
Fund-financed activity. Key steps in the process include:
ci' Commencing detailed PRP searches at the time when a
site is proposed for listing; :
o Supplementing the PRP search.until it is reasonably
-complete,* . . .
o Issuing general notice letters and initiating, >
information exchange,* , ,
; ',"". , ' , j i
o Initiating negotiations for RI/FS where legally liable
and financially viable PRPs exist;
o Issuing special notice for RD/RA shortly before or
upon signature of the ROD;
o Adhering to negotiation deadlines to push PRP
settlements and to avoid delays in the remedial
pipeline;
..-.- - - i
o Routinely issuing administrative orders to legally
liable and financially viable PRPs if settlements are
not reached within deadlines; >
o Referring a case to the Department of Justice or using
the Fund to clean up a site if responsible parties do
not comply with the order;
o Lodging and entering a consent decree if settlement is
reached.
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OSWER DIRECTIVE NUMBER: 9851.3
Recommendation:
EPA will establish a single integrated timeline for both
enforcement and Fund-financed activities. The timeline
will include deadlines for completing negotiations and for
following up with enforcement or response action....
(Management Review of the Superfund, p. 2-14)
Other detailed timelines and explanations of specific phases of
the remedial timeline are currently embodied in CERCLA program
guidance such as the Enforcement Project Management Handbook,
the 1991 Program Management Manual, Superfund enforcement
delegations procedures, site management guidance including
litigation management planning, and pre-referral negotiations
procedures. Taken together, these management tools provide
regional staff with a clear and comprehensive road map for the
sequence, content and timing of planning and decision~making if
a site is to be remediated in a timely manner.
THE INTEGRATED TIMELINE
The attached timeline represents the overarching system for
sequencing key decisions and establishing deadlines to move
sites to cleanup. Suggested timeframes are intended to serve as
project management objectives. The Agency's expectation is
that, with full use of other resources emerging from the
Superfund Management Review, the program will continue to make
progress on achieving the pace of completed site management
activities embodied by this timeline.
The Integrated Timeline is a 10 step process of remedial and
enforcement activities related to the Superfund Site Management
Process. The purpose of the timeline is to provide an overview
of the major remedial and enforcement activities required to
perform a Superfund cleanup action under SARA. The timeline
spans a maximum of 24 quarters. Each of the 10 phases are
summarized below.
RP Search and Notification
o This is the first step in the site management process
and generally takes from 6 to 13 quarters.
._ Distribution of Section 104(e) information
requests to owner/operator recipients by the end
of the first quarter;
_ Distribution of General Notice to owner/operators
by the end of the second quarter;
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OSWER DIRECTIVE NUMBER: 9851.3
_ Distribution of initial Section I04(e)
information request to generators/transporters by
the, end of the second quarter;
_,_ Decision whether to pursue Section 104 (e-) -
, -. .enforcement activities by .the middle of the
_. fourth quarter; . * ... -
. . ' ;_ -.;. Distribution of General .Notice to ,- - -
generators/transporters end of, the fourth
quarter; -.;-.
Preparation of waste-in information and-
volumetric allocation for the RI/FS by the end of
the.fourth to the middle of the fifth quarter;
Supplemental work through the RI/FS;
_ The RP Search timeframe may be extended up to the
point of RD Special Notice if a supplemental
search is deemed warranted.
'"'" ' .",»* .'t , ".',(',_ *
RI/FS Negotiation and Settlement Process
ov This process-will, continue for a maximum of, four
quarters. -..":
o ' Important milestones, include; , :. . -. ,
Resolution of site lead with the State
! ' - ' "',.<." > "
. . .,, _ RI/FS negotiation preparation commencing-after
distribution of the General Notice,
:-,-,.. Scoping activities in order to direct the work, in
;. the-SOW, . - ' ; .
_ Formal RI/FS negotiations commencing with
issuance of the Special Notice and lasting a
maximum of 90 days (without extension by RA),
_ Termination of RI/FS negotiations 60 .days after
Special Notice issue if a Good Faith offer is not
" " received. .' .. .-.-.
r , ,
o At the end of the settlement process, EPA will
generally issue either an Administrative Order on
s' Consent (AOC) or proceed with a Fund-financed RI/FS.
In limited circumstances,- EPA will issue a UAO.
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OSWER DIRECTIVE NUMBER: 9851.3
RI/FS Implementation Process
o ' This is the third step in the site management process,
and .will commence after issue of the AOC/AOU, or
funding of the RI/FS; this occurs approximately one
quarter following the issue of the Special Notice.
o Important milestones include:
_ Within a maximum of 4 quarters into the RI/FS
implementation process, the draft Rl Report will
be completed.
within 4-5 quarters into RI/FS implementation a
supplemental General Notice to RPs will be
issued, if appropriate;
_ The Draft FS Report will be completed by the end
of the fifth quarter of the RI/FS Implementation
Process,*
_ The Final Draft of the RI/FS Report and the
Proposed Plan will be completed by the end of the
sixth quarter of the RI/FS Implementation
Process;
_ Following completion of the RI/FS Report, the
lead agency will commence preparation of the
Record of Decision (ROD), which should take no
more than 2 quarters;
' _ ROD signature will occur 8 quarters from the
start of the RI/FS implementation process and 13
quarters from the start of the RP Search and
Notification process (i.e., beginning of the
timeline).
Opening and updating the administrative record
file and the conduct of community relations
activities will take place.
RD/RA Negotiation and Settlement Process
o This is the fourth step in the site management
process, and will commence 11 quarters into the site
management process after completion of the final RI/FS
report and Proposed Plan.
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OSWER DIRECTIVE NUMBER: 9851.3
o Important milestones include: --. ,-
j_ Special notice .is prepared concurrent with (ROD
- preparation,. lasting 2 quarters;
, _ RD/RA pre-referral negotiation preparation
including preparation of the Draft Consent Decree
occurs concurrent with Special Notice.
preparation, lasting 2 quarters;
. : _ . Special Notice,is issued with Draft Consent
Decree concurrent with ROD signature;
,_. Formal RD/RA negotiations commence with Special
Notice issue and extend up to a maximum of 120
days if a Good Faith offer is received?
. ._ . At,the end the -120 day moratorium EPA decides on
whether or .not to extend RD/RA negotiations (this
requires RA approval)?
, _ If a Good Faith offer is not received within 60
days after issue of the-special notice, RD/RA
negotiations will be terminated, and EPA will
proceed with issue of the UAO if there are
liable, viable parties, and if PRPs do not comply
with the order, decide whether to proceed with
Fund-financed RD or to litigate, for-remedy.
Settlement/Referral Process _ , ,
o , The settlement/referral process includes a maximum of
2 quarters of Consent Decree .Preparation (CDP), l
quarter for the, CD Referral (CDR) process and 1
. :: quarter for CD Lodging ;and Entering (GDI).
o The CD referral, lodging, and entering process should
take no longer than 2 quarters;
RD Implementation - , , .'...
o This is the fifth step in the site management process.
o It includes Funded Remedial Design (RDF), RP Remedial
Design (RPRD), and Compliance,Management (CM).
- o Actual work on the RD will^commence with the issue of
an administrative order, the lodging or entering of
the CD depending on the terms of the CD, or with the
funding of a Fund-lead RD.
i
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» * , OSWER DIRECTIVE NUMBER: 9851.3
RA Implementation
This step is the sixth step in the site management
process.
The step includes RA Implementation (RA) and
Compliance Management (CM).
The RA will commence after the conpletion of the RD
phase.
Community Relations
Community Relations activities commence after the
decision re: RI/FS lead is made, and will continue
throughout the RI/FS, RD/RA process.
This includes Community Relations Plan Preparation
(CRPR), a Public Comment Period (PC), and Community
Relations Plan Revision (CRP).
The Administrative Record File will be opened after
the RI/FS work plan is approved an will be updated
periodically.
During the RI/FS process, fact sheets will be prepared
and public meetings will be conducted.
The final Public Meeting will occur during the Public
Comment period after distribution of the Proposed
Plan.
The CRP is revised after the conclusion of RD/RA
negotiations.
This process will terminate with completion of site
cleanup activities.
Cost Recovery
o Cost Recovery activities also continue throughout the
entire RI/FS process.
o Important milestones include:
_ Opening of the cost documentation file concurrent
with initiation of the PRP search.
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OSWER DIRECTIVE NUMBER: 9851,3
Obtaining documentation of removal costs prior to
RI/FS negotiations
Update of documentation on past costs as the
RI/FS activities are completed.
Issuance of written demands in connection with
the completion of each-major phase, of response
activity and with the initiation of new phases.
Issuance of written demands for oversight costs
annually,*
Referring actions within one year after
completion of conventional removal actions and
shortly after the execution of a contract for RA,
but in no event later -then two .quarters before
the statute of limitations date.
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