FY 09 SPIM
Change Log
March 31, 2009
SPIM
Section
Comment
Provided By
Change Description
Chapter 2
Exhibit II. 3
Alan Youkeles
Added new row for Emergency PRP Removals. Updated rows for PRP
Removal and Removal Assessment.
Chapter 3
Exhibit III. 3
Brendan Roache
Added new PP lead and definition.
Appendix A
A.D.
A.G.2.
A.G.3.
A.G.7.
A.G.8.
Exhibit A.2.
A.M.
A.I.
A.J.3.
A.J.5.
A.J.6.
A.J.7.
A.J.9.
A.J.10.
A.J.11.
A.J.12.
A.J.14.
A.J.16.
Exhibit A.3.
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Randy Hippen
Updated with FY 2007 end of year FAD numbers. Changed Superfund
Alternative Sites to Superfund Alternative Agreements. Updated
Reports/Guidance section.
Added language for Other Cleanup Activity.
Correct the referred to removal action qualifier.
Added new State Deferral section.
Added new Referred from RCRA section.
Added Referred from RCRA action. The Integrated Assessment actions are
now historical.
Added "Agreement" after "Superfund Alternative." Add 'GAO Survey (RCED-
99-22A),' 'GAO Survey (RCED-99-22B),' 'Military Munitions Response
Program,' and 'Environmental Justice.'
Added new Site Assessment Critical Indicators section.
Revise the Special Planning/Reporting Requirements language.
Modified language regarding integrated removal assessments.
Removed language and added a reference to the corresponding section in
Appendix D.
Modified language regarding integrated removal assessments.
Modified language regarding integrated removal assessments.
Removed language and added a reference to the corresponding section in
Appendix D.
Removed language and added a reference to the corresponding section in
Appendix D.
Modified language regarding integrated removal assessments.
Modified language regarding integrated removal assessments.
Modified definition of OCA completion.
Replace Robert White with Julie Roemele.
Appendix B
B.B.m.
B.B.p.
B.B.q.
Kate Garufi
Jen Hovis
Kate Garufi
Added a definition for Institutional Control Remedial Actions.
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.
Updated the entire section with new language.
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FY 09 SPIM
Change Log
March 31, 2009
SPIM
Section
Comment
Provided By
Change Description
Appendix B
B.B.t.
B.B.bb.
B.B.cc.
B.B.dd.
B.B.ee.
Exhibit B.2.
B.B.ff.
Jen Hovis
Melissa Friedland
Rich Morris
Melissa
Friedland
Rich Morris
Rich Morris
Rich Morris
Added 'Letter Documenting O&F Completion' to the Documentation
Required.
Changed the measure from a GPRA APG to a Program Measure and
removed the 'F' lead.
Changed 'Human Exposure Under Control' to 'Site-Wide Human Exposure.'
Removed the 'F' lead for this measure.
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.
Added new Superfund Long-Term Human Health Protection Worksheet.
Updated language regarding the timeliness of CERCLIS data entry for GM
evaluations.
Appendix C
Exhibit C.1.
C.C.1.
C.C.lx.
C.C.ly.
C.C.lz.
C.C.ldd.
C.C.lff.
C.C.lhh.
C.C.lkk.
C.C.1.II.
C.C.I.mm.
C.C.lnn.
Eric French
Nancy Browne
Eric French
Eric French
Eric French
Filomena Chau
Filomena Chau
Filomena Chau
Eric French
Filomena Chau
Eric French
Eric French
Added 'Bona Fide PPAs,' 'Management of Special Accounts,' 'ICs,' and 'Site
Revitalization.'
Updated language regarding Sites with Superfund Alternative Agreements.
New measure, 'Bona Fide Prospective Purchaser Agreements (Removal).'
Added language for Prospective Lessee Agreement (PLA).
Start dates will no longer be required for this measure or tracked by OECA.
Changed measure name to 'Settlements Designating Funds for Deposits to
Special Accounts.'
Changes measure name to 'Settlements Designating Funds for
Disbursements from Special Accounts to PRPs.' Added language regarding
the completion date of the CD.
Changed Cincinnati Financial Management Center to Cincinnati Financial
Center.
Assessed Windfall Lien Resolutions will no longer be tracked. Only Finalized
Windfall Liens will be tracked.
Updated this section with the new fields from the CERCLIS Site Financial
Transaction screen.
New measure, 'Institutional Controls.'
New measure, 'Site Revitalization.'
Appendix D
D.A.2.3.
D.A.S.a.
D.A.6.
D.A.7.
D.B.
Brendan Roache
Brendan Roache
Brendan Roache
Brendan Roache
Brendan Roache
Revised the language for Sitewide Ready for Anticipated Use.
Updated language regarding BRAG l-IVto reflect the most recent BRAG
MOU between EPA and DoD.
New section, 'Cleanup Privatization at BRAG NPL Sites.'
New section, 'Military Munitions Response Program.'
Revised language referring to PART.
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FY 09 SPIM
Change Log
March 31, 2009
SPIM
Section
Comment
Provided By
Change Description
Appendix D
Exhibit D.1.
D.B.S.b.
D.B.S.r.
D.B.S.s.
Exhibit D.4.
D.B.S.a.
D.B.S.b.
D.B.S.c.
D.B.6.
Exhibit D.6.
Brendan Roache
Brendan Roache
Brendan Roach
Brendan Roache
Rich Morris
Brendan Roache
Brendan Roache
Brendan Roache
Brendan Roache
Brendan Roache
Added rows for 'Sitewide Ready for Anticipated Use,' 'Protective for People
Under Current Conditions,' and 'Ready for Anticipated Use.'
Deleted language referring to operating properly and successfully.
Added a reference to the revised Human Exposure El guidance.
Added a reference to the revised Human Exposure El guidance.
Added new Superfund Long-Term Human Health Protection Worksheet.
Changed the measure from a GPRA APG to a Program Measure and
removed the 'FF' lead.
Changed the measure from a GPRA APG to a Program Measure and
removed the 'FF' lead.
Removed the 'FF' lead.
New section, 'Cleanup Privatization at BRAG NPL Sites.'
Replaced Aimee Storm with Brendan Roache.
Appendix F
F.A.2.
F.A.S.a.
F.A.S.b.
Exhibit F.2.
Kevin Mould
Josh Woodyard
Josh Woodyard
Bill Finan
Updated language regarding Core ER.
Deleted PRP-financed time critical and non-time critical removal actions
without enforceable instruments.
Deleted PRP-financed time critical and non-time critical removal actions
without enforceable instruments.
Updated the Subject Matter Expert chart.
Appendix G
G.A.1.
G.B.
Exhibit G.1.
Josh Woodyard
Randy Hippen
Randy Hippen
Bill Finan
Updated language regarding the Strategic Plan.
Updated this section with the FY 2007 end of year FAD numbers.
Updated the Subject Matter Expert chart.
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Impact Analysis
FY 09 SPIM
March 31, 2009
The following are potential impacts resulting from the FY 09 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.
Chapter III
Added a new 'PP' lead to Chapter III. This will require changes to CERCLIS and the SCAP reports.
Appendix A
The following Integrated Removal actions are being changed from actions to critical indicators: 'Integrated
Removal Assessment & PA at Non-Federal Facility Sites;' 'Integrated Removal Assessment & SI at Non-
Federal Facility Sites;' 'Integrated Removal Assessments and Expanded Site Inspection (ESI);' 'Integrated
Removal Assessments and Hazard Ranking System (HRS);' and 'Integrated Removal Assessments and
Expanded Site Inspection and Remedial Investigation (ESI/RI).' These Integrated Removal Assessment
actions will be replaced by the 'Integrated Assessment' action. This change will require updates to
CERCLIS and the SCAP-13 reports.
Appendix B
For the 'Protective for People Under Current Conditions' measure, the PFP/RAU Evaluation Checklist
action has been changed from a GPRA APG to a program measure. Also, the FF lead code has been
deleted for the PFP/RAU Evaluation Checklist action. These changes will impact CERCLIS and the
SCAP-14 and SCAP-15 reports.
For the 'Ready for Anticipated Use' measure, the FF lead code has been deleted for the PFP/RAU
Evaluation Checklist action. This change will impact CERCLIS and the SCAP-14 and SCAP-15 reports.
Appendix C
Added a new measure, 'Bona Fide Prospective Purchaser Agreements (Removal),' to Appendix C. This
new measure will require the addition of a new enforcement instrument type in CERCLIS and may impact
Enforcement reports.
The modification to 'Issuance of Comfort/Status Letters' may require changes to CERCLIS to no longer
require start dates for this measure. This change may also impact Enforcement reports.
The addition of the new 1C measure will not require CERCLIS changes as this measure is captured through
ICTS.
Two new measures 'Sites that are Ready for Anticipated Use (RAU) where an Enforcement Document(s)
was Involved' and 'Number of Acres at Sites that are RAU where an Enforcement Document(s) was
Involved' have been added to Appendix C. These new measures may require changes to CERCLIS reports
(SCAP-14 and possibly SCAP-15 if these will be tracked as GPRA) and Enforcement reports.
Added new language regarding 'Prospective Lessee Agreement (PLA).' This change will require a new
Enforcement Instrument Categories, "Prospective Lessee Agreement" in CERCLIS.
Assessed Windfall Lien Resolutions will no longer be tracked. Only Finalized Windfall Liens will be
tracked. This change may impact CERCLIS and Enforcement reports.
DRAFT Page 1
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Impact Analysis
FY 09 SPIM
March 31,2009
Appendix D
A new Special Initiative flag, 'CPRM Universe (CU)' has been added for the Sitewide Ready for
Anticipated Use measure. This new Special Initiative Flag will require CERCLIS changes and may require
changes to the SCAP-14 and SCAP-15 reports.
The 'Sites Ready for Anticipated Use' and 'Protective for People Under Current Conditions' measures
have been changed from a GPRA APG to a program measure. Also, the FF lead code has been deleted for
both measures. These changes will impact CERCLIS and the SCAP-14 and SCAP-15 reports.
For the 'Ready for Anticipated Use' measure, the FF lead code has been deleted for the PFP/RAU
Evaluation Checklist action. This change will impact CERCLIS and the SCAP-14 and SCAP-15 reports.
Added a new measure, 'Cleanup Privatization at BRAC NPL Sites,' to Appendix D. The new measure will
require CERCLIS changes and may also impact the SCAP-14 a SCAP-15 reports. Also, a new lead code
(PP) has been added along with this new measure. This will require a CERCLIS change.
Appendix F
For the 'Removal Start' and 'Removal Completion' measures the "PRP-Lead (RP-lead actions) Time
Critical and Non-Time Critical Removals Without an Enforceable Instrument" has been removed. This
will require changes to CERCLIS and the SCAP-14 and SCAP-15 reports.
DRAFT Page 2
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OSWER Directive 9200.3-14-1G-T
Superfund Program Implementation Manual FY 09
Managers' Schedule of Significant Events
FY 09 SPIM March 31, 2009
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OSWER 9200.3-14-1G-T
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March 31, 2009 FY 09 SPIM
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OSWER 9200.3-14-1G-T
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.
FY09
OCTOBER 2008 QUARTER 1 (FY 09)
7 HQ pulls 4th quarter FY 08 accomplishment and financial data from CERCLIS and provides for:
1) Special program reports
2) Initial FY 08 end-of-year Program Assessment
7 HQ pulls 4th quarter FY 08 accomplishment data from CERCLIS for review of end of year GPRA
accomplishments and inclusion in EPA's FY 2008 Performance and Accountability Report (PAR).
14 HQ pulls 4th quarter FY 08 final accomplishment and financial data from CERCLIS for non-GPRA
targets.
NOVEMBER 2008
TBD SF National Policy Managers Meeting
TBD AA/RA Priorities Meeting for FY 10
TBD Agency publishes Performance and Accountability Report for FY 08
TBD Regions revise CERCLIS to reflect GPRA performance goals, and program targets/measures for
FY09.
TBD Superfund Focus Forum (SFF)
Mid- OMB passback of FY 10 budget request
Late
Nov
Late Agency appeal of the OMB FY 10 budget passback
Nov/
Early
Dec
FY 09 SPIM March 31, 2009
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OSWER 9200.3-14-1G-T
DECEMBER 2008
Late
Nov/ OSRTI sets targets for national remedial pool deobligations.
Early
Dec
JANUARY 2009 QUARTER 2 (FY 09)
8 SCAP Pull for 1st Quarter FY 09 accomplishments and financial data - 5th working day of the month
TBD Regions submit draft deobligation plans to OSRTI
TBD OSRTI issues Pipeline operations Site Allowance resources to regions
Late HQ pulls 1st quarter data for Quarterly Management Report (QMR).
Jan/
Early
Feb
FEBRUARY 2009
On or President submits FY 10 budget request to Congress
before
the first
Monday
in Feb
Mid NPMs issue draft National guidance for FY 2010
APRIL 2009 QUARTER 3 (FY 09)
7 OSRTI pulls 2nd quarter accomplishment and financial data from CERCLIS and provides for:
1) Special program reports
2) Mid-Year Work Planning evaluation
Late NPMs issue National Program Guidance for FY 2010
MAY 2009
Late NPMs meet with the Administrator to review FY 10 program goals
Late OSRTI/OSRE send workplanning memorandum to regions on proposed budgets, GPRA annual
performance goals and program targets/measures
March 31, 2009 FY 09 SPIM
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OSWER 9200.3-14-1G-T
MAY 2009 (Continued)
TBD Annual Goal Team Meetings with Deputy Administrator on FY 09 progress and FY 11 priorities
TBD Superfund Focus Forum (technical)
JUNE 2009
1-30 Regions update schedules and financial information in CERCLIS for FY 10, FY 11, and FY 12 in
preparation for workplanning meetings
TBD HQ presents FY 10 Superfund goals and priorities and FY 11 investments to the Administrator and
Regional Administrators
TBD Administrator and OC provide HQ program offices and regions with policy for FY 11 budget
formulation
Late NPMs/Regions begin bidding process for FY10 accomplishments
JULY 2009 QUARTER 4 (FY 09)
1 Regions draft commitments due in BAS
8 OSRTI pulls planning information from CERCLIS:
1) to support FY 10 and FY 11 budget request
2) to prepare for FY 10 workplanning
3) Quarterly Management Report
8 OSRTI pulls 3rd quarter accomplishment and financial data from CERCLIS.
8 Enforcement provides:
1) Special program reports
2) 3rd quarter performance evaluations
TBD NPMs submit proposed FY 11 budgets to OCFO/Administrator
TBD HQ program offices and lead regions make presentation to Administrator/Deputy Administrator on
FY 11 program priorities [FY 11 Budget Forum]
TBD HQ/Regions begin work planning sessions on the final FY 10 GPRA annual performance goals and
program targets/measures and budget
TBD Administrator passback of FY 11 budget request
FY 09 SPIM March 31, 2009
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OSWER 9200.3-14-1G-T
AUGUST 2009
TBD Agency develops FY 11 budget for submission to the Office of Management and Budget (OMB)
7 HQ pulls CERCLIS data to assist in preparation of the FY 11 budget to OMB
TBD Agency develops strategy for presenting the FY 11 budget to OMB
TBD Final revisions to FY 11 APGs and APMs due to OCFO
Mid NPMs begin drafting FY2009 Annual Performance Report
SEPTEMBER 2009
TBD Agency submits FY 11 budget to OMB
TBD Final GPRA commitments due in BAS
FY10
OCTOBER 2009 QUARTER 1 (FY 10)
7 HQ pulls 4th quarter FY08 accomplishment and financial data from CERCLIS and provides for:
1) Special program reports
2) Initial FY 09 end-of-year Program Assessment
3) Quarterly Management Report
7 HQ pulls 4th quarter FY 09 final accomplishment data from CERCLIS for review of end-of-year
GPRA accomplishments and inclusion in EPA's FY 2009 Performance and Accountability Report
14 HQ pulls 4th quarter FY 09 final accomplishment data from CERCLIS for non-GPRA targets.
TBD Superfund Focus Forum (SFF)
NOVEMBER 2009
TBD SF National Policy Managers Meeting
TBD Agency publishes Performance and Accountability Report for FY 09
TBD Regions revise CERCLIS to reflect GPRA performance goals and program targets/measures for
FY10
March 31, 2009 FY 09 SPIM
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OSWER 9200.3-14-1G-T
NOVEMBER 2009 (Continued)
TBD OMB passback of FY 1 1 budget request
TBD AA/RA Priorities Meeting for FY 1 1
DECEMBER 2009
Late Agency appeal of the OMB FY 1 1 budget passback
Nov/
Early
OSRTI sets targets for national remedial pool deobligations
JANUARY 2010 QUARTER 2 (FY 10)
TBD Regions submit draft FY 10 deobligation plans to HQ
8 SCAP Pull for 1st Quarter FY 10 accomplishments and financial data - 5th working day of the month
TBD OSRTI issues Pipeline Operations Site Allowance resources to region
FEBRUARY 2010
On or President submits FY 1 1 budget request to Congress
before
the first
Monday
inFeb
Mid NPMs issue draft program guidance for FY1 1
APRIL 2010 QUARTER 3 (FY 10)
7 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
Late NPMs issue final national program guidance for FY 1 1
FY 09 SPIM March 31, 2009
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OSWER 9200.3-14-1G-T
MAY 2010
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 11 program goals
TBD Annual Goal Team Meetings with Deputy Administrator on FY 10 progress and FY 12 priorities
TBD Superfund Focus Forum (technical)
JUNE 2010
1-30 Regions update schedules and financial information in CERCLIS for FY 11, FY 12, and FY 13 in
preparation for workplanning meetings
TBD OSWER presents FY 11 Superfund goals and priorities and FY 12 investments to the Administrator
and Regional Administrators
TBD Administrators and OC provide HQ program offices and Regions with policy for FY 12 budget
formulation
Late NPMs/Regions begin bidding process for FY11 accomplishments
JULY 2010 QUARTER 4 (FY 10)
1 Regions draft commitments due in BAS
8 OSRTI pulls planning information from CERCLIS:
1) to support FY 11 and FY 12 budget request
2) to prepare for FY 11 workplanning
8 OSRTI pulls 3rd quarter accomplishment and financial information from CERCLIS.
8 Enforcement provides:
1) Special program reports
2) 3rd quarter performance evaluations
TBD NPMs submit proposed FY 12 budgets to OCFO/Administrator
TBD HQ program offices and lead regions make presentations to Administrator/Deputy Administrator on
FY 12 program priorities [FY 12 Budget Forum]
March 31, 2009 FY 09 SPIM
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OSWER 9200.3-14-1G-T
JULY 2010 (Continued)
TBD HQ/Regions begin work planning sessions on the final FY 11 GPRA annual performance goals and
program targets/measures and budget
TBD Administrator passback of FY 12 budget request
AUGUST 2010
6 Agency pulls CERCLIS data to assist in preparation of the FY 12 budget to OMB
TBD HQ develops FY 12 budget for submission to the Office of Management and Budget (OMB)
TBD Agency develops strategy for presenting the FY 12 budget to OMB
TBD Final revisions to FY 12 APGs and APMs due to OCFO
Mid NPMs begin drafting FY10 performance report
SEPTEMBER 2010
TBD Final GPRA commitments due in BAS
TBD Agency submits FY 12 budget to OMB
FY 09 SPIM March 31, 2009
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OSWER 9200.3-14-1G-T
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Acronyms
FY 09 SPIM March 31, 2009
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OSWER 9200.3-14-1G-T
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. —
CBD —
CD —
CEPP —
CEPPO (now OEM) —
CERCLA —
CERCLIS —
CERFA —
CFO —
CI —
CIAO —
CIC —
CIOC —
CIP —
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
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
FY 09 SPIM
March 31,2009
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OSWER 9200.3-14-1G-T
CLP —
CN —
CO —
COI —
CPCA —
CR —
CRP —
CWA —
CWG —
DA —
DAS —
DEC —
DCN —
DD —
DNAPL —
DOD —
DoD —
DOE —
DOI —
DOJ —
DOPO -
DOT —
DPO —
DRG —
BBS —
EE/CA —
El —
EMSL —
ENRD —
EPA —
EPA-ACH —
EPA ID —
EPCRA —
EPI —
EPIC —
EPS —
ERA —
ERCS —
ERNS —
ERRS —
ERS —
ERT —
ESAT —
BSD —
ESF —
ESI —
ESI/RI —
ESS —
FAD —
FAS-
FCO —
FCOR —
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
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
March 31,2009
FY 09 SPIM
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FDW —
FE —
FEMA —
FFFYR —
FFA —
FFCA —
FFEO —
FFRRO —
FFIS —
FFS —
FMC-Ci—
FMD —
FMFIA —
FMO —
FOIA —
FOSL —
FOST-
ER-
ER?—
FS —
FTE —
FUDS —
FY —
FYR —
FY/Q —
GAD —
GAO —
GFO —
GICS —
CIS —
GNL —
GPRA —
HAZDAT -
HHS —
HI —
HQ-
HRS —
HSWA —
HWC —
IAG —
ICIS —
ICTS —
IFMS —
IG —
IMC —
1MB —
IMS —
IOTV —
LAN —
LEPC —
LERP —
LOC —
LOE —
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
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
FY 09 SPIM
March 31,2009
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LTCS —
LTRA —
MAD —
MAG —
MARS —
MM/DD/YY-
MMS —
MOA —
MOHR —
MORR —
MOU —
MSCA —
NACEPT —
NAPL-
NBAR —
NCP —
NEPPS —
NFFA —
NFRAP —
NOAA —
NOS —
NPL —
NPM —
NRC —
NRS —
NRT —
NSEP —
NSFCC —
NTC —
NTIS —
NTSD —
OAM —
OARM —
OBCR —
OC —
OCA —
OCFO —
OD —
OECA —
OEM —
O&F —
OGC —
OIG —
O&M —
OMB —
OPA —
OPAC —
ORC —
ORD —
OSC —
OSRE —
OSRTI —
OSW —
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
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)
Office of Superfund Remediation and Technology Innovation
Office of Solid Waste
March 31,2009
FY 09 SPIM
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OSWER 9200.3-14-1G-T
OSWER —
OU —
OUST —
PA —
PAH —
PC —
PCB —
PCOR —
PECB —
PNRS —
PO —
POLREP —
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 —
RMP —
ROC —
ROD —
RPM —
RPO —
RRT —
RTF —
SACA —
SACM—
SAM —
SARA —
SAS —
SB/RTC —
SCAP —
Office of Solid Waste and Emergency Response
Operable Unit
Office of Underground Storage Tanks (OSWER)
Preliminary Assessment
Polyaromatic Hydrocarbons
Personal Computer
Fob/chlorinated biphenyl
Preliminary Close-Out Report
Program Evaluation & Coordination Branch (OSRE)
Preliminary Natural Resource Surveys
Project Officer
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
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
FY 09 SPIM
March 31,2009
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OSWER 9200.3-14-1G-T
SCORPIOS —
SDMS —
SEP —
SERC —
SERF —
SFO —
SI —
SIBAC —
SIP —
SITE —
SME —
SMOA —
SMP —
SMSA —
SNAP-
S'—
SOL —
SOW —
SPCC —
SPIM —
SRA —
SRIS —
SRP —
SSA —
SSAB —
ssc —
SSID —
SSP —
START —
STSI —
TASC -
TAG —
TAT-
TOO—
TIFSD —
TOSC —
TOPO -
TRC —
TRW —
TSCA —
TSD —
UAO —
USCG —
USAGE —
USFWS —
USGS —
VRP —
WA —
WAM —
WasteLAN —
ZPO —
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
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
March 31,2009
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
Organizational Charts
FY 09 SPIM March 31, 2009
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OSWER 9200.3-14-1G-T
This Page Left
Intentionally Blank
March 31, 2009 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
Office of Solid Waste and Emergency Response (OSWER)
Federal Facilities
Restoration &
Reuse Office
John Reeder, Director
aii Cooper, Dep. Director
innovation Partnership &
Communication Office
Marsha Fainter, Director
Center for Program
Analysis
Bngid Lowery, Act. Director
IMMEDIATE OFFICE OF THE
ASSISTANT ADMINISTRATOR
Barry N. Breenr Acting AA
Renee Wynn, Acting PDAA
Organizational
Management &
Integrity Staff
Lora Culver, Director
PMO
Office of Program
Management
Sara Hisel McCoy, Act. Dir.
SIO
Revised March 2009
Office of Superfund
Remediation &
Technology Innovation
Jirn Woolford, Director
Elizabeth Southeriand,
Act Dep. Dsr
Office of Resource
Conservation and Recovery
Matt Hale, Director
Maria Paris* Vickers. Dep. D*r.
Office of Underground
Storage Tanks
Carolyn Hoskinson. Act. O^r
Dep. Dir Vacant
Office of Brownfietcts
& Land Revitatization
David Lloyd, Director
Myra Blakely, Dep. Dir.
Information Management
& Data Quality Staff
Stephen Schmrtt, Director
IMO
Policy Analysis &
Regulatory
Management Staff
Barbara A ^ostage^ Dii
Acquisition & Resources
Management Staff
Sue Priftis. Director
SBO
Office of Emergency
Management
Defcbte Dietrich, Dir.
Dana Tulis. Dep. Dir.
Resources Management
Division
Rcbir H. Richarasor, Act. Dv. Dir
Assessment & Remediation
Technology Innovation
& Field Services Division
Arr&id Layne. Div. Dir.
Program Mgmt Communication;
8, Analysis Office
Betsy Sponger. D--rector
Materials Recovery &
Waste Management Div.
Roben Delling^r, Dtrecior
Policy & Standards
Division
Mark Barolo, Director
Implementation
Division
Ada-ri Khnger, D;r
Resource Conservation S
Sustainability Oiv.
Peter Grevan. Director
Environmental Response Team
Da^'id Wright. Ch^e*
Ha-ry Compton. DSC (Easij NJ
DenniS&es Valdes. DBC iWest! NV
Program Implementation S
Information Division
James Ber*ow, Director
Homeland Security ]
Laboratory
Response Center
Schatzi Fitz- James, Team 1
Leacer j
">
Business Operations i
Cemer U-
DanaStalcup, Director i
L J
National Planning &
Preparedness Division s— •
Ma'k Mjoness, Director
-
^
H
National
Steve hawthorn. Director
Program Operations S
Coordination Division
Giiaertc Inzarry, D>r.
Evaluation &
Division
Kafnleen Jones, Director
^ Regulation S Policy
Development Division
R.Cra,-g Matthiessen, 0§r.
For more information, please see http://www.epa.gov/oswer/programs.htm
FY 09 SPIM
March 31,2009
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OSWER 9200.3-14-1G-T
OFFICE OF SUPERFUND REMEDIATION AND TECHNOLOGY INNOVATION
Office of Superfuad Remediation and Technology Innovation
Sherri Clark. Spec- A«t.
Resources
Management Division
Joan Hanigan-Farrelly, DD
Robin H. Richardson, ADD
Contracts Management Branch
Barbara McDouough. Chief
Information Management Branch
Patricia Gem-land. Chief
Laurie Ford, Act. ABC
Budge:. Planning and Evaluation Branch
Art Flaks, Chief
Alau Yookelts, ABC
Jame? Woolford. Director
Barnes Johnson, Deputy Director
Terii Johnson.
Workload Assessment
Project Manager
Technology Innovation
and Field Services Division
Jeff Heimerman. Act, DD
Brace Mean-;. Act. ADD
Analytical S^rdce*; Branch
Bruce means. Chief
Technology- In:egi3tior: m
lafonnatmn Branch
Dan PoivelL Chief
Technolcs}' A^ses-sment Branch
John Kingscott.Chief
bn^irounieDtal Re?poase Team
David Wright, Chief
Harry Compton. DEC (EAST)
Dennisses Valdes. DEC (WEST)
Assessment and
Remedbtion Dhision
Elizabeth Southerland, DD
PhvUis Anderson, ADD
Site Assessment and
Remedy Decisions Branch
Victoria van Roden, Chief
Community Invok'enient and
Prosram Initiatives Branch
Suzanne Wells. Chief
Lany Zaragoza. ABC
oosEiucdou and Po?t-ConsTuction
Msnageniem Branch
David E. Cooper, Act. C'hief
John Smith, ABC
Science Policy' Branch
Douglas Amman. Chief
OS/4/200S
For more information, please see http://www.epa.gov/superfund/partners/osrti/index.htm
March 31, 2009
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
U.S. Environmental
Protection Agency
Office of Federal
Activities (OFA)
Director: Susan Bromm
DOD: Kimberly DePaul
AD: Cheryl Wasserrnan
International Compliance
Assurance Division
(1C AD)
Director: Robert Hesss
NEPA Comp'iance
Division (NCD)
Director: Robert Hargrove
Federal Facilities
Enforcement Office (FFEO)
Director. David Kling
DOD: Sandra Connors
Immediate Office
Assistant Administrator (A):
Catherine R. McCabe
PDAA (A): Randolph L Hill
Office of Site
Remediation
Enforcement (OSRE)
Director: Maraa
Mulkey
DOD: Eltiott Gilberg
Policy and Program
Evaluation Division
(PPED)
Director: Ann Pontius
DD: Monica Gardner
Regional Support Division
(RSDJ
Director: Kenneth
Patterson
DD: Karin Leff
Program Operation Staff
(POS)
Director: Laura Mi ton
PDAA = Principal Deputy Assistant Administrator
DAA = Deputy Assistant Administrator
DOD = Deputy Office Director
AD = Associate Director
DD = Deputy Division Director
(A) = Acting
Revised March 3,2009
Office of Enforcement and
Compliance Assurance
(OECA)
Office of Environmental
Justice (OEJ)
Director: Charles Lee
DOD: Heather Case
AD: Kent Benjamin
Office of
Administration and
Policy (OAF)
Director Margaret
Schneider
DOD (A): David Swack
Administration
Management D vision
(AMD)
Director Patricia Keir,
Budget and Financial
Management Division
(BFMD)
Director (A): Jorin Warren
Information Technology
Division (ITD)
Director Sara Roman
Policy and Legislative
Coordination Division
(PLCD)
Director Caroline Aheam
Office of Criminal
Enforcement,
Forensics and
Training (OCEFT)
Director: Fred Bumside
OOD: Blen C. Stough
AD: Jonathan S. Co:e
Crimina Investigation
Division (CID)
Director: Ella R. Barnes
DD: Doug Parker
Homeland Security
Division (HSD)
Director: Steven C.
Drie ak
DD TedJ. Stanich
Legal Counsel Division
(LCD)
Director: Michael R.
Fisher
DD: Thomas J. Seaton
National Enforcement
Investigations Center
(NEIC)
Director. Howard M.
Cantor: DD:
Tom Norris
Office of Civil
Enforcement (OCE)
Director
Adam M Kushner
DOD (A): Mark
Badaiamente
Air Enforcement Division
(AED)
Directors (A): Parn
Mazekas and Matt
Morrison
AD :A;i ^ohn Fcgarty
Special Lifcgaton ana
Projects Division (SLPD)
Director Bernadette
RappokJ
AD: Susan O'Keefe
Water Enforcement
Division (WED)
Director Mark Pol'ins
AD: Kate Anderson
Waste and Chemical
Enforcement Division
(WCED)
Director: Rosemane
Kelley
ADs: Don Lott and
YvetteheMver
Office of Compliance
(OC)
Director: Lisa C. Lund
DOD: David A. Hindin
Agriculture Division (AgD)
J rec:o" ^ick Colosr.
Compliance Assessment
and Media Programs
Division (CAMPDi
Director Rick Duffy
AD (A): Mamie Miller
Compliance Assessment
and Sector Programs
Division (CASPD)
Director (A) Karin Kosiow
AD: Vacant
Enforcement Targeting
and Data Division
Director (A): John
Domtorowski
DD: Vacant
National Enforcement
Training Institute Division
(NET I)
Drector Michael S
Alushin
DD (A): Mike Walker
National Planning.
Measures and Analyses
Staff (NPMAS)
Director:
Christopher Knopes
DD: James Pendergast
For more information, please see http://www.epa.gov/compliance/about/index.html
FY 09 SPIM
March 31,2009
-------
OSWER 9200.3-14-1G-T
OFFICE OF EMERGENCY MANAGEMENT
Deborah Y. Dietrich, Office Director
Dana S. Tulis, Deputy Office Director
Constance Haaser, Info. Mgmt. Special Advisor
Glenitta Chase, Special Assistant
Ruby Capers, Executive Office Manager
National Decontamination Team
Steve Hawthorn, Leader
Regulation & Policy
Development Division
Craig Matthiessen, Director
Kim Jennings, Director
National Planning
and Preparedness Division
MarkMjoness, Director
Business Operations Center
Dana Stalcup, Director
Homeland Security
Laboratory Response Center
Schatzi Fife-James, Team Leader
Program Operations
and Coordination Division
Tito Irizarry, Director
Evaluation and
Communications Division
KathyJones, Director
For more information, please see http://www.epa.gov/emergencies/about.htm#boc
March 31,2009
FY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
Superfund Program Implementation Manual FY 09
Chapter I: Introduction
FY 09 SPIM March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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Left Blank
March 31, 2009 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
CHAPTER I
INTRODUCTION
Table of Contents
CHAPTER I: INTRODUCTION 1-1
LA. PURPOSE 1-1
I.B. SUPERFUND 1-1
I.B.I. Introduction 1-1
I.B.2. Superfund and its History. 1-2
I.B.3. "Principles for Superfund Cleanup in the 21st Century" 1-3
a. Superfund Targets Sites that Pose Significant Risks 1-4
b. Regions Consider Alternative Cleanup Program Options and Funding Sources 1-4
c. Appropriate Sites are Listed on the NPL 1-4
d. Cleanup Decisions Consider Future Reuse of Sites 1-4
e. Cleanup Decisions are Based on Sound Science and Utilize Innovative Technologies 1-4
f. Superfund Pursues "Enforcement First" 1-5
g. Mega-sites are Subdivided for Appropriate Management 1-5
h. New EPA Funding for Remedial Actions is Selected Based on Prioritization Factors 1-5
i. Work Plans are Developed for Each Site in Construction 1-5
j. Superfund Addresses Long-Term Stewardship Needs 1-5
k. The Superfund Database Supports the Program and Meets a Broad Range of Information Needs 1-6
1. The Superfund Program Actively Evaluates Whether its Program is Operated Efficiently 1-6
m. Superfund is a Model of Public Outreach and Involvement 1-6
n. Superfund Provides State-of-the-Art National Emergency Preparedness and Response 1-6
I.C. SUBJECT MATTER EXPERTS 1-7
List of Exhibits
EXHIBIT I.I. SUBJECT MATTER EXPERTS 1-7
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OSWER Directive 9200.3-14-1G-T
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March 31, 2009 I-ii FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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, Brownfields, 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 (SPDVI) 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 program's 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 2009. Revisions to the SPIM 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 program targets and measures, for critical parts of the Superfund program.
LB. SUPERFUND
I.B.1. 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.
FY 09 SPIM 1-1 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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 (PRPs) 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
• 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.
March 31, 2009 1-2 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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 Brownfields
Revitalization Act (Public Law 107-188; H.R. 2869). The law provides a new definition of Brownfields 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
Brownfields 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 Brownfields 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 Brownfields 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.
FY 09 SPIM 1-3 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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 (PAs) and site inspections
(Sis) 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 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 employs 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, Brownfields, 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 on the NPL. Of those sites, EPA proposes the most
appropriate sites first to help manage resources. Some factors EPA considers in prioritizing NPL candidate
sites include the risk 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 state, tribes, and
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 (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.
March 31, 2009 1-4 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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 PRPs throughout the removal and remedial processes, and pursue PRPs identified later in the
process for an appropriate portion of the site work or costs. EPA actively pursues liable, viable PRPs 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 Brownfields 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 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.
FY 09 SPIM 1-5 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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 PRPs 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.
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
(CICs) 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 CICs, 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).
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.
March 31,2009 M FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
I.C. SUBJECT MATTER EXPERTS
The following exhibit identifies the subject matter experts for Chapter I Introduction.
EXHIBIT 1.1. SUBJECT MATTER EXPERTS
Subject Matter Expert
Renee Hamilton
Eric French
Art Flaks
Vince Velez
Brendan Roache
Lance Elson
TBD
Janet Weiner
Patricia Kennedy
Bill Finan
TBD
Robin H. Richardson
Kevin Brittingham
Subject Area
SPIM/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
OSRTI/Non-Time Critical 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) 603-8717
(202) 564-6061
(202) 564-7981
(703) 603-9048
(202) 564-4941
Email
hamilton. reneetSlepa. sov
french.eric(8),epa.sov
flaks . art(3),epa. sov
velez. vincent(@,epa. sov
roache .brendan(®,epa. sov
elson. lance(@,epa. sov
weiner.i anet(@,epa. sov
kennedv .patricia(S>,epa. sov
finan.bill(@,epa. sov
richardson. robinh(8),epa. sov
brittinshamkevin(@,epa. sov
To see a complete list of data sponsors, please refer to Data Sponsor List in Appendix E.
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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OSWER Directive 9200.3-14-1G-T
Superfund Program Implementation Manual FY 09
Chapter II: Superfund Budget Planning Process and Financial Management
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OSWER Directive 9200.3-14-1G-T
CHAPTER II:
SUPERFUND BUDGET PLANNING PROCESS AND FINANCIAL MANAGEMENT
Table of Contents
CHAPTER II: SUPERFUND BUDGET PLANNING PROCESS AND FINANCIAL MANAGEMENT.... II-l
II.A. INTRODUCTION II-l
II.B. BUDGET DEVELOPMENT PROCESS II-l
II.B.I. Budget Formulation (Outyear) II-l
II.B. 2. Budget Review and Planning (Planning Year) II-l
II.B. 3. Budget Execution (Current Year) II-2
II.C. SUPERFUND NATIONAL RESPONSE PROGRAMS II-4
II.C. 1. Program Results Code (PRC) II-4
II.C.2. Superfund Program Goals and Priorities II-5
a. Superfund: Remedial (302DD2) II-5
b. Superfund Emergency Response and Removal (302DC6) II-6
c. Homeland Security: Preparedness, Response, and Recovery (302D72) II-6
d. Superfund Enforcement II-7
e. Federal Facilities Response Budget (302DC9) II-7
f. Base Realignment and Closure (302D41 and302D41B4) II-8
g. Federal Facilities Enforcement (302EH2) II-8
II.D. ALLOCATING SUPERFUND RESOURCES AMONG THE REGIONS II-8
II.D.I.Remedial Response Program Resources II-9
a. Remedial Action SA II-9
b. Pipeline Operations SA 11-10
II.D. 2. Homeland Security/Removal Response Program Resources 11-10
II.D. 3. Superfund Federal Facilities Response Program 11-10
II.D.4.Base Realignment and Closure (BRAC) 11-11
II.D. 5. Enforcement Program 11-11
II.D. 6. Federal Facilities Enforcement Program Resources 11-11
II.DJ.Deobligating Prior Year Funds 11-12
II.D.8.Budget Sources and Associated Action Codes 11-12
II.E. SUPERFUND FINANCIAL MANAGEMENT 11-17
II.E.I. Financial Management Roles and Responsibilities 77-77
a. Regional Financial Management Office 11-17
b. Regional Administrator (unless delegated to Regional Program office) 11-17
c. Regional Program Office 11-17
d. On-Scene Coordinator (OSC) 11-18
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OSWER Directive 9200.3-14-1G-T
e. Remedial Project Manager (RPM) 11-18
f. Regional Project Officer (RPO)/Deputy Project Officer (DPO) 11-18
g. Administrative Support Unit 11-18
h. Office of Financial Management (OFM)/Office of the Chief Financial Officer II-19
i. Office of Acquisition Management (OAM) 11-19
j. Grants Administration Division (GAD )/Office of Administration 11-19
k. Budget Division/OCFO 11-19
1. Cincinnati Finance Center (CFC) Office of Financial Services 11-19
m. Research Triangle Park (RTF) Finance Center Office of Financial Services 11-19
II.E.2. Financial Data Management Systems and Tools 77-20
II.F. REGIONAL SUPERFUND FUNDING PROCESS 11-21
II.F.l. Approvals 77-27
II.F.2. Commitments 77-27
II.F.3. Obligations 77-22
II.F.4. Payments (Outlays) 77-22
II.F.5. Deobligations 77-22
II.G. SUPERFUND ACCOUNTING INFORMATION AND TREATMENT OF CERCLIS DATA 11-22
II.G.l.Superfund Account Number 77-23
a. Fund/Appropriation Code 11-23
b. Site/Project Field 11-25
II.G.2.Handling Financial Data in the CERCLIS Environment. 77-25
a. Entering Response, Enforcement and Federal Facility Data into CERCLIS 11-26
b. Correcting Financial Data 11-26
II.H. FINANCIAL VEHICLES 11-28
77.77.7. Contracts 77-2S
a. Contracts for Site-Specific Work 11-28
b. Contracts for Non-Site Specific Work 11-28
c. General Site Support Contracts 11-28
d. Enforcement Support Services (ESS)/Zone Enforcement Support Services (ZESS) 11-28
II.H.2. Other Financial Vehicles 77-2P
a. Interagency Agreements (lAGs) 11-29
b. Cooperative Agreements (CA) 11-30
c. Superfund State Contracts (SSCs) 11-30
ILL COST RECOVERY PROCESS 11-32
77.7.7. Initiation of Cost Recovery Process 77-32
77.7.2. Cost Documentation and Reconciliation 77-32
77.7.3. Work Performed Documentation and Reconciliation 77-32
77.7.4. Site File Maintenance 77-32
77.7.5. Superfund Indirect Costs 77-33
77.7.6. Annual Allocation 77-33
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OSWER Directive 9200.3-14-1G-T
ILL 7. Cashout/SpecialAccounts 77-33
77.7.8. Department of Justice (DOJ) Involvement 77-33
II.J. SUPERFUND FINANCIAL CONTACT INFORMATION 11-34
H.J.I. Regional Super/and Cost Recovery Contacts 77-34
II.J.2. Headquarters Superfund Cost Recovery Contacts 77-35
II.J.3. Regional Budget Coordinators 77-35
II.J.4. Subject Matter Experts 11-36
FY 09 SPIM II-iii March 31, 2009
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OSWER Directive 9200.3-14-1G-T
List of Exhibits
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) 11-12
EXHIBIT II.4. ACCOUNT NUMBER STRUCTURE 11-23
EXHIBIT II.5. HANDLING FINANCIAL DATA IN THE CERCLIS ENVIRONMENT 11-27
EXHIBIT II.6. EPA FORMS COMMONLY USED FOR SUPERFUND PROCUREMENTS 11-29
EXHIBIT II.7. REGIONAL COST RECOVERY CONTACTS 11-34
EXHIBIT II.8. HEADQUARTERS SUPERFUND COST RECOVERY CONTACTS 11-35
EXHIBIT II.9. REGIONAL BUDGET COORDINATORS 11-36
EXHIBIT 11.10. HEADQUARTERS SUBJECT MATTER EXPERTS 11-37
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OSWER Directive 9200.3-14-1G-T
CHAPTER II:
SUPERFUND BUDGET PLANNING PROCESS AND FINANCIAL MANAGEMENT
II.A. INTRODUCTION
This chapter and its eight sections describes the Superfund budget planning process, resource allocation to
the Regions through the Site Allowances (SAs), 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, lAGs, 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.
II.B. 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.1. 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 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
FY 09 SPIM IMMarch 31,2009
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OSWER Directive 9200.3-14-1G-T
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 (SAs). However, at this stage of operating plan development,
program offices are not required to distinguish among these BOCs. 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 (SAs) 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 (CRs) 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 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.
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OSWER Directive 9200.3-14-1G-T
EXHIBIT II-l. BUDGET TIMELINE
Month
October
November
December
January
February
March
April
May
June
Outyear Budget
(FY 2011)
Revision to the Agency Strategic Plan
begins.
Annual national goal meetings are
held
OSWER pulls programs and financial
planning information from CERCLIS
to assist OSWER managers in
developing proposals
National planning meetings are held
and NPMs submit
investment/disinvestment proposals
OMB sets budget targets and OCFO
issues policy for budget formulation
Planning Year Budget
(FY 2010)
OMB passback of budget request
(outyear budget process)
HQ appeal of the OMB budget
passback (outyear budget process)
President submits budget request to
Congress (outyear budget process)
Congressional Appropriation Hearing
on President's Budget (outyear budget
process)
Regions submit and OSWER pulls
program and financial planning
information from CERCLIS (planning
year budget process)
Current Year Budget
(FY 2009)
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 SA
resources to Regions.
OSWER finalizes preliminary
ongoing remedial action funding plan
and issues 1 st 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
OCFO issues prior year carryover
December 31 is the end of the 1st
quarter.
OSWER issues 2nd quarter RA SA
resources to regions
3rd quarter response SAs and
remaining call memo for enforcement
SA issued
March 31 is the end of the 2nd
quarter.
Mid-year assessment held to evaluate
regional progress and utilization of
regional programmatic budgets
OSWER 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
enforcement SA resources
OSWER generally begins to approve
recertification requests of deobligated
resources (may occur earlier)
4th quarter response SAs calculated
June 30 is the end of the 3rd quarter.
FY 09 SPIM
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Month
July
August
September
Outyear Budget
(FY 2011)
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 2010)
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 2009)
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
(including Enforcement) program, 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's financial strategic architecture is designed to reflect the Agency's 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's 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:
• Resources for Superfund cleanup and response activities and the civil enforcement program are primarily
found under Goal 3, Objective 02 (the first 3 positions of the PRC).
• The most common NPMs (4th position of the PRC) associated with Superfund are OSWER (NPM "D")
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 "D", and Financial
Transfer to Governmental Organizations "E".
• The 8th and 9th positions of the PRC are reserved for special use.
Exhibit II.2 shows PRCs 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.
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OSWER Directive 9200.3-14-1G-T
EXHIBIT IL2. 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's FY 2006 Program Project Description Book.
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;
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• 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 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/RRTs), 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;
• 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 (RRCs) to ensure effective and efficient response operations;
• Represent EPA and participate in Department of Homeland Security and interagency committees,
task forces and workgroups;
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• 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
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 PRPs 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;
• 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
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OSWER Directive 9200.3-14-1G-T
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.
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 (BBS) 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 (302EH2)
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. lAGs are also referred to as Federal
Facilities Agreements (FFAs). 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 FFAs /lAGs with Federal agencies whose sites are listed on the NPL;
• Monitoring milestones provided in the FFAs/IAGs 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. ALLOCATING 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
(BOCs) 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 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.
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OSWER Directive 9200.3-14-1G-T
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 (BOCs). 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.1. Remedial Response Program Resources
The Remedial Response program budget includes two SAs, 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 SAs 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 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.
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OSWER Directive 9200.3-14-1G-T
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 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 SAs: 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
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OSWER Directive 9200.3-14-1G-T
the approved budget during the 1st quarter and will 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 (TAG), 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's share of the usage rate (as measured by expenditures for the current year to date and the preceding
year) for enforcement activities. Headquarters allocates 60% of the President's 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 for technical enforcement.
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.
The legal enforcement budget is allocated equally between all ten regions and made fully available in the
Interim Operating Plan. These funds are included along with the initial allocation of the technical enforcement
resources, but are not distinguishable as such. 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.
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 (NOA), 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.
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OSWER Directive 9200.3-14-1G-T
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 Superfund Deobligation Guidance. 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.
EXHIBIT H.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
Action
Code
AR
AS
AD
WQ
CC
CB
NX
CO
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&
P
S
F, S, TR, SA, SS, ST
March 31,2009
11-12
FY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
Superfund Programmatic Action Codes to Be Used for Financial Transactions,
Sorted by CERCLIS Action Name
Action Name
Community Involvement (Non-
Federal facility) (Regions may plan
using the ' WQ' SSID but must
obligate site-specifically)
Compliance Enforcement
Contract Management
Contract Program Management
(Administrative)
Cost Recovery Decision Document
Cost Recovery Negotiation
Deletion from NPL
Design Assistance
Ecological Risk Assessment
Emergency PRP Removal (aka
Emergency Removals Without
an Enforceable Instrument)
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
FFLR
FF Oversight
(Site Specific BRAC Costs)
FF PA Review
FFRA
FFRD
FF Removal
FFRI
FF RI/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)
Action
Code
CR
UZ
JU
QC
DD
NE
ND
DA
JF
PJ
TM
EE
SS
ES
FS
TX
LZ
GA
TZ
VY
NI
MZ
OX
RX
LY
LX
LV
NH
LW
TY
NF
FE
PRC
302DC6&
302DD2&
302EC7&
302DC6&
302DC9&
302DD2&
302EC7&
SAs
S
P
E
S
FF
P
E
Site Des.
S
S
S
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
Lead
F, S, TR, RP, PS, MR
F, S, TR, RP, PS, MR
FE, SE
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)
302DC6&
302DC6&
RV
S
S
S
RP, PS, MR
RP, PS, MR
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)
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&
P
RA
S,WQ
S,WQ
RP, PS, SA
F, S, SA, TR
FY 09 SPIM
11-13
March 31,2009
-------
OSWER Directive 9200.3-14-1G-T
Superfund Programmatic Action Codes to Be Used for Financial Transactions,
Sorted by CERCLIS Action Name
Action Name
Forward Planning/
Redevelopment/ Reuse
General Support and Management
General Enforcement
Generic PA/SI
Geophysical Support/ Mapping
Groundwater Monitoring (Post-
ROD)
Health Assessment
HRS Package
Human Health Risk Assessment
Hydro/Geological Support
IAG Negotiation
Information Management Support
Integrated Assessment
Integrated ESI
Integrated ESI/RI
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
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)
Action
Code
FM
BM
GE
QB
GS
GM
HA
HR
ED
HG
IN
IJ
EA
OY
0V
OZ
OU
QJ
HV
LA
LT
EV
LR
MA
MS
NG
RP
NS
OM
GR
QX
HX
AS
PA
PRC
302DD2&
302DC6&
302DD2&
302EH2&
302EC7&
302DD2&
SAs
P
S
P
FFE
E
P
Site Des.
S
00
00
00
00
S, WQ,ZZ
Lead
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)
302DD2& P S 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
302EC7&
302EH2&
302EC7&
302EC7&
302DC9&
302DD2&
E
FFE
E
E
FF
P
S
S
S, WQ, ZZ
S,WQ
S
S
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& P S,WQ,ZZ F, S, TR
March 31,2009
11-14
FY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
Superfund Programmatic Action Codes to Be Used for Financial Transactions,
Sorted by CERCLIS Action Name
Action Name
Preparation of Cost
Documentation
Proposal to NPL
PRPFS
PRPLR
PRP Community Involvement
PRPRA
PRPRD
PRP Removal
PRPRI
PRP RI/FS
RCRA Facility Assessment
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
RI/FS Negotiation
Risk/Health Assessment
Section 104(E) Referral Litigation
Section 106 Litigation
Section 106/107 Litigation
Section 107 Litigation
Action
Code
PC
NP
NK
ME
EL
BF
BE
BB
NA
BD
AA
AN
RL
SW
RA
CR
JU
RD
RI
BO
RV
JT
AY
RS
RC
EZ
RN
BN
NR
BG
FN
ED
SF
SX
CL
SV
PRC
302EC7&
302JC7&
SAs
E
Site Des.
S
S
Lead
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&
302DC6&
302DD2&
302DD2&
P
P
RV
S
P
P
S
S
S
S
S
S
RP, PS, MR
RP, PS, MR
RP, PS, MR
RP, PS, MR
RP, PS, MR
RP, PS, MR
Not Available-Use Generic PA/SI (QB)
302EC7&
302DD2&
302DC6&
302DC9&
302DD2&
302EC7&
302EH2&
302DD2&
E
P
S
FF
P
E
FFE
RA
S
S
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S
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&
302DC6&
RV
S
S, WQ, ZZ
S, WQ, ZZ
CG, F, S, TR, RP, PS, MR
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&
302EC7&
302DC9&
302DD2&
302EC7&
302EC7&
302EC7&
302EC7&
P
E
FF
P
E
E
E
E
S, WQ, ZZ
S
S,ZZ
s,zz
S
S
S
S
F, S, TR
FE, SE
FF
F, S, TR, RP, PS, MR
FE, SE
FE, SE
FE, SE
FE, SE
FY 09 SPIM
11-15
March 31,2009
-------
OSWER Directive 9200.3-14-1G-T
Superfund Programmatic Action Codes to Be Used for Financial Transactions,
Sorted by CERCLIS Action Name
Action Name
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
Training
Treatability Study
Tribal Core Program
Tribal Pilot Projects
Tribal Support Agency
Cooperative Agreement
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
Action
Code
SM
SI
oo
PD
SK
EM
MA
TA
TG
TO
TH
TS
TK
TJ
TJ
PRC
302DC6&
302DC9&
302DD2&
302EC7&
302DD2&
SAs
S
FF
P
E
P
Site Des.
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ
Lead
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)
302DC6&
302DD2&
302EC7&
302DD2&
302DD2&
S
P
E
P
P
00
00
00
S
00
F
F
FE
,S, TR, RP, PS, MR, SA,
SS, ST
F
Renamed-See Tribal Support Agency Cooperative Agreement (TJ)
302DC9&
302DD2&
302EC7&
FF
P
E
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
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ
FF
F
F
Key to Site Designators:
S = Site-specific obligation
WQ = Unspecified-Site Obligation; Site-specific
Outlay
ZZ = site-related (ZZ) Obligation
00 = Non-site (oo) Obligation
Key to SPIM Site Allowances (SAs) (formerly
AOAs):
E = Enforcement
FFE = Federal Facilities Enforcement
FF = Federal Facilities Response
RV = Removal
S = Removal Support
P = Pipeline Operations
RA = Remedial Action
March 31,2009
11-16
FY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
II.E. 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.1. 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 (PRs), Interagency Agreements (lAGs), and Cooperative
Agreements (CAs);
• 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;
• 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 SSCs;
• 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 lAGs;
• Issues S/SIDs;
• Prepares Commitment Notices (CNs) and PRs;
• Develops SSCs;
• Approves Request for Proposals (RFPs) or Request for Bids and contracts developed by the states;
• Monitors the transfer of financial data on contracts, lAGs, and CAs into CERCLIS;
FY 09 SPIM IM7 March 31,2009
-------
OSWER Directive 9200.3-14-1G-T
• 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 PRs;
• Initiates PRs, Work Assignments (WAs), CAs, lAGs, 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.
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 PRs, WAs, CAs, lAGs, 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 PRs, WAs, CAs, lAGs, 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 PRs and CNs; and
March 31,2009 IMS FY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
• Reviews IFMS reports.
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 HQ's 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 lAGs;
• Issues identification numbers for all lAGs; and
• Processes and awards HQ lAGs.
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 lAGs;
• Processes disbursement requests from other agencies;
• Processes billings for reimbursable activities; and
• Enters IAG 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.
FY 09 SPIM 11-19 March 31, 2009
-------
OSWER Directive 9200.3-14-1G-T
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's 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 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.
• IFMS is the Agency's 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 nonfinancial) 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's 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) is an official Agency reporting tool that contains a collection of data in
an Oracle database from the following information systems: IFMS, SCORPIOS, and the Contract Payment
System (CPS). 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's 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
March 31, 2009 11-20 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
appropriate accounts by site. The information is then automatically passed into the IFMS, EPA's
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.1. Approvals
An approval by the AAs, 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
(treatment) chosen at a Superfund site. It also contains site history, site description, site characteristics,
community participation, enforcement activities, past and present activities, contaminated media, the
contaminants present, scope and role of response action and the remedy selected for cleanup.
II.F.2. 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 (PRs) and Commitment Notices
(CNs). PRs commit funds for contracts; CNs commit funds for CAs and reimbursable lAGs.
• 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 PRs and CNs. This same number is carried over from the
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OSWER Directive 9200.3-14-1G-T
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.
• The contract number/OSWER Directive 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.
II.F.3. 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 CAs are entered into IFMS by the regions; lAGs 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.
II.F.4. Payments (Outlays)
• Regions are responsible for reviewing and recommending payment of the invoice/voucher.
• 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.
II.F.5. Deobligations
• Regions should regularly review the status of all contracts, lAGs, CAs, 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 ACCOUNTINGINFORMA TIONAND TREA TMENT OF
CERCLISDATA
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.
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OSWER Directive 9200.3-14-1G-T
II.G.1. 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 (PRCs were already described
in a previous section).
EXHIBIT IL4. ACCOUNT NUMBER STRUCTURE
Budget Fiscal Fund Organization Program Results Site Project Cost/Org
Year (Appropriations Code
2008 T
Data Element Field Name
Budget Fiscal Year
(8 characters)
Fund (Appropriation)
(6 characters)
Budget Organization
(7 characters)
Program Results Code
(9 characters)
Site/Project (8 characters) -
consists of S/SID, Action code,
and Operable Unit
Cost Organization
(7 characters)
7AOOP 302DD2 072 SlCJOJO 1 C 0 0
Definition
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.
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.
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).
The first 7 characters identify the PRC as discussed earlier in this chapter in
Section KB .2 and in Exhibit II. 2. The remaining positions should be left
blank.
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.
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.
2
Sample
Entry
2008
T
7 A O O P
3 0 2 D D 2
07 2 3 CO 0
1
C 0 0 2
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
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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:
March 31, 2009 11-24 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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 (i.e., future costs)
Federal Special Accounts - unearned revenue (i.e., future costs)
Special Accounts - earned revenue (i.e., past costs and interest)
b. Site/Project Field
The first four characters of the Site/Project field represent site/spill identifiers (SSIDs) 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 PAs and Sis 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 SSIDs 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.
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.
FY 09 SPIM
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March 31,2009
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OSWER Directive 9200.3-14-1G-T
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).
March 31, 2009 11-26 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
EXHIBIT IL5. HANDLING FINANCIAL DATA IN THE CERCLIS ENVIRONMENT
cumeM plowed by Pr-ogiaen OHIee in
appropriate area (Site Assessment. Remedial, Removal,
Federal Facilities, FTilViftxiiicnti
( 7-7. 7* 77, } ( t As sicncd bv ^ ( Al.s skned bv ^
Contracts sianed bv LO „ , , = , - _ ^, . ,fc „ -
I I { Regnma Administrator j I PaUk'ipattnfi Pjmes J
FKfO rc'\ii^1.-s Ihc Fiindinii Docunieul, a^siHiii li
appropriate account infiMfiMticiri, and enters
oimmilmcnt m^on^uiuw
t'omniitmcm informatton is rra
from IIAISinto Wasicl-AN
r'MO reviews !iic 0-biip'jon Docwncnt, assigns Use
iippropn^le accminl inlbrmuttnn ^A\-DC'N| ,md CIIICTS
Rrifional Obigiilioii into 1FMS
Obligation data is
transferred from lt:MS
inlii WaslcLA'M
I'-'Ml) reviews She Payment
iiysii^ist dat^ traesii;Tri;d to
WasteLAN
FY 09 SPIM
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March 31,2009
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OSWER Directive 9200.3-14-1G-T
II.H. 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.
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 OUs to support the cost recovery process. Cost recovery negotiations with PRPs, 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
Non-site specific contracts are generally support type contracts which are not awarded site specifically, but
can obligate site-specific funding on a task or delivery order basis, depending upon the type of contract.
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.
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 WAs against the contract on a site-specific basis
• Site-specific WAs are not entered into IFMS
• Contractors submit site specific attachment that includes invoiced costs for:
- Each site with a S/SID;
March 31,2009 1^28 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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
• RPOs and WAMs may conduct concurrent reviews
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 H.6. EPA FORMS COMMONLY USED FOR SUPERFUND PROCUREMENTS
EPA Form
Number
1900-8
1900-48
1900-49
1900-56
1900-59
Form Name
Procurement
Request/purchase
Order
Order for Services-
Emergency Response
to Hazardous
Substance Release
Notice to Proceed with
Emergency Response
to Hazardous
Substance Release
Letter contract for
state, tribal
government, or local
government Response
to Emergency
Hazardous Substance
Release
Delivery Order for
ERRS
Purpose
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.
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.
Used by OSC to authorize a contractor to
begin work on an emergency response (up to
$ 1 0,000 per incident). Negotiation of
definitive contract and any modifications
performed by CO.
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.
Used by OSCs 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.
Comments
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.
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.
A preliminary contractual instrument
that must be made final by a
designated CO. FMO will process
notice as an obligation.
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.
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 (lAGs)
An IAG is a written agreement between federal agencies under which goods and services are provided. The
Superfund program uses Disbursement lAGs and Allocation Transfer lAGs to request federal agencies'
assistance with site cleanups and associated activities, and to provide ongoing support or services. The
regional program office initiates and manages site-specific lAGs. U.S. Coast Guard (USCG)-lead removal
lAGs, Department of Justice (DOJ) lAGs, and allocation transfer lAGs are negotiated, approved, awarded,
and managed at HQ. The IAG specifies the services required and identifies the method of payment.
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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 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 CAs, refer to the Resources Management
Directives Systems 2550D, Chapter 9 (www:intranet.epa.gov/ocfo/policies/direct/2550d.htm).
c. Superfund State Contracts (SSCs)
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.
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 SSCs, 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.
• 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.
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OSWER Directive 9200.3-14-1G-T
• 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.
• 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.
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//./. 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 PRPs fail to clean up
sites on their own, EPA may perform the cleanup and later attempt to recover the cleanup costs from the parties.
Obtaining reimbursement for these costs through negotiation or judicial action is one of the primary goals of the
Superfund program.
Cost recovery documentation is performed by a case development team composed of representatives from
the Office of Regional Council (ORC), the regional program office, and the Regional SFO. The involvement and
distribution of responsibilities of each of these offices during the cost recovery process varies among the regions,
and may be defined by a Regional Inter-Office Memorandum of Understanding.
II.I.1. Initiation of Cost Recovery Process
• Regional program office prepares and submits cost recovery request through Regional Cost Recovery
Coordinator (RCRC) to Regional SFO. The request identifies dates through which costs are to be
documented and date documentation is required.
• RCRC requests site-specific reports generated by the Superfund Cost Recovery Package and Image On-
Line System (SCORPIOS) to provide cost basis for negotiations with PRPs.
II.I.2. Cost Documentation and Reconciliation
• 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.
• SFO documents regional Superfund costs and prepares cost summary, computes indirect costs, provides
expert and factual financial witness testimony, and interprets financial documents and SCORPIOS reports.
• ORC reviews final cost summary and documentation in preparation for litigation and takes appropriate
action pursuant to the Privacy Act and Confidential Business Information requirements.
II.I.3. 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.
11.1.4. Site File Maintenance
• Diligent maintenance is crucial to cost recovery and is a regional responsibility.
• Financial files are maintained by the FMO 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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ILLS. 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 and which also support site cleanups, but cannot be directly
accounted for by an individual site. Annual indirect cost rates are computed linking the cleanup activity with the
level of benefits received from the support activities.
Please see http://intranet.epa.gov/ocfo/policies/pcaab.htm for more information.
II.I.6. 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) associated with the contractors' direct site work are redistributed 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.
ILL 7. 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 PRPs 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.
II.I.8. Department of Justice (DOJ) 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. 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.
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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.1. Regional Superfund Cost Recovery Contacts
Exhibit II.7. identifies the Regional Superfund Cost Recovery Contacts.
EXHIBIT H.7. REGIONAL COST RECOVERY CONTACTS
Location/Region
Region I
Region n
Region HI
Region IV
Region V
Region VI
Region VH
Region VHI
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
Judy Lehmann
Cheryl Pressley
Yvonne Fong
David Wood
Diane Norton
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
303/312-6166
303/312-6507
415/972-3698
415/972-3709
206/553-2962
513/487-2059
702/798-2480
919/541-0052
919/541-4280
March 31,2009
11-34
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II.J.2. Headquarters Superfund Cost Recovery Contacts
Exhibit II-8 identifies the Headquarters Superfund Cost Recovery Contacts.
EXHIBIT IL8. HEADQUARTERS SUPERFUND COST RECOVERY CONTACTS
Staff Name
Lindsey Andrews
Jill Beresford
Kevin Brittingham
Tommy Brown
Bruce Cohen
Erin Conley
Tom DeHoff
Bernadette Dunn
Tanya Jenifer
Meshell Jones-Peeler
Leslie Kelley-Huffman
Andrew LeBlanc
Levy Mazyck
Tina Van Pelt
Position
Program Analyst
Accountant
Accountant
Financial Specialist
Accountant
Program Analyst
Acting Staff Director
Accountant
Financial Specialist
Program Analyst
Special Accounts
Program Analyst
Accountant
Accountant
Areas of Specialization
Superfund Interest Rate
Superfund Indirect Costs
National Cost Documentation Advisor; Special Projects
Cost Documentation and Reporting; I/ Headquarters
SCORPIOS Administrator
Green Plan Data Integration
Green Plan Data Integration
Superfund Policy, Special Projects
Superfund Indirect Rates
Cost Documentation; Payroll
Green Plan Data Integration
Annual Allocation
Superfund/LUST Trust Fund Oversight; Superfund Policy
Superfund Indirect Costs
Annual Allocation; Superfund Contractor Invoice
Accounting and Adjustment
Phone #
202/564-0898
202/564-0898
202/564-4941
202/564-4936
202/564-0211
202/564-2991
202/564-4946
202/564-4963
202/564-4986
202/564-3160
202/564-4805
202/564-1761
202/564-5219
202/564-4984
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.
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EXHIBIT H.9. REGIONAL BUDGET COORDINATORS
Name/Region
Susan Walter/Region I
Courtney McEnery /Region II
Robin Williams/Region in
Charlotte Whitley/Region TV
Vincent Saunders /Region V
Helen Newman/Region VI
Alternate/Carlene Chambers
Teri Hankins/Region VII
Alternate/Antoinette Singletary
Lourdes Deppmeier/Region Vin
Enforcement/Jackie Easley
Linda Ma/Region IX
Alternate/Eugene Rainwater
Lynne Kershner/Region X
Phone #
(617)918-1447
(212) 637-4295
(215)814-3133
(404) 562-8863
(312) 353-9077
(214) 665-6657
(214)665-3181
(913)551-7118
(913)551-7491
(303)312-7040
(303)312-6758
(415)972-3232
(415)972-3217
(206)553-6518
Fax#
(617)918-1291
(212) 637-4360
(215)814-3015
(404) 562-8628
(312)353-9306
(214) 665-6660
(913)551-7145
(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)
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EXHIBIT IL10. 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
Larry Wilbon
Joan Harrigan-Farrelly
David Reynolds
Kevin Brittingham
Tanya Jenifer
Tina van Pelt
Subject Area
Chapter 3 Lead / Action Codes - BPEB/OSTRI
Annual Budget Process
Annual Budget Process - OSRE
Budget & Planning - BPEB
BRAC & Federal facility Response Budget
Enforcement Budget
Federal facilities Response Budget Execution
Federal facilities Enforcement Budget
OCFO
OEM/Removals
OSWER
Resource Management
SCAP Report Coordinator
Superfund Financial Management
Superfund Financial Management
Superfund Financial Management
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
202/566-1903
703/603-8914
703/603-8895
202/564-4941
202/564-7572
202/564-4984
Email
youkeles. alan(3)epa. go v
lundington.alice(S),epa.gov
flaks.art(5>epa.gov
coffee.hortensia(5>epa.gov
milton.laura(5>epa.gov
bell.marie(5)epa. gov
elson.lance(5>epa.gov
keltv .diane(5>epa. gov
finan.bill(S>epa. gov
wilbon.larrv (3jepa.gov
harrigan-farrellv.ioan(S),epa.gov
revnolds.david(5)epa.gov
brittingham.kevin(S),epa. gov
ienifer.tanva(S>epa. gov
vanpelt.tina(S),epa. gov
FY 09 SPIM
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Superfund Program Implementation Manual FY 09
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-2
III.D. III.D. THE PLANNING AND REPORTING CYCLE III-3
III.D.l. PLANNING III-3
a. May/June III-3
b. July/August III-3
III.D.2. REPORTING III-4
a. November/December III-4
b. April/May III-4
c. September/October/November III-4
III.E. REGIONAL/HEADQUARTERS ROLES AND RESPONSIBILITIES III-4
III.E.l. INFORMATION MANAGEMENT COORDINATOR III-5
III.E.2. BUDGET COORDINATOR III-5
III.E.3. DATA SPONSORS III-6
III.E.4. DATA OWNERS III-6
III.E.5. OSRTI REGIONAL BRANCHES III-6
III.F. PROGRAM PERFORMANCE EVALUATION III-6
III.G. PLANNING/ACCOMPLISHMENT AND MANAGEMENT REPORTING III-7
III.G. 1. CERCLIS REPORTS FOR PLANNING/TARGET SETTING AND ACCOMPLISHMENT
REPORTING III-7
III.G.2. MANAGEMENT REPORTS III-8
III.H. TARGET SETTING AND DEFINITION CHANGE REQUESTS III-9
III.H.l. SETTING TARGETS IN CERCLIS III-9
III.H.2. CERCLIS TARGET CHANGE REQUESTS III-9
III.I. SPECIAL REPORTING TOPICS 111-10
III.I.l. BASE REALIGNMENT AND CLOSURE FACILITIES 111-10
III.I.2. MEGA-SITES 111-10
III.J. GENERAL DATA REQUIREMENTS/PROTOCOLS III-ll
III.J.I. CHANGE CONTROL REQUIREMENTS FOR THIS MANUAL III-ll
III.J.2. DATA LOCKOUT ON HISTORICAL ACCOMPLISHMENTS III-ll
III.J.3. DATA VALIDATION AND VERIFICATION III-ll
III.J.4. ACTION LEAD CODES 111-12
III.J.5. LEAD CHANGES 111-13
III.J.6. ANOMALIES AND PHASED PROJECTS 111-15
III.K. CERCLIS REPORT CONTACTS AND SUBJECT MATTER EXPERTS 111-16
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List of Exhibits
EXHIBIT III.l. REGIONAL/HEADQUARTERS CERCLIS RESPONSIBILITIES III-5
EXHIBIT III.2. EVALUATION RESPONSIBILITIES III-7
EXHIBIT III.3. ACTION LEAD CODES IN CERCLIS 111-12
EXHIBIT III.4. CODING OF TAKEOVERS 111-14
EXHIBIT III.5. REMEDIAL EVENTS ANOMALIES, AND PROJECT PHASING 111-15
EXHIBIT III.6. SCAP REPORT CONTACTS 111-16
EXHIBIT III.7. SUBJECT MATTER EXPERTS 111-17
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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.
III.B. 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
• 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 Strategic Plan is organized in several Goals, roughly corresponding to environmental
media. Within each Goal, desired results are further broken down into Objectives and Subobjectives, which roughly
correspond to discrete EPA programs. Within each Objective/Subobjective, several performance measures are
described, and for each performance measure, a five-year target is set. These cumulative targets are called "Strategic
Targets."
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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 Plan sets annual targets for each 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.
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.
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.
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):
• Reviews the success of achieving the program's objectives and subobjectives during the fiscal year;
• Evaluates the annual performance plan for the current fiscal year relative to the performance achieved
toward the performance objective and subobjective in the fiscal year covered by the report; and
• Explains and describes where a performance objective/subobjective has not been met, why it was not met,
and plans and schedules for achieving the objective/subobjective.
/// C. CERCLIS PLANNING AND A CCOMPLISHMENTDA TA
Within the Superfund Program, accomplishments of annual performance goals and other program 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).
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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 consistent information to the public. Protocols to standardize public reporting of Superfund
accomplishment and financial data have yet to be developed.
III.D. III.D. 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.
III.D.1. 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
objectives and sub-objectives, 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.
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.
III.E. 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.
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OSWER Directive 9200.3-14-1G-T
EXHIBIT HL1. 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 final annual performance goals with regions.
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.
III.E.1. 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;
• 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.")
III.E.2. 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.
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III.E.3. 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.
III.E.4. 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.
III.E.5. OSRTI Regional Branches
OSRTI Regional Branches are the primary contacts for regions regarding site-specific issues of all natures
and are often the primary conduit to regions for communicating and interpreting national policies. With respect to
CERCLIS data, OSRTI Regional Branch staff:
• 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.
III.F. PROGRAM PERFORMANCE EVALUATION
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:
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OSWER Directive 9200.3-14-1G-T
• 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.
EXHIBIT IH.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-11 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
III.G.I. 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. SCAP-14F: The Superfund Accomplishments Report is used to track targeting, planning, and
accomplishment actions in support of the Response, Enforcement, and Federal facility programs (SCAP-
14F).
• SCAP-15: The GPRA Report is used to track GPRA performance goals and measures in support of the
Response program.
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• 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.
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.
• 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).
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
(BBS) completion date and all of the Findings of Suitability to Transfer (POST), 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, BBSs, FOSTs,
FOSLs, FOSETs and Supplemental, Environmental Projects (SEPs) for the entire history of all the Federal
facilities in the selected region(s).
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OSWER Directive 9200.3-14-1G-T
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),
• 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,
• de minimis settlements, and
• PRP Oversight Administration for each enforcement agreement.
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. OCFO is responsible for issuing guidance for changing targets related to annual performance goals that are
entered into ACS, and this process is not addressed in this manual.
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.
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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.
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
III.I.1. 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 MOAs) 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 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.
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OSWER Directive 9200.3-14-1G-T
IILJ. GENERAL DA TA REQUIREMENTS/PROTOCOLS
The following section discusses some general data requirements/protocols that affect CERCLIS planning
and accomplishment data of the various Superfund offices.
III.J.1. 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 IMCs, 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.
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.
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OSWER Directive 9200.3-14-1G-T
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.
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 m.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)
MR
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).
SE
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
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Lead
Definition
FF
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)
SD
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
SA
PRP-financed actions from a special account performed by EPA, where the majority3 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 majority1 of
funding is disbursed from a special account - Limited to removals (applies to response actions).
ST
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 majority1 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)
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;
• Prior to the ESI/RI or RI/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.
a Majority is defined to mean that the contribution from the special account for the total response cost (including direct and
indirect costs) would meet or exceed the amount contributed by the largest non-PRP entity (i.e., EPA or state, where applicable).
For example, for a remedial action, based on the total estimated response cost, if 50% of that cost is derived from a special
account, and 45% of the response cost is paid for out of Fund monies, and the state pays the remaining 5% share of the response
cost, the majority of the response cost is being paid out of the special account. The appropriate use of special account funds is
provided in the "Guidance on Key Decision Points in Using Special Account Funds" dated September 28, 2001.
FY 09 SPIM
III-13
March 31,2009
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OSWER Directive 9200.3-14-1G-T
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.
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 m.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
March 31,2009
111-14
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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 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 m.5. REMEDIAL EVENTS ANOMALIES AND PROJECT PHASING
OU
01
01
01
01
01
01
01
01
Action Name
PRPRI/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
FY 09 SPIM
III-15
March 31,2009
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OSWER Directive 9200.3-14-1G-T
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 m.6. SCAP REPORT CONTACTS
Designation
SCAP-2/11/12
SCAP-4E
SCAP-4F
SCAP-4R
SCAP-13
SCAP-14
SCAP-15
SCAP-16
Title
Site Summary Report/FOIA
Enforcement Financial Summary (OECA/OSRE 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
Dave Reynolds, (703) 603-8895
Alice Ludington, (202) 564-6066
Marie Bell, (703) 603-0050
Alan Youkeles, (703) 603-8784
Randy Hippen, (703) 603-8829
Brendan Roache, (703) 603-8704
Armando Santiago, (202) 564-8002
Eric French, (202) 564-0074
Janet Weiner, (703) 603-8717
Dave Reynolds, (703) 603-8895
March 31,2009
111-16
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
EXHIBIT m.7. SUBJECT MATTER EXPERTS
Subject Matter Experts
Alan Youkeles
Art Flaks
Amy Vandenburg
Dana Stalcup
Alice Ludington
Marie Bell
Tencil Coffee
Brendan Roache
Janet Weiner
Robin H. Richardson
Melanie Hoff
Rich Norris
Charlotte Englert
William Finan
Armando Santiago
RobinM Anderson
Steven Chang
Charles Sands
Dave Reynolds
Chip Love
Subject Area
Chapter 3 Lead / Cost Information/ OSRTI
Budget Execution
Budget Planning & Evaluation
eFacts
Emergency Management
Enforcement
Federal Facility Budget Execution
Federal Facility Budget Planning
Federal Facility Response
OSRTI /GPRA
OSRTI Workplanning / Resource
Management
Program Evaluation
Program Planning/El
Removal
Removal
Removal
RODs/Remedy Selection
RODs/Remedy Selection
RODs/Remedy Selection
SCAP Reports Owner
Workplanning
Phone #
(703) 603-8784
(703) 603-9008
(703) 603-9028
(202) 564-2089
(202) 564-6066
(703) 603-0050
(703) 603-0053
(703) 603-8704
(703) 603-8717
(703) 603-9048
(703) 603-8808
(703) 603-9053
(202) 564-8888
(202) 564-7981
(202) 564-8002
(703) 603-8747
(703)603-9017
(703) 603-8857
(703) 603-8895
(703) 603-0695
Email
voukeles. alan(S),epa. go v
flaks.art(5>epa.gov
vandenburg . amv(3),epa. go v
stalcup. dana(3)epa. go v
ludington.alice(3)epa.gov
bell.marietStepa. gov
coffee.tencil(5>epa.gov
roache.brendan(S),epa. gov
weiner.i anet(5!epa. gov
richardson.robinh(5>epa.gov
hoffmelanie(5>epa.gov
norris.richtStepa. gov
englert.charlotte(S),epa. gov
finan. william(5>epa. gov
Santiago .armando(3),epa. gov
anderson.robinm(5>epa. gov
chang. steventStepa. gov
sands.charles(S>epa. gov
reynolds. david(S),epa. gov
love.chip(3)epa. gov
FY 09 SPIM
111-17
March 31,2009
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OSWER Directive 9200.3-14-1G-T
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Left Blank
March 31, 2009 III-18 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
Superfund Program Implementation Manual FY 09
Appendix A: Site Assessment/NPL Listing
FY 09 SPIM March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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March 31, 2009 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
APPENDIX A:
SITE ASSESSMENT/NPL LISTING
Table of Contents
APPENDIX A: SITE ASSESSMENT/NPL LISTING A-l
A.A. SITE ASSESSMENT A-l
A.B. SITE ASSESSMENT BACKLOGS A-l
A.C. OVERVIEW OF FY 09 SITE ASSESSMENT/NPL LISTING TARGETS AND MEASURES A-2
A.D. GPRA AND SITE ASSESSMENT A-2
Final Assessment Decisions (FADs) A-2
A.E. SITE STATUS INDICATORS A-4
A.F. DATA QUALITY A-6
A.G. ACTION QUALIFIERS FOR SITE ASSESSMENT ACTIONS A-6
A.G.I. No Further Remedial Action Planned (NFRAP) A-6
A.G.2. Further Evaluation A-6
A. G.3. Perform a Removal A-7
A.G.4. Defer the Site to RCRA (Subtitle C) or the NRC A-7
A.G.5. Sites addressed as part of existing NPL sites A-7
A.G.6. Sites addressed as part of other existing non-NPL sites A-7
A.G.7. State Deferral Action Qualifiers A-8
A.G.8. Referred From RCRA Action Qualifier A-8
A.H. SPECIAL INITIATIVES A-9
A.I. SITE ASSESSMENT CRITICAL INDICATORS A-10
A.J. SITE ASSESSMENT/NPL LISTING DEFINITIONS A-10
A.J.I. Pre-CERCLIS Screening Assessments A-10
A.J.2. Referred from RCRA A-l 2
A.J.3. Site Discovery A-l3
A.J.4. Sites Archived A-l 4
A.J.5. Preliminary Assessments (PA) at Non-Federal Facility Sites A-l 6
A.J.6. Federal Facility Preliminary Assessment Reviews A-l 8
A.J.7. Site Inspections (SI) at Non-Federal Facility Sites A-l 8
A.J.8. Site Reassessment A-l9
A.J.9. Expanded Site Inspections (ESI) at Non-Federal Facility Sites A-20
A.J.10. Federal Facility SI Reviews .4-22
FY 09 SPIM A^i March 31, 2009
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OSWER Directive 9200.3-14-1G-T
A.J.I 1. Federal Facility ESI Reviews ,4-22
A.J. 12. Integrated Expanded Site Inspection/Remedial Investigation (ESI/RI) at Non-Federal Facility
A.J.I 3. State Deferral of Non-Federal Facility Sites A-23
A.J. 14. Hazard Ranking System Package (HRS) .4-25
A.J.15. NPL Listing A-26
A.J. 16. Other Cleanup Activity (OCA) A-28
A.J. 17. Tribal Inventory Information A-30
A.K. SUBJECT MATTER EXPERTS A-30
List of Exhibits
Exhibit A.I. Site Assessment/NPL Listing Activities A-3
Exhibit A.2. Site Assessment Action Qualifiers A-9
Exhibit A.3. Subject Matter Experts A-30
March 31, 2009 A-ii FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
APPENDIX A:
SITE ASSESSMENT/NPL LISTING
A.A. 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.
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. 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.
A.B. 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.
FY 09 SPIM A-l March 31, 2009
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OSWER Directive 9200.3-14-1G-T
A.C. OVERVIEW OFFY 09 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. Regions should continue to plan
and report accomplishments for FADs in CERCLIS.
The following pages contain, in pipeline order, the definitions of the FY 09 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 (SMEs).
A.D. GPRA AND SITE ASSESSMENT
Goal 3, Objective 3.2, Sub-objective 3.2.2: Clean Up and Revitalize Contaminated Land contains the
GPRA subobjective for Superfund assessment work. This subobjective states: 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. The Strategic Target for Superfund assessment work is that by 2011, EPA will:
• Make final (remedial) 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 determine if they can be cleared for possible redevelopment.
(By the end of FY 2007, a total of 39,766 final site assessment decisions had been made.)
Final Assessment Decisions (FADs)
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 no further
remedial site assessment work is necessary under the federal Superfund Program based on available information.
Regions may 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 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 eitherNo 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.
March 31, 2009 A-2 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
Regions must delete the FAD designation should conditions change such that the site no longer meets any
of the above conditions. When new information is received on a site with a FAD designation, Regions should
evaluate the new information and determine whether further remedial assessment work is required. The FAD
designation may remain at the site while the information is being evaluated. The FAD designation should be
removed if the evaluation determines that a new remedial site assessment report is needed.
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. 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).
Sites without completed discovery actions (e.g., removal-only sites) will not be recognized as having a
FAD for GPRA reporting purposes. Further, only sites with a FAD date falling in the current fiscal year will get
captured in current year accomplishment reporting. All sites with a FAD and a completed discovery action will get
captured in cumulative accomplishment (inception to-date) reporting.
The number of FADs in a fiscal year and the cumulative number of sites with a FAD (inception to end of
fiscal year) are included in EPA's Annual Report. These accomplishments are tabulated on the SCAP-15 report.
Data Quality for Final Assessment Decisions
Timeliness Requirement
The FADs designation should be updated whenever site conditions change dictating that the FAD is
applicable or no longer applicable. Note special circumstances above. 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;
• The number of Final Assessment Decisions is included in EPA's Annual Performance and Accountability
Report and in EPA's Annual Superfund Report;
• Site assessment charts in eFacts;
• Superfund Program Implementation Manual (SPIM) OSWER Directive 9200.3-14-1G-Q;
• Reporting Final Assessment Decision Status Quick Reference Guide, June 2008;
• Final Assessment Decision Data Quality Objective, June 2008.
EXHIBIT A. 1. SITE ASSESSMENT/NPL LISTING ACTIVITIES
ACTIVITY
Pre-CERCLIS Screening Assessment
Site Discovery
Referred from RCRA
GPRA
APG
APM
PROGRAM
TARGET
MEASURE
T
T
T
FY 09 SPIM
A-3
March 31,2009
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OSWER Directive 9200.3-14-1G-T
ACTIVITY
Preliminary Assessment (PA) at Non-Federal Facility Sites
Federal Facility PA Review
Site Inspection (SI) at Non-Federal Facility Sites
Federal Facility SI Review
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 Final Assessment Decisions *
GPRA
APG
T
APM
PROGRAM
TARGET
MEASURE
T
T
T
T
T
T
T
T
T
T
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.E. 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.
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 EPA's Refining CERCLIS website at:
http://www.epa.gov/superfund/programs/reforms/reforms/2-4c.htm
March 31,2009
A-4
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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.
NFL 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.
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(4 l)(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 Decision (FAD) - this checkbox indicates if a final remedial assessment decision has
been made for the site. Regions are responsible for maintaining FAD designations in CERCLIS. The number of
FADs is a GPRA goal. 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.
FY 09 SPIM A^5 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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.
A.F. 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.G. 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.G.1. 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 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.
A.G.2. 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).
March 31, 2009 A-6 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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 Acitivity 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).
A.G.3. 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).
A.G.4. 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).
A.G.5. 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.
A.G.6. 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:
FY 09 SPIM A-7 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
• 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.
A.G.7. 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)
A.G.8. 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.
March 31, 2009 A-8 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
EXHIBIT A.2. SITE ASSESSMENT ACTION QUALIFIERS
Available Action Decisions*
SITE ASSESSMENT
ACTION NAMES & CODES
Pre-CERCLIS Sc»eening HX
Discovery DS
Prelim inary Assessment PA
Fed Fac PA Review RX
Site Inspection SI
Site Reassessment 00
Expanded Site Inspections ES
Fed Fac Si Review TY
Fed Fac ESI Review TZ
ESL'RI SS
State Deferral AQ
MRS Package HR
Int Rmvl Assess aid Preliminary Assessment" QT
Int Rmvl Assess and Site Inspection" QJ
int Rmvl Assess and ESI/RI" 0V
Int Rmvl Assess and Expanded Site Inspection** OY
1 nt Rmvl Assess and HRS Package™ 02
Other Cleanup Activity VA
Referred from RCRA XR
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A.H. SPECIAL INITIA TIVES
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
• TASWER Survey Site
• RCRA Baseline
• RCRA Deferral
• RCRA Deferral - Further Superfund Assessment
• RCRA Deferral - New Decision
• RCRA Deferral - Lead Confirmed
FY 09 SPIM
A-9
March 31,2009
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OSWER Directive 9200.3-14-1G-T
• RCRA Deferral Audit
• Superfund Alternative Agreement
• GAO Survey (RCED-99-22A)
• GAO Survey (RCED-99-22B)
• Military Munitions Response Program (MMRP)
• Environmental Justice
A.I. SITE ASSESSMENT CRITICAL INDICA TORS
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.J. SITE ASSESSMENT/NPL LISTING DEFINITIONS
A.J.1. 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:
• 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);
March 31,2009 A^LOFY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
• 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 9375.2-1 IPS). This fact sheet provides the minimum requirements for conducting these
types of assessments.
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;
• 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 FY 06/07 - FY 08/09:
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
FY 09 SPIM A^ll March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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-CERCLIS
Screening (HX)
Activity
Type
Program
Measure
SPIM
Lead
F,EP,
S, TR
Documentation
Required
Pre-CERCLIS
Screening
Assessment
checklist.
Documentation
Approval/Date
Requirements
The date the checklist is final
and CERCLIS contains the
Pre-CERCLIS Screening
completion date, lead, and
NPL or Non-NPL status.
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.)
A.J.2. 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 financial should be added for all Referred from RCRA actions where the site is referred to
Superfund due to a failed financial assurance.
March 31,2009
A-12
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
Changes in Definition FY 06/07 - FY 08/09:
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
assessment and
potential cleanup
attention.
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 end of FYQ4.)
A.J.3. 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).
Changes in Definition FY 06/07 - FY 08/09:
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
FY 09 SPIM
A-13
March 31,2009
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OSWER Directive 9200.3-14-1G-T
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.)
A. J.4. Sites Archived
Definition:
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
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:
url('http://www.epa.gov/superfund/programs/reforms/reforms/2-
4c.htm'')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.
Definition of Accomplishment:
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:
March 31,2009
A-14
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
• 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 NPL or 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, 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.
Changes in Definition FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
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 CERCLIS's 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
FY 09 SPIM A^15 March 31,2009
-------
OSWER Directive 9200.3-14-1G-T
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.
A.J.5. 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 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:
March 31, 2009 A-16 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
• 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 FY 06/07 - FY 08/09:
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) 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 9100-3
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 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 end of the quarter in
which the event occurs. (Generally, the
quarterly pull occurs on the fifth business
FY 09 SPIM
A-17
March 31,2009
-------
OSWER Directive 9200.3-14-1G-T
SPIM
Action/
Activity
Activity
Type
SPIM
Lead
Documentation
Required
in CERCLIS or equivalent
document.
Documentation
Approval/ Date
Requirements
Data Must Be Entered By
day following the end of FYQ1, FYQ2 and
FYQ3, and on the tenth business day
following the end of FYQ4.)
A.J.6. Federal Facility Preliminary Assessment Reviews
Please refer to Appendix D (Federal Facility Response) of the SPIM for a description of this activity.
A.J.7. 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 warranted by site conditions. An
integrated removal assessment and remedial site inspection combines requirements of 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 FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
March 31,2009
A-18
FY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
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.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
Name = Site
Inspection
(SI)
Activity
Type
Program
Measure
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 approving
the SI report. Site Decision
Form 9 100-3 in CERCLIS
or an equivalent document.
Documentation
Approval/ Date
Requirements
Start:
Signed by EPA or
the State/Tribal
government.
Issued to contractor
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
endofFYQl,FYQ2and
FYQ3, and on the tenth
business day following the end
ofFYQ4.)
A. J.8. 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).
Site Reassessments Completions - A Site Reassessment (Action Name = Site Reassessment) is complete
when:
FY 09 SPIM
A-19
March 31,2009
-------
OSWER Directive 9200.3-14-1G-T
• 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 FY 06/07 - FY 08/09:
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;
Site Decision Form 9100-
03, or an equivalent
document.
Documentation
Approval/ Date
Requirements
Start:
Signed by the EPA
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
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.)
A.J.9. 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 both types of
assessments into a single report.
March 31,2009
A-20
FY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
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.
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 FY 06/07 - FY 08/09:
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 tracking 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
Documentation
Approval/ Date
Requirements
Start:
Signed by the EPA
or State/Tribal
government.
Issued to the
contractor at a 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
FY 09 SPIM
A-21
March 31,2009
-------
OSWER Directive 9200.3-14-1G-T
Completion:
ESI report;
Letter, form, or memo
approving the ESI report;
Site Decision Form 9100-
3 in CERCLIS or an
equivalent document.
Completion:
Signed by
appropriate Regional
official.
A.J.10. Federal Facility SI Reviews
Please refer to Appendix D (Federal Facility Response) of the SPIM for a description of this activity.
A.J.11. Federal Facility ESI Reviews
Please refer to Appendix D (Federal Facility Response) of the SPIM for a description of this activity.
A.J.12. 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 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
• 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
March 31,2009
A-22
FY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
• 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 FY 06/07 - FY 08/09:
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
theendofFYQ4.)
A.J.13. 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
FY 09 SPIM
A-23
March 31,2009
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OSWER Directive 9200.3-14-1G-T
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 FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
Six SubActions can be entered for the State Deferral action to genetically 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);
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.
March 31, 2009 A-24 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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
FYQl,FYQ2andFYQ3,
and on the tenth business
day following the end of
FYQ4.)
A.J.14. 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 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
FY 09 SPIM
A-25
March 31,2009
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OSWER Directive 9200.3-14-1G-T
• 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 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 HQ for technical assistance does not represent an HRS Package
completion.
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 FY 06/07 - FY 08/09:
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.)
A.J.15. 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:
March 31,2009
A-26
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
• 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.
• 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 FY 06/07 - FY 08/09:
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);
• 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 using the date of NPL proposal (this automatically checks the FAD
box);
• The ERS Exclusion will be unchecked (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.
FY 09 SPIM A-27 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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
(LW)
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.)
A.J.16. 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.
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).
OCA FADs - The site has been cleaned up or is making progress toward cleanup as supported by written
documentation (work sharing agreement, site specific progress report, AOC, remedial action plan,
VCP/other MOA, etc.) between the non-EPA party and EPA stating that the site has been or is being
cleaned up according to appropriate cleanup standards.
OCA Completions - An OCA (Action Name = Other Cleanup Activity) completion date is defined as either:
1) 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
March 31,2009
A-28
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
• (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 FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
The following six SubActions can be entered under the Other Cleanup Activity Action to genetically
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.
The following action qualifiers are available for these SubActions:
• (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
FY 09 SPIM
A-29
March 31,2009
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OSWER Directive 9200.3-14-1G-T
A.J.17. Tribal Inventory Information
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.
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.
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.K. SUBJECT MATTER 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
SPIMLead
Phone #
(703) 603-8829
(703) 603-9092
Email
hippen.randv(5>,epa. gov
hamilton.renee(S),epa. gov
March 31, 2009 A-30 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
Superfund Program Implementation Manual FY 09
Appendix B: Response Actions
FY 09 SPIM March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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March 31, 2009 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
APPENDIX B:
RESPONSE ACTIONS
Table of Contents
APPENDIX B: SITE ASSESSMENT/NPL LISTING B-l
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. Post Construction Completion B-2
c. Superfund Alternative Sites B-2
d. Agency for Toxic Substances and Disease Registry B-3
B.A.2. Maximize Program Effectiveness and Efficiency B-3
a. Innovative Technologies B-3
b. Effective Contract Management B-4
c. Superfund Redevelopment Initiative B-4
d. Cross-Program Revitalization Measure B-5
B.B. OVERVIEW OF FY 09 RESPONSE ACTIONS TARGETS/MEASURES B-8
a. Remedial Investigation (RI) Starts (NPL & Superfund Alternative) B-10
b. Feasibility Study (FS) Starts (NPL & Superfund Alternative) B-12
c. Combined RI/FS Start (NPL & Superfund Alternative) B-15
d. Treatability Studies B-17
e. Start of Public Comment Period (Proposed Plan to Public) (NPL & Superfund Alternative) B-18
f. RI/FS Duration (NPL & Superfund Alternative) B-19
g. Engineering Evaluation/Cost Analysis (EE/CA) B-20
h. Decision Documents Developed B-20
i. Final Remedy Selected B-24
j. Removal Starts - Please see Appendix F B-25
k. Remedial Design (RD) Start (NPL & Superfund Alternative) B-25
1. RD Completion (NPL & Superfund Alternative) B-28
m. Remedial Action (RA) Start (NPL &PRP-lead Superfund Alternative) B-29
n. RA Contract Award (NPL &PRP-lead Superfund Alternative) B-34
o. Start of On-Site Construction B-35
p. Operational and Functional (O&F) B-39
q. Completion of a Response Action (NPL & PRP-lead Superfund Alternative) B-40
r. NPL Site Construction Completions B-42
s. Long-Term Response Action (LTRA and PRP LR) (NPL & PRP-lead Superfund Alternative) B-45
t. Operation and Maintenance (O&M) B-47
u. Cleanup Goals Achieved B-48
v. NPL Site Completions B-49
w. Five Year Reviews B-49
x. Partial NPL Deletion B-52
y. Final NPL Deletion B-53
z. Site with Land Ready for Reuse B-54
FY 09 SPIM B^i March 31, 2009
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OSWER Directive 9200.3-14-1G-T
aa. Acres at Sites with Land Ready for Reuse B-54
bb. Sitewide Ready for Anticipated Use B-54
cc. Protective for People Under Current Conditions (PFP) B-55
dd. Ready for Anticipated Use (RAU) B-57
ee. Site-Wide Human Exposure Environmental Indicator B-58
ff. Migration of Contaminated Ground Water Under Control B-63
gg. Populations Protected B-64
hh. Cleanup Volume B-65
ii. Support Agency Assistance B-66
jj. Technical Assistance B-67
B.C. SUBJECT MATTER EXPERTS B-68
March 31, 2009 B-ii FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
List of Exhibits
Exhibit B.I. Response Action Activities B-8
Exhibit B.2. Superfund Long-Term Human Health Protection Worksheet B-62
Exhibit B. 3. Superfund Migration of Contaminated Ground Water Under Control Worksheet B -64
Exhibit B.4. Subject Matter Experts B-68
FY 09 SPIM B-iii March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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December 22,2008 B-iv FY09SPIM
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OSWER Directive 9200.3-14-1G-T
APPENDIX B:
SITE ASSESSMENT/NPL LISTING
B.A. CURRENT PROGRAM PRIORITIES
B.A.1. 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 of October 1, 2006, Superfund had 1,557 final and deleted sites on the NPL, of which approximately
1,211 have final cleanup plans approved. As the 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 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.
FY 09 SPIM B-l March 31, 2009
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OSWER Directive 9200.3-14-1G-T
b. Post 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. 2026 Five-Year
Reviews have been completed as of the end of FY 2007. A Five-Year Review module has been added to
CERCLIS to improve scheduling, tracking and reporting of Five-Year Review activities.
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) 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 (LTRA)) 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. As of the end of FY 2007, 321 sites were
deleted from the NPL.
c. Superfund Alternative Sites
The category of 'Superfund Alternative (SA) sites' has been identified in OSWER 92-08.0-17, '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, SA sites 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 Superfund
Alternative sites apply only to those PRP-lead activities at sites that the region has determined would
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OSWER Directive 9200.3-14-1G-T
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 not inconsistent 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 'Superfund Alternative' designation based on the
criteria referenced above. Regions should seek PRP-lead for all remedial pipeline activities at Superfund
Alternative sites; these sites must be PRP-lead for RAs. Credit for PRP-lead remedial pipeline activities at
Superfund Alternative sites will only be given for activities conducted pursuant to enforceable order or
agreement. Sites that meet these criteria should be identified in CERCLIS using the special initiatives
indicator of 'Superfund Alternative.' The measures outlined below for remedial pipeline activities at
Superfund Alternative sites 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 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 FY09, EPA HQ and regions
will work to improve the implementation of the program based on the following processes.
a. 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
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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.
b. 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 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.
c. 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
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OSWER Directive 9200.3-14-1G-T
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 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.
d. 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).
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.
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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.
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, to be 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 FUDS1.
• 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 will be 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 will be 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.
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 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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OSWER Directive 9200.3-14-1G-T
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.
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.
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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.
B.B. OVERVIEW OF FY 09 RESPONSE ACTIONS TARGETS/MEASURES
The Superfund Comprehensive Accomplishments Plan (SCAP) is used by the Assistant Administrator for
the Office of Solid Waste and Emergency Response (AA OSWER), Assistant Administrator for the Office of
Enforcement and Compliance Assurance (AA OECA), and senior Superfund managers to monitor 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 cover activities deemed essential to overall program progress. Program
targets project the number of actions that each region is expected to perform during the year and are used to
evaluate progress in achieving program priorities. Program measures are parameters established for
evaluating these program priorities. Targets are set for the various program measures. For Five Year
Reviews, program targets are used to identify and track the specific number of sites, not actions. For
statutory reasons, these sites must be targeted site specifically and cannot be substituted for other sites.
The following pages contain, in pipeline order, the definitions of the FY 09 remedial activities, GPRA
annual performance goals, GPRA and program 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.l. RESPONSE ACTION ACTIVITIES
ACTIVITY
Remedial Investigation (RI) Starts (NPL & Superfund Alternative)
Feasibility Study (FS) Starts (NPL & Superfund Alternative)
GPRA
PROGRAM
Target
Measure
T
T
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OSWER Directive 9200.3-14-1G-T
ACTIVITY
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)
NPL Site Construction Completions
Long-Term Response Action (LIRA & PRP LR) (NPL & PRP-lead
Superfund Alternative) Starts
Long-Term Response Action (LIRA & PRP LR) (NPL & PRP-lead
Superfund Alternative) Completions
Operation and Maintenance (O&M)
GPRA
See Appendix G
See Appendix G
PROGRAM
Target
Measure
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
ACTIVITY
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
PROGRAM
Target
T
Measure
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.
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.
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
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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
US ACE]; 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-financed 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:
• 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-financed 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
FY 09 SPIM B41 March 31,2009
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OSWER Directive 9200.3-14-1G-T
• 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.
Changes in Definition FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
Regions are not required to enter the RI start date if the RI is being conducted as part of an RI/FS or site-
wide ESI/RI. The RI actual start date is reported site-specifically in CERCLIS. For PRP-financed 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
Investigati
on (RI)
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
Regional
Administrator 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. 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 are not required to 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.
March 31,2009
B-12
FY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
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 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
theFS
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 or HQ.
PRP-financed under State enforcement (PS- lead actions) - A PRP-fmanced FS (Action Name = PRP
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 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
FY 09 SPIM B43 March 31, 2009
-------
OSWER Directive 9200.3-14-1G-T
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 FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
Regions are not required to enter the FS start date if the FS is being conducted as part of a combined RI/FS.
The FS actual start date is entered into CERCLIS site-specifically. For a PRP-financed 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
Study (FS)
Action
name =
Feasibility
Study (FS)
Action
name =
PRPFS
(NK)
Action
name =
PRPFS
(NK)
Activity
Type
Program
Measure
Program
Measure
Program
Measure
Program
Measure
SPIM
Lead
F, TR, S,
EP
SA, SS,
ST
RP,MR
PS
Documentation
Required
Contract
modification or
work assignment/
task order; or IAG;
or Cooperative
Agreement; or
Contract
modification or
work assignment/
task order for the
FS; or An IAG; or
Cooperative
Agreement.
AOC; or Notice of
intent to comply
with a UAO; or
Memo transmitting
CD to DOJ or HQ.
State order, or
comparable
enforcement
document State
enforcement
Cooperative
Documentation
Approval/ Date
Requirements
Signed by the EPA CO;
Signed by other federal
agency (USACE or
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
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 entered prior to the quarterly pull for the
quarter in which the event occurs.
(Generally, the quarterly pull occurs on the
March 31,2009
B-14
FY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
SPIM
Action/
Activity
Activity
Type
SPIM
Lead
Documentation
Required
Agreement;
SMOA; or Other
state/EPA
agreement.
Documentation
Approval/ Date
Requirements
the appropriate state and
regional official.
Data Must Be Entered By
fifth business day following the end of
FYQ1 , FYQ2 and FYQ3, and on the tenth
business day following the end of FYQ4.)
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 are not required to enter the RI start date if the RI is being conducted as part of an RI/FS or a site-
wide ESI/RI. Regions are not required to 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 "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.
PRP-financed under federal enforcement (Includes RP- and MR-lead actions) - A PRP-financed 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
FY 09 SPIM
B-15
March 31,2009
-------
OSWER Directive 9200.3-14-1G-T
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-financed 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.
Changes in Definition FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
Regions are not required to 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)
Activity
Type
Program
Measure
SPIM
Lead
F, TR, S,
SA, SS, ST
Documentation
Required
Contract modification
or work assignment/
task order; or LAG; or
Cooperative Agreement
Documentation
Approval/ Date
Requirements
Signed by 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 event occurs.
However, data must be entered prior to
March 31,2009
B-16
FY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
SPIM
Action/
Activity
Action name
= PRP RI/FS
(BD)
Action name
= PRP RI/FS
(BD)
Action name
= Combined
RI/FS (CO)
Activity
Type
Program
Measure
Program
Measure
Program
Measure
SPIM
Lead
RP,MR
PS
EP
Documentation
Required
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
Cooperative
Agreement; SMOA; or
Other state/EPA
agreement.
Memo containing the
minutes from initial
RI/FS scoping meeting.
Documentation
Approval/ Date
Requirements
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
PRP RI/FS, Signed
by Regional
Administrator
transmitting the
Consent Decree.
Signed by all
appropriate state
officials and parties
Signed by Regional
Administrator,
Signed by the
appropriate state
and regional
official, Signed by
the appropriate state
and regional
officials.
Not specified.
Data Must Be Entered By
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 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.
FY 09 SPIM
B-17
March 31,2009
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OSWER Directive 9200.3-14-1G-T
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.
Changes in Definition FY 06/07 - FY 08/09:
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,
EPRP,
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 FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
Accomplishments are based on the first proposed plan released to the public for each FS or RI/FS,
regardless of lead. Superfund Alternative sites should be identified in CERCLIS using the special initiatives
indicator designating these sites as "Superfund Alternative." This is a program measure.
March 31,2009
B-18
FY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action name
= Feasibility
Study (FS) or
Combined
RI/FS (CO)
orPRPRI/FS
(BD)
SubAction
Name =
Public
Comment
Period (PB)
Activity
Type
Program
Measure
SPIM
Lead
F, S, TR,
SA, SS,
ST,EP
RP,MR,
PS,
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:
• 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 FY 06/07 - FY 08/09:
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. Superfund Alternative sites should be identified in CERCLIS using the
special initiatives indicator. RI/FS duration is a program measure.
FY 09 SPIM
B-19
March 31,2009
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OSWER Directive 9200.3-14-1G-T
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 FY 06/07 - FY 08/09:
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,PS,
MR,CG
Documentation
Required
Start: EE/CA
Approval
Memorandum.
Complete: Action
Memorandum.
Documentation
Approval/ Date
Requirements
Start: Signed bv
appropriate regional
official. Complete:
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.)
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.
March 31,2009
B-20
FY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
Remedial Action Decision Documents (ROD, ROD Amendment, ESD, or Other) - Response actions
decision document are documented in Record of Decision (ROD), ROD Amendment, Explanation of
Significant Difference (ESD), or 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 occur:
ROD Amendment, Explanation of Significant Differences, and, Other Remedy Change. All of these
documents need to be sent to the below HQ address within 5 (five) days after signing:
Terrence Ferguson (Decision Document Coordinator)
US EPA Headquarters (MC 5202P)
One Potomac Yard (South Building)
2777 South Crystal Drive
Arlington, VA 22202
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 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 the ROD, the region must enter the OU, the media addressed, the media name, the
selected alternative, the 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: change in the primary
treatment method (e.g., containment remedy to an excavation and treatment remedy. If, as a result of PRP
negotiations, the remedy in the ROD is changed from incineration to bioremediation, this also represents a
fundamental change. When such fundamental changes or amendments are made to a remedy, the ROD
process (revised proposed plan, public comment period, public meeting, responsiveness summary, and
amended ROD) should be repeated. The amended ROD must be placed in the AR 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). Regions must enter the actual completion date of the ROD Amendment along with
the Alternative Name, Media Name, Media Type, Selected Response Actions, and cost data. ROD
Amendments are tracked as an internal reporting measure.
Explanation of Significant Differences (ESDs) 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 AR, and a copy needs to be mailed to the above address
at HQ. The ESD is made available to the public for review. A formal public comment period, public
meeting, and responsiveness summary are not required. While the ESD is being prepared and made
available to the public, response activities should continue. An ESD is not a new ROD and should not be
coded as such in CERCLIS. It should be entered as a SubAction to the ROD (Action Name = Record of
Decision and SubAction Name = Explanation of Significant Dif). ESD data are entered in CERCLIS at the
FY 09 SPIM B^21 March 31,2009
-------
OSWER Directive 9200.3-14-1G-T
time of BSD signature. 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). Response action and cost data only need to be entered when they change. 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
• 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 FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
To receive credit for an Action Memo, the region must enter the following data into CERCLIS:
March 31,2009 B^22 FY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
• 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
• 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):
SubAction
Name =
Explanation
of
Significant
Diff(EH)
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.
ESD.
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 09 SPIM
B-23
March 31,2009
-------
OSWER Directive 9200.3-14-1G-T
SPIM
Action/
Activity
Action name
= Record of
Decision
(RO)
SubAction
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. However, since the Final
Remedy Selected (NPL sites) provides support for the Construction Completion GPRA goal, which is also
limited to GPRA sites. 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 will not constitute a Final Remedy Selected since those documents 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 FY 06/07 - FY 08/09:
None.
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. Final Remedy determinations for sites deleted from the NPL are part of the SNAP
process. The system 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.
March 31,2009
B-24
FY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
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 supercedes 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 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
SCAP15
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.
FY 09 SPIM B-25 March 31, 2009
-------
OSWER Directive 9200.3-14-1G-T
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 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
CDtoDOJorHQjor
• 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
CDtoDOJorHQjor
• 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
March 31,2009 B^26 FY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
effective date of a state order or other comparable state enforcement document for RD (or combined
RD/RA). If the RD is covered by a pre-existing state order, credit will be based on the notice to proceed
date.
Changes in Definition FY 06/07 - FY 08/09:
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
(BE)
Activity
Type
Program
Measure
Program
Measure
Program
Measure
SPIM
Lead
F, EP, TR,
S, SA, SS,
ST
RP,MR
PS
Documentation
Required
Contract
modification or work
assignment/task order
for the RD,
Cooperative
Agreement or LAG.
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 CD to DOJ or
HQ).
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
LAG 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 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 09 SPIM
B-27
March 31,2009
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OSWER Directive 9200.3-14-1G-T
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 FY 06/07 - FY 08/09:
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.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action name
= Remedial
Design (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
document.
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.)
March 31,2009
B-28
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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-financed RAs (unless financed from a
Special Account) may be performed at NPL and Superfund Alternative 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 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. 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
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
"initiation 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.
Limited Remedial Action
* 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.
FY 09 SPIM B^29 March 31,2009
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OSWER Directive 9200.3-14-1G-T
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 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.
Limited Remedial Action
* A Limited RA start at a final NPL site the date a ROD selecting a limited remedial action is
signed.
PHP-financed under federal enforcement (MR- lead actions)
Remedial A ction
* A RA start at a NPL or Superfund Alternative 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; or
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 Action
* A Limited RA start at a NPL or Superfund Alternative 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 A ction
* A RA start at a NPL or Superfund Alternative 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 SubAction Name = PRPs Ntfy EPA, Intent to
Comply); or
• The date the Regional Administrator signs the memorandum transmitting the CD (Action
Name = Consent Decree); or
March 31,2009 B^30 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
• 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 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.
Limited Remedial Action
* A Limited RA start at a NPL or Superfund Alternative 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 = PRPs Ntfy EPA, Intent to Comply);
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.
PHP-financed under State enforcement (PS-lead actions)
Remedial A ction
* If the PRP is doing work under a state order or comparable enforcement document, and the NPL
or Superfund Alternative 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 Superfund Alternative 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 Action
* If the PRP is doing work under a state order or comparable enforcement document, and the NPL
or Superfund Alternative 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 FY 06/07 - FY 08/9:
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-
FY 09 SPIM B^31 March 31,2009
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OSWER Directive 9200.3-14-1G-T
specific basis and is funded through the Pipeline Operations Site Allowance. 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)
Action name
= PRPRA
(BF)
Action name
= PRPRA
(BF)
Action name
= Remedial
Action (RA):
Limited
Remedial
Action
Action name
Activity
Type
Program
Measure
Program
Measure
Program
Measure
Program
Measure
Program
Measure
Program
SPIM
Lead
F, EP, TR,
S, SA, SS,
ST
MR
RP
PS
F, TR, S,
SA, SS, ST
RP
Documentation
Required
Contract modification
for the RA or LAG.
Written approval by
the EPA of the PRP
RD document,
Memo transmitting the
CD to DOJ or HQ
The judgment, or
written approval from
the EPA of the final
design document for
theRD.
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.
Signed ROD.
PRP's written notice
Documentation
Approval/ Date
Requirements
RA signed by the EPA
CO; or
LAG 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.
ROD signature date
The date of written
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 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
March 31,2009
B-32
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
SPIM
Action/
Activity
= PRPRA
(BF):
Limited
Remedial
Action
Action name
= PRPRA
(BF):
Limited
Remedial
Action
Action name
= PRPRA
(BF):
Limited
Remedial
Action
Action name
= Remedial
Action (RA):
Institutional
Control
Remedial
Action
Action name
= PRPRA
(BF) ):
Institutional
Control
Remedial
Action
Action name
= PRPRA
(BF) ):
Institutional
Activity
Type
Measure
Program
Measure
Program
Measure
SPIM
Lead
MR
PS
F, EP, TR,
S, SA, SS,
ST
MR
RP
Documentation
Required
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.
Enforcement
instrument.
Contract modification
for the RA or LAG.
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
CD to DOJ or HQ).
Official written notice
from the EPA to the
PRP or the
enforcement document
Documentation
Approval/ Date
Requirements
notice.
Signed by the
Regional
Administrator
Signed by the federal
ludse
i^^-b
The date of CD
transmittal memo.
Signed by the federal
judge.
The date of issuance or
effective date.
RA signed by the EPA
CO; or
LAG 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
A. dm mi strait o r
Official written notice
from the EPA
AOC signed by the
Regional
Data Must Be Entered By
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 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 prior to the quarterly pull for the quarter
FY 09 SPIM
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March 31,2009
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OSWER Directive 9200.3-14-1G-T
SPIM
Action/
Activity
Control
Remedial
Action
Action name
= PRPRA
(BF) ):
Institutional
Control
Remedial
Action
Activity
Type
SPIM
Lead
PS
Documentation
Required
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
CD to DOJ or HQ).
State order or other
comparable state
enforcement
document.
Documentation
Approval/ Date
Requirements
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
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.)
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.
Changes in Definition FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
The actual completion date (Actual Complete) must be placed in CERCLIS with the RA SubAction, 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."
March 31,2009
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FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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 all remedial actions, limited remedial actions, or RODs for ground water monitoring at
non-NPL, NPL, or Superfund Alternative sites.
Remedial Actions - A remedial action is the implementation of the remedy selected in the ROD. Remedial
actions can only be funded at sites that are on the final NPL. This measure tracks each remedial action on-
site construction at a site.
Limited Remedial Action - Limited remedial actions result from RODs which select monitored natural
attenuation to attain cleanup goals and/or institutional controls as the only response actions. Limited actions
are distinguished from no action/no further action RODs, such as those where ground water monitoring is
the only response activity selected. Regions should enter monitored natural attenuation and institutional
controls as remedial actions (Action Name = Remedial Action or PRP RA) in CERCLIS.
Ground water monitoring is defined as the collection and analysis of ground water samples as a result of a
ROD that addresses ground water contamination at a site 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. If the ROD specifies that
ground water monitoring is the only activity that will be implemented during an operable unit 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: Action Name = Grndwtr Monitor (Post-ROD) into CERCLIS.
Definition of Accomplishment:
Remedial Action (RA On-Site Construction) - A site is addressed through a remedial action when the
EPA, RAC, the USAGE, state or PRP, or their contractors have begun on-site construction work at a site
for the remedial action remedy selected in the ROD.
• 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).
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
• PHP-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
"PRPRA";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 RA".
• 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.
Limited Remedial Action - Credit for the start of a Limited Action RA is given when:
• Fund-financed (Including F-, TR-, and S-lead actions) - The ROD selecting a limited remedial
action is signed at a site on the final NPL. The actual start date (Actual Start) is entered into
CERCLIS with the RA (Action Name = Remedial Action).
• PRP-financed under federal enforcement (Including MR- and RP- lead actions) - When the
PRPs are doing the Limited Action RA at a NPL or Superfund Alternative site under the terms of
a CD, UAO or judgment for Limited Action RA only, the RA start date (Actual Start) is the same
as the date (Action Complete) of the PRP's written notice of intent to comply with the UAO for
the RP-lead RA (Action Name = Unilateral Admin Order and SubAction Name = PRPs Ntfy EPA,
Intent to Comply); or the date the Regional Administrator signs the memorandum transmitting the
CD (Action Name = Consent Decree) to DOJ or HQ as recorded in CERCLIS as the actual CD
(Action Name = Consent Decree) start (Actual Start); or the date a judgment (Action Name =
Judicial/Civil Judgment) is signed by the federal judge (Actual Complete). Where the PRP is in
significant non-compliance with the UAO for the RP-lead RA, credit will be withdrawn.
• PRP-financed under State enforcement (PS-lead) - When the PRPs are doing the Limited Action
RA (Action Name = PRP RA) at a NPL or Superfund Alternative site under a state order or
comparable enforcement document, and the site is covered by a state cooperative agreement or
SMOA with a schedule for work at the site, and EPA approved the ROD, the Limited Action RA
start (Actual Start) is the issuance or effective date of the enforcement instrument;
Ground Water Monitoring (as the only activity taken at the site or ground water operable unit) - Credit is
given for a ground water monitoring activity Action Name = Grndwtr Monitor (Post-ROD) start (Actual
Start) when:
• Fund-financed (Including F-, TR-, and S- lead actions) - Fund-financed Ground Water
Monitoring starts at a site on the final NPL when this date is documented in a memo to the file.
March 31,2009 B^36 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
• PHP-financed under federal enforcement (Including MR- and RP- lead actions) - PRP -financed
ground water monitoring under federal enforcement starts at a NPL or Superfund Alternative site
when this date is documented in a memo to the file.
• PRP-financed under State enforcement (PS-lead actions) - PRP-financed ground water
monitoring under state enforcement starts at a NPL or Superfund Alternative site when a state
order or comparable state enforcement document is signed by the last state official.
Changes in Definition FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
RAs, limited remedial actions, and ground water monitoring (post-ROD) starts will be tracked separately
for management purposes. Ground water monitoring and oversight of ground water monitoring is covered
under the Pipeline Operations AOA. The date of RA on-site construction (Action Name = Remedial Action
and Sub Action 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):
SubAction
name = RA
On-Site
Construction
(RG)
Action name =
PRP RA (BF):
SubAction
name = RA
On-Site
Construction
(RG)
Activity
Type
Program
Measure
Program
Measure
Program
Measure
SPIM
Lead
F, TR, S
RP,MR
PS
Documentation
Required
Memo
Memo or a copy of
a report of start up
from the
contracting party
Memo or a copy of
a report of start up
from the
contracting party.
State enforcement
instrument
Documentation
Approval/ Date
Requirements
The date of memo to
the site file.
Memo to 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 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 09 SPIM
B-37
March 31,2009
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OSWER Directive 9200.3-14-1G-T
SPIM
Action/
Activity
Action name =
Limited
Remedial
Action (RA)
SubAction
name = RA
On-Site
Construction
(RG)
Action name =
Unilateral
Admin Order
(UA) Consent
Decree (CD)
Judicial/Civil
Judgment (JG)
Action name =
Limited PRP
RA(BF)
Action name =
Grndwtr
Monitor (Post-
ROD) (GM)
Action name =
Grndwtr
Monitor (Post-
ROD) (GM)
Activity
Type
Program
Measure
Program
Measure
Program
Measure
Program
Measure
Program
Measure
SPIM
Lead
F, TR, S
MR,RP
PS
F, TR, S
MR,RP
Documentation
Required
Signed ROD.
PRP's written
notice of intent to
comply with UAO;
or Memo
transmitting the
CDtoDOJorHQ;
or Judgment
signed by the
federal judge.
State order or
comparable
enforcement
document and a
state cooperative
agreement of
MOA EPA
approved ROD
Enforcement
instrument.
Start: Signed
ROD and Memo.
Start: Signed
ROD and Memo.
Documentation
Approval/ Date
Requirements
The date of the ROD.
ThedateofPRPs
written notice. Signed
by the Regional
Administrator Signed
by the federal judge.
The date of issuance or
effective date of the
enforcement instrument.
Not specified
Start: The date of
memo to file
documenting first
sample or new well.
Memo to site file.
Start: The date of
memo to file
documenting first
sample or new well.
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 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 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.)
March 31,2009
B-38
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
SPIM
Action/
Activity
Grndwtr
Action name =
Monitor (Post-
ROD) (GM)
Activity
Type
Program
Measure
SPIM
Lead
PS
Documentation
Required
Start: State order
or comparable
state enforcement
document.
Documentation
Approval/ Date
Requirements
Start: Signed by last
state 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.)
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 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.
Changes in Definition FY 06/07 - FY 08/09:
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.
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
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
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
FY 09 SPIM
B-39
March 31,2009
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OSWER Directive 9200.3-14-1G-T
SPIM
Action/
Activity
and
Functional
(VM)
Activity
Type
SPIM
Lead
Documentation
Required
Documentation
Approval/ Date
Requirements
remedy construction,
unless an extension has
been granted
Data Must Be Entered By
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.)
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-financed RAs (unless financed from a
Special Account) may be performed at NPL and Superfund Alternative 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 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. 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
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.
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.
March 31,2009
B-40
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
Remedial Action Completion
Remedial A ction and Limited Remedial A ction
* A Fund-financed RA completion at a final NPL site or a PRP-lead RA completion at a NPL or
Superfund Alternative 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
Superfund Alternative 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 Superfund Alternative 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 FY 06/07 - FY 08/09:
Language has been updated to include Institutional Control Remedial Actions.
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)
orPRPRA
(BF)
Action name
= Remedial
Action (RA)
orPRPRA
(BF): Limited
Remedial
Action
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
Documentation
Required
Written approval of
the Interim or Final
Remedial Action
Report.
Interim or Final RA
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
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
FY 09 SPIM
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March 31,2009
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OSWER Directive 9200.3-14-1G-T
SPIM
Action/
Activity
Action name
= Remedial
Action (RA)
orPRPRA
(BF):
Institutional
Control
Remedial
Action
Action name
= Grndwtr
Monitor
(Post-ROD)
(GM)
Activity
Type
SPIM
Lead
F, EP, TR,
S, SA, SS,
ST,MR,
RP,PS
F, S, TR,
MR,RP,
PS
Documentation
Required
Signature of the
institutional control
documentation vehicle
designated in the
Record of Decision
Final Superfund
Close-Out Report,
Five Year Review
report, memorandum.
Documentation
Approval/ Date
Requirements
Signature on the
institutional control
documentation
Signed by the Regional
Administrator, with HQ
concurrence.
Not specified
Signed by appropriate
regional official.
Data Must Be Entered By
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.)
r. NPL Site Construction Completions
Definition:
Construction at an 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. 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 ground water
restoration, bioremediation or soil vapor
extraction), or 3) Containment remedies.
Pre-final 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.
March 31,2009
B-42
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
Examples of last OU or activity
When Construction is Complete
Coding Requirements
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 POOR.
Ground water and surface water
restoration remedies that involve active
treatment to reduce contaminant
concentrations to meet cleanup goals.
Remedy is documented in final ROD
(interim action RODs must be finalized),
physical construction of the remedy is
complete, and the designated regional
official has signed the PCOR.
Ground water and surface water
restoration remedies that involve
monitored natural attenuation to reduce
contaminant concentrations to met
cleanup goals
Remedy is documented in final ROD
(interim action RODs must be finalized),
any necessary physical construction is
complete, and the designated regional
official has signed the PCOR.
RODs with contingency remedies
Physical construction of the remedy is
complete, a pre-fmal 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.
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 ground water 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.
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
Examples of last OU or activity
NPL site entirely addressed through
removal actions. For removals with
institutional controls, see above.
When Construction is Complete
Fund-Financed: Contractor has
demobilized, as recorded in POLREP.
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.
Coding 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 enters the
Construction Completion indicator into
CERCLIS. This action constitutes
concurrence with the FCOR
documentation.
If an FCOR can be prepared initially, then the site can achieve the NPL Construction Completion and NPL Site Completion
measure simultaneously. EPA is responsible for documenting construction completion; therefore all PCOR and FCOR actions are
given a Fund-financed lead code.
Changes in Definition FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
Regions will not receive credit for a NPL Site 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 enters the construction completion indicator into CERCLIS. 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.
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 greyed out once the actual
completion date of the PCOR or FCOR is entered.
Data Quality
Data Entry Timeliness Requirement
SPIM Action/
Activity
Action Name =
Prelim Close-Out
Rep Prepared
(CM) or Close
Out Report (CQ)
Action Name =
Removal Action
(RV)
Action Name =
Activity
Type
GPRA
Annual
Performance
Goal
GPRA
Annual
Performance
Goal
GPRA
SPIM
Lead
F
F, S, TR,
SA, SS, ST
MR,RP,
Documentation
Required
Preliminary or
Final Close-Out
Report (PCOR or
FCOR) and/or;
POLREP FCOR
Action
Documentation
Approval/ Date
Requirements
Signed by designated
regional official and
concurred with by HQ.
Final POLREP Signed
by the Regional
Administrator, with HQ
concurrence.
Not specified Signed by
Data Must Be Entered By
Within five working days, but no
later than ten working days.
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
March 31,2009
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OSWER Directive 9200.3-14-1G-T
SPIM Action/
Activity
PRP Removal
(BB)
Activity
Type
Annual
Performance
Goal
SPIM
Lead
PS
Documentation
Required
Memorandum
FCOR
Documentation
Approval/ Date
Requirements
the Regional
Administrator, with HQ
concurrence.
Data Must Be Entered By
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.)
Accuracy Requirement
The completion date of the action designating the Construction Completion shall match the final signature
date of the corresponding document in the Superfund Document Management System.
Reports and Guidance
• SCAP-14
• SCAP-15
• DQO Timeliness Audit Report - Number of Construction Completions (run quarterly)
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 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; or
• 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-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) or PRP LR
FY 09 SPIM
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March 31,2009
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OSWER Directive 9200.3-14-1G-T
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-financed 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.
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 FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
LTRA 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
ADA.
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
= 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
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
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.)
March 31,2009
B-46
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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-financed 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-financed 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 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 FY 06/07 - FY 08/09:
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.
FY 09 SPIM B-47 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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 bv 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
endofFYQ4.)
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 FY 06/07 - FY 08/09:
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)
orPRPLR
(ME) or
O&M
SubAction =
Cleanup
Goals
Achieved
(OQ)
Activity
Type
Program
Measure
SPIM
Lead
F
Documentation
Required
Final Remedial
Action Report
Documentation
Approval/ Date
Requirements
Written approval from
regional official (Branch
Chief or above)
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.)
March 31,2009
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FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
v. 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 FY 06/07 - FY 08/09:
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.
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.)
w. 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
FY 09 SPIM
B-49
March 31,2009
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OSWER Directive 9200.3-14-1G-T
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 at NPL 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.
• 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.
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
March 31,2009 B^50 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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 FY 06/07 - FY 08/09:
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)
• 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
FY 09 SPIM B^51 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
Superfund. Five Year Review completes are a Program Measure for Federal facilities (See Exhibit B.I in
Appendix B and Exhibit D. 1 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
Complete: 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.
x. 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 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."
March 31,2009
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Changes in Definition FY 06/07 - FY 08/09:
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 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.
y. 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).
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.
FY 09 SPIM
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March 31,2009
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OSWER Directive 9200.3-14-1G-T
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 FY 06/07 - FY 08/09:
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.
z. Site with Land Ready for Reuse
The Agency is no longer collecting information on this performance measure.
aa. Acres at Sites with Land Ready for Reuse
The Agency is no longer collecting information on this performance measure.
bb. 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:
• 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.
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 Sitewide RAU 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
March 31,2009
B-54
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
CERCLIS prior to the region's submission of a property reuse evaluation checklist. The Sitewide RAU date
entered into CERCLIS should be the signature date on the Checklist of the regional reviewing official.
Change in Definition FY 06/07 - FY 08/09:
In 2006, this GPRA measure was known as Sitewide Ready for Reuse. In 2007, it was renamed Sitewide
Ready for Anticipated Use.
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 Use.
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. If the Sitewide RAU determination does
revert, a retraction statement should be sent to Headquarters. 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 the site in the Superfund
"universe", therefore ensuring that its CPRM data is being captured.
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
Name =
PRP/RAU
Evaluation
Checklist
Activity
Type
GPRA
APG
SPIM
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.)
cc. 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 09 SPIM
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March 31,2009
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OSWER Directive 9200.3-14-1G-T
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:
• 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 FY 06/07 - FY 08/09:
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
SPIM
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
March 31,2009
B-56
FY 09 SPIM
-------
OSWER Directive 9200.3-14-1G-T
SPIM
Action/
Activity
Activity
Type
SPIM
Lead
Documentation
Required
Documentation Approval/
Date Requirements
Data Must Be Entered By
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.)
dd. 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 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
OU's 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 (FFRRO)."
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:
FY 09 SPIM
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March 31,2009
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OSWER Directive 9200.3-14-1G-T
• 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 FY 06/07 - FY 08/09:
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 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.)
ee. Site-Wide Human Exposure Environmental Indicator
Definition:
The Site-Wide Human Exposure Environmental Indicator documents for Proposed, Final, and Deleted NPL
sites and Superfund Alternative 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 measure.
• 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
March 31,2009
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FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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.
Definition of Accomplishment:
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.
Change in Definition FY 06/07 - FY 08/09:
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.
Special Planning/Reporting Requirements (Business Practices for Updating HE Data and Communicating
with the Public):
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.
Changes in El Status
Update CERCLIS within 10 days of determining that the HE status has changed.
No Change in El Status
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 "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 database.
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.
FY 09 SPIM B^59 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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.
General Template for Sites with an HE Evaluation of Not Under Control
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))
Example:
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.
General Template for New Sites with an HE Evaluation of Insufficient Data:
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:
(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))
General Template for Longer Term Cleanups with a Newly Identified Exposure Pathway and/or
Contaminant(s):
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).
March 31,2009 B^60 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
(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))
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 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.
Accuracy Requirement
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. In support of their response to each worksheet question, the RPMs are required to provide the
source documents in the "Reference Document" and corresponding SDMS reference document number in
the SDMS document field for each worksheet question.
Reports and Guidance
• SCAP 15
• Program Management 11 (PGMT-11)
• Program Management 12 (PGMT-12)
• Program Management 13 (PGMT-13)
• PGMT-12 Errors Report
FY 09 SPIM B-61 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
EXHIBIT B.2. SUPERFUND LONG-TERM HUMAN HEALTH PROTECTION WORKSHEET
Site Name:
Date:
Estimated Current HE Under Control Date: .
Estimated Current LTHHP Under Control Date:
RPM Certified:
Exposure Paragraph for HE "Not Under Control" or "Insufficient Data" Sites is Entered in CERCLIS?
Yes: (date) No:
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-term human exposure-related cleanup
goals been met for the entire site?
Response:
No
3. Are there complete human 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 expected human
exposures associated with the complete pathways
identified in Step 3 within acceptable limits under current
conditions?
Response:
No
Insufficient Data to
Determine Human
Exposure Control Status
(HEID)
Yes
Current Human
Exposures Under Control
and Long-Term Human
Health Protection
Achieved (HHPA)
Resulting Current Human Exposure
Evaluation:
No
Current Human
Exposures Not Under
Control (HENC)
Yes
5. Is the site Construction Complete, is the remedy
operating as intended, and are engineering and
institutional controls (if required), in place and effective?
Response:
If one or
more
criteria from
Step 5 are
not met
C urrent H uman
Exposures Under Control
(HEUC)
if all
criteria
from Step
5 are met
Current Human
Exposures Under Control
and Protective Remedies
in Place (HEPR)
March 31,2009
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FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
ff. 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.
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 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. In support of their response to each survey question, the RPMs are required to
provide the source documents in the "Reference Document" and corresponding SDMS reference document
number in the SDMS document field for each surveys question.
Reports and Guidance:
• SCAP 15
• Program Management 11 (PGMT-11)
• Program Management 12 (PGMT-12)
• Pro gram Management 13 (PGMT-13)
FY 09 SPIM B-63 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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?
Yes
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 Documents) :
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):
Yes
Step 4. Does "contaminated" ground water discharge into surface water bodies?
List Reference Document(s):
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):
Stop, you do not
need to
complete the
GMEI
No
Contaminated
Ground Water
Migration Under
Control
No
No
No
Insufficient Data to
Determine
Contaminated Ground
Water Migration
Under Control Status
Yes
Contaminated
Ground Water
Migration Under
Control
Contaminated
Ground Water
Migration Not
Under Control
gg. 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
Provision of an alternate water supply.
March 31,2009
B-64
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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 the 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 are selected: Removal; PRP Removal; FF Removal; Remedial Action;
PRP RA; FF RA; PRP Emergency Removal; or Initial Remedial Measure.
Changes in Definition FY 06/07 - FY 08/09:
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 tracking
number should be entered in CERCLIS for this measure. This is a program measure.
hh. 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.
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.
FY 09 SPIM B-65 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
Changes in Definition FY 06/07 - FY 08/09:
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.
ii. 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 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 FY 06/07 - FY 08/09:
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
Action
Lead
F
Documentation
Required
Start:
Cooperative
Agreement.
Complete:
Expiration or
termination of the
assistance
agreement.
Documentation
Approval/ Date
Requirements
Start: Signed by
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.)
March 31,2009
B-66
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
jj. 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.
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 FY 06/07 - FY 08/09:
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
theendofFYQ4.)
FY 09 SPIM
B-67
March 31,2009
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OSWER Directive 9200.3-14-1G-T
B.C. SUBJECT MATTER EXPERTS
The following table identifies the subject matter experts for Appendix B Response Actions.
EXHIBIT B.4. SUBJECT MATTER EXPERTS
Subject Matter Expert
Richard Jeng
David Reynolds
Rich Norris
Mary Bell
Brendan Roache
Randy Hippen
Emily Johnson
Jeff Heimerman
Michael Bellot
Greg Sullivan
Tracy Hopkins
Jennifer Hovis
John J. Smith
David E. Cooper
Phyllis Anderson
Renee Hamilton
Jayne Michaud
Doug Ammon
Charles Sands
Bruce Pumphrey
Nancy Browne
Tracey Stewart
Filomena Chau
Janet Weiner
Melissa Friedland
Subject Area
Construction Completion
Data Quality
Environmental Indicators
Enforcement
Federal facilities
Remedy Selection
Five Year Reviews
Innovative Technology
Institutional Control
Post-Construction
Post-Construction
Remedial Implementation
Remedial Lead
Response Appendix
Coordinator
Risk Assessment
RODs/Remedy Selection
Superfund Alternative
Approach
SF Special Accounts
Superfund Redevelopment
(GPRA)
Superfund Redevelopment
Phone #
703-603-8749
703-603-8895
703-603-9053
202-564-2256
703-603-8704
703-603-8829
703-603-8764
703-603-7191
703-603-8905
202-564-1298
703-603-8788
703-603-8888
703-603-8802
703-603-8763
703-603-8971
703-603-9092
703-603-8847
703-347-8925
703-603-8857
202-564-4222
202-564-4219
202-564-1582
202-564-4224
703-603-8717
703-603-8864
Email
j eng .richard@epa.gov
reynolds.david@epa.gov
norris.rich@epa.gov
bell.mary@epa.gov
roache.brendan@epa.gov
hippen.randv@epa.gov
johnson.emily@epa.gov
heimerman.jeff@epa.gov
bellot.michael@epa. go v
sullivan.greg@epa.gov
hopkins.tracy@epa.gov
hovis.jennifer@epa.gov
smith.j ohni @epa. go v
cooper.davide@epa.gov
anderson.phy llis@epa. go v
hamilton.renee@epa. go v
michaud.javne@epa.gov
ammon.doug.greg@epa.gov
sands.charles@epa.gov
pumphrey .bruce@epa. go v
browne.nancy@epa.gov
stewart.tracey @,epa. gov
chau. filomena@epa. go v
weiner.janet@epa. gov
friedland.melissa@epa. gov
March 31,2009
B-68
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
Superfund Program Implementation Manual FY 09
Appendix C: Enforcement
FY 09 SPIM March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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March 31, 2009 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
APPENDIX C
ENFORCEMENT
Table of Contents
APPENDIX C ENFORCEMENT C-I
C.A. OVERVIEW C-l
C.B. PROMOTING THE SUPERFUND ENFORCEMENT PROGRAM C-l
C.C. TARGETS AND MEASURES FOR BASELINE ENFORCEMENT C-4
C.C.I. Criteria for Credit of Enforcement Activities at Superfund Alternative Sites C-5
a. Potentially Responsible Party (PRP) Search Starts C-5
b. PRP Search Completions C-5
c. Section 104(e) Referrals and Orders Issued C-6
d. Issuance of General Notice Letters (GNLs) C-7
e. Issuance of Special Notice Letters (SNLs) C-7
f. Expanded Site Inspection/Remedial Investigation/Feasibility Study (ESI/RI/FS) Negotiation Starts C-7
g. Remedial Design/Remedial Action (RD/RA) Negotiation Starts (NPL & Superfund Alternative) C-8
h. Completion or Termination of Negotiations for RD/RA (NPL & Superfund Alternative) C-9
i. Completion or Termination of Negotiations for Cleanup (RD/RA, Removals, and Other) (NPL & Superfund
Alternative) C-10
j. Percentage of Remedial Action Starts Initiated by PRPs at Non-Federal Facility NPL and Superfund Alternative
Sites C-12
k. Total Response Commitments (Including Dollar Value) C-12
1. Enforcement Settlements/Instruments for RD/RA/Long Term Response (LR) C-14
m. De Minimis Settlements and Number of Parties C-15
n. Cashout Settlements C-16
o. Section 106, 106/107, 107 Case Resolution (Including Claim in Bankruptcy) C-17
p. Issuance of Demand Letter C-17
q. Total Cost Recovery Settlements (Including Dollar Value) C-18
r. Past Costs Addressed > $200,000 Via Settlements, Write-Offs, or Referrals C-19
s. Recoverable Past Costs That Have Been Addressed by Program to Date Via Settlements, Write-Offs, or
Referrals C-20
t. Number and Amount of CERCLA Penalties Assessed C-21
u. Number and Amount of CERCLA Supplemental Environmental Projects (SEPs) C-22
v. Use of Alternative Dispute Resolution (ADR) C-22
w. Number of Settlements Where EPA Settled Based on Ability-to-Pay Determinations C-23
x. Bona Fide Prospective Purchaser Agreements (Removal) C-24
y. Prospective Purchaser Agreements (PPAs) & Prospective Lessee Agreements C-24
z. Issuance of Comfort/Status Letters C-25
aa. Orphan Share- EPA Offer and Compensation C-26
bb. Non-Exempt De Micromis Parties Settlements and Number of Parties C-28
cc. PRP Oversight Administration C-28
dd. Settlements Designating Funds for Deposit to Special Accounts C-29
ee. Deposits Into Special Accounts C-30
ff. Settlements Designating Funds for Disbursement from Special Accounts to PRPs C-31
gg. Disbursements from Special Accounts for Response Actions C-31
hh. Special Accounts C-32
ii. Pre-Remedial Enforcement Action at Superfund Sites C-33
jj. Windfall Lien Filed C-34
kk. Windfall Lien Resolution - Finalized C-35
11. Management of Special Accounts C-35
mm. Institutional Controls C-37
nn. Site Revitalization C-37
C.D. SUBJECT MATTER EXPERTS C-38
FY 09 SPIM C-i March 31, 2009
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OSWER Directive 9200.3-14-1G-T
List of Exhibits
EXHIBIT C.I. ENFORCEMENT ACTIVITIES FY09 ENFORCEMENT PERFORMANCE MEASURES C-3
EXHIBIT C.2. SUBJECT MATTER EXPERTS C-38
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OSWER Directive 9200.3-14-1G-T
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OSWER Directive 9200.3-14-1G-T
APPENDIX C:
ENFORCEMENT
C.A. OVERVIEW
Continuing National Enforcement Priority for FY 2008 - The Office of Enforcement and Compliance
Assurance (OECA) is concerned that entities are not providing adequate financial assurance in accordance with their
obligations under current federal environmental laws. Financial assurance protects public health and the
environment by promoting the proper and safe handling of hazardous materials and protecting against a liable party
defaulting on closure or clean-up obligations. These benefits are lost unless there is compliance with the financial
assurance requirements and enforcement where there is a failure to maintain sufficient financial assurance. Absent
financial assurance, protection of human health and the environment would depend on available government
financial resources in times of shrinking budgets.
OECA identified financial responsibility as a national enforcement priority in 2005, and initiated a review
of financial assurance by looking at the Resource Conservation and Recovery Act (RCRA) Subtitle C closure/post-
closure and corrective action and the Comprehensive Environmental Response, Compensation, and Liability Act
(CERCLA). In July 2005, OECA issued a national strategy entitled National Enforcement and Compliance
Performance Based Strategy for Financial Responsibility with goals and measures for the Superfund enforcement
program that required regional commitments for fiscal years 2006 and 2007.
Subgoal 3 as defined in the strategy states: Optimize EPA's financial protection against the risk of default
by PRPs on their CERCLA cleanup obligations by assessing and monitoring compliance with financial assurance
requirements at 90% of the targeted universe identified and ensuring, where appropriate, financial assurance
provisions are included in new enforcement agreements requiring CERCLA cleanup work. To meet this goal, two
new measures were developed for fiscal years 2006 and 2007. They are: 1) Number of Preliminary Financial
Assessments for CERCLA Financial Assurance and 2) EPA Determination of Compliance with CERCLA Financial
Assurance Requirements.
The work undertaken by the Regions in fiscal years 2006 and 2007 identified a number of non-compliance
situations. Building on that work, the financial responsibility strategy was revised in 2007 and a new measure was
developed for the Superfund enforcement program for fiscal year 2008. The new measure is:
Number of CERCLA settlements determined by EPA to be in noncompliance that are now in compliance -
this measure addresses situations where EPA has completed a file review and made a compliance determination in
fiscal years 2006 and 2007 that the PRP(s) is not in compliance with the financial assurance obligations under the
settlement or order imposing the work obligation. This commitment is satisfied once the PRP(s) is in compliance
with the financial assurance obligations.
Regions are required to post the number of targets and accomplishments in OCFO's Annual Commitment
System. In addition, OSRE will work with regions to manually track accomplishments at the settlement level as
defined by the national strategy. Not all Regions will have targets to address in fiscal year 2008. Some Regions
either did not find cases of non-compliance or did and addressed those situations in fiscal years 2006 and 2007.
C.B. 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
FY 09 SPIM CMMarch 31,2009
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OSWER Directive 9200.3-14-1G-T
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 through 2008, address all unaddressed costs for Statute of
Limitations cases at sites with unaddressed total past Superfund costs equal to or greater than $200,000.
• 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).
Normally, SNLs are issued at the same time as 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/Assessing Request for Prospective Purchaser Agreements (PPAs):
Under the new Brownfields Amendment, parties who qualify as bonafide prospective purchasers should no
longer need PPAs with the federal government to purchase contaminated property. EPA may consider
entering into PPAs in instances where the public interest is served (i.e. where there is likely to be a
significant windfall lien, and the prospective purchaser needs to resolve the lien, or where the purchase
could potentially provide substantial environmental or community benefit).
• 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 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.
March 31,2009 C4FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
EXHIBIT C.I. ENFORCEMENT ACTIVITIES
FY09 ENFORCEMENT PERFORMANCE MEASURES
The following table represents the FY09Enforcement 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
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)
Enforcement Settlements/ Instruments for RD/RA/Long Term
Response (LR) (Including Dollar Value)
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, Write-Offs, or
Referrals
Recoverable Past Costs That Have Been Addressed by Program to
Date Via Settlements, Write-Offs, or Referrals
Number and Amount of CERCLA Penalties Assessed
Number and Amount of CERCLA Supplemental Environmental
Projects
Use of Alternative Dispute Resolution (ADR)
Number of Settlements Where EPA Settled Based on Ability-to-
Pay Determinations
Bona Fide Prospective Purchaser Agreements (Removal)
GPRA
Report dollar
value
Report the value
of costs recovered
T
EPA SR.
MANAGERS
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
INQUIRIES:
CONGRESS/
GAO/OIG/O
MB
T
T
T
RESOURCE
WORK
PLANNING*
P
P
P
P
P
P
P
P
P
T
P
P
P
P
P
P
P
P
P
P
P
P
P
FY 09 SPIM
C-3
March 31,2009
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OSWER Directive 9200.3-14-1G-T
ACTIVITY
Prospective Purchaser (PPAs) & Prospective Lessee (PLA)
Agreements
Issuance of Comfort/Status Letters
Orphan Share - EPA Offer and Compensation
Non Exempt De Micromis Parties Settlements and Number of
Parties
PRP Oversight Administration
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
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
Windfall Lien Filed
Windfall Lien Resolution - Finalized
Management of Special Accounts
Institutional Controls
Site Revitalization
GPRA
T
EPA SR.
MANAGERS
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
INQUIRIES:
CONGRESS/
GAO/OIG/0
MB
T
T
T
T
T
T
T
T
T
RESOURCE
WORK
PLANNING*
P
P
P
P
T
P
P
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.C. TARGETS AND MEASURES FOR BASELINE ENFORCEMENT
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.
March 31,2009
C-4
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
C.C.I. Criteria for Credit of Enforcement Activities at 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 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 FY06/07 - FY08/09:
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.
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.
FY 09 SPIM C-5 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
The recommended criteria for a thorough PRP search are:
1. Initiate a dialogue with early identified PRPs for the purpose of providing an opportunity for PRP
input into the PRP search;
2. Collect the financial and contribution data needed to perform equitable share calculations;
3. Follow-up on all leads as a way to identify parties to the site;
4. Make de minimis and non-exempt de micromis determinations for all parties at the site;
5. Categorize all parties (e.g., Generator/Transporter, Owner/Operator, Small Business ($2 million or
less gross annual revenue and 25 or less employees), Municipal Solid Waste Contributor, etc.);
and
6. Perform a financial viability determination on all PRPs asserting ability-to-pay problems.
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 FY06/07 - FY08/09:
None.
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 delegatee 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 FY06/07 - FY08/09:
None.
March 31, 2009 C-6 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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. 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 FY06/07 - FY08/09:
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.
e. 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 FY06/07 - FY08/09:
None.
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.
f. 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.
FY 09 SPIM CV7 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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 Sub Action (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 FY06/07 - FY08/09:
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.
g. 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 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
March 31,2009 C^8 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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 FY06/07 - FY08/09:
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
Complete) of the SNL or waiver of SNL. Superfund Alternative sites should be identified in CERCLIS
using the Special Initiatives Indicator of "Superfund Alternative". RD/RA negotiation starts is a program
measure.
h. 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 delegatee. 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 Administrator's 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 delegatee. Where an AOC or CA 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
FY 09 SPIM C^9 March 31,2009
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OSWER Directive 9200.3-14-1G-T
• 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 FY06/07 - FY08/09:
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".
i. 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 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 delegatee. 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
March 31, 2009 C-10 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
• 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 delegatee. 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
delegatee. 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 = Negotiations (Generic) or RD/RA Negotiations) actual completion
date (Actual Complete) is the date of the Regional Administrator's 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 delegatee. 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 delegatee 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 Sub Action, 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 FY06/07 - FY08/09:
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 purchaser that is
FY 09 SPIM (Ml March31,2009
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OSWER Directive 9200.3-14-1G-T
implementing the entire remedy. Superfund Alternative sites should be identified in CERCLIS using the
Special Initiatives Indicator of "Superfund Alternative".
j. 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-financed 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 FY06/07 - FY08/09:
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".
k 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:
• 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 NTC 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 delegatee
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 PRP's written notice of intent to
comply with the order. This is reported in CERCLIS as the actual completion date (Actual
March 31,2009 CM2 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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 delegatee 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
delegatee. 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.
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 FY06/07 - FY08/09:
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 if
"Prospective Purchaser Agreement" is the selected enforcement instrument category. 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 not count for credit in the current year; however, the Total Response
Commitments will be included 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.
FY 09 SPIM C-13 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
1. Enforcement Settlements/Instruments for RD/RA/Long Term Response (LR) (Including Dollar
Value)
Definition:
This measure is a subset of the universe of "Total Response Commitments." This is a measure of CERCLA
enforcement settlements (CDs, AOCs, or CAs), or other enforcement instruments (UAOs) where the parties
agree to conduct remedial (RD, RA, or LR) response work. This measure will require reporting of both the
number of enforcement settlements/instruments, as well as the estimated value of the response work
pursuant to each of those settlements/instruments.
Definition of Accomplishment:
Enforcement Instruments at non-Federal facility NPL, Superfund Alternative, and non-NPL sites include:
• 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 remedial or long term response action (RD, RA, or LR). 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 (Action
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.
• Unilateral Administrative Order (UAO) for RD, RA, or LR is signed by the Regional
Administrator or delegatee, and at least one of the PRPs has provided notice of intent to comply
unconditionally. For UAOs for RD, RA, or LR, commitment credit is given on the date of the
PRP's 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 of response value may be necessary. The CERCLIS reporting requirements for
the CD apply; or
• An Administrative Order on Consent (AOC) or Consent Agreement (CA) is signed by the
Regional Administrator or delegatee for RD only or a cashout settlement of de minimis parties for
RA, or a LR such as groundwater monitoring post-ROD or institutional controls. The date the
AOC or CA is signed (Action Name = Admin Order on Consent (AOC) or Consent Agreement
(CA)) is reported in CERCLIS as the actual completion date (Actual Complete).
• Credit is also given when an AOC or CA is signed for RD, RA, or LR work, and 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 (AOC) or Consent Agreement (CA) and Enf Instrument Category
Selected = Prospective Purchaser Agreement) is signed by the Regional Administrator or
delegatee.
Enforcement Settlements/Instruments for RD, RA, or LR will be reported as a combined total of CDs,
UAOs (with Notice of Intent to Comply), AOCs, and CAs where RD, RA or LR actions have been
achieved. The value of RD, RA, or LR commitments is based on the estimated value of PRP response work
and/or payments made by responsible parties toward future response work (i.e., cashouts).
March 31, 2009 C-14 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
Changes in Definition FY06/07 - FY08/09:
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 PRP Will Perform - Value" of the response
actions the PRPs are performing (see supplement to: OSWER Directive #9200.3-14-la), or the "Federal
Costs Settled - Future" and, if necessary, the "Enforcement Instrument Categories Selected" are to be
reported in CERCLIS. Existing settlements for ESI/RI, RI/FS, or FS that are amended to include RD should
be reported in CERCLIS. The date that 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/ instrument. Amended Instruments will not
count for credit in the current year; however, the settlement/instrument will be included in the program to-
date amount. Enforcement Settlements/Instruments for RD/RA/ LR will be reported in the ENFR-03 report
- Settlement type = "RD/RA/LR Only" category. This is a program measure.
m. De 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 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 delegatee 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 delegatee 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 delegatee. 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 delegatee 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
FY 09 SPIM CM5 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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.
Changes in Definition FY06/07 - FY08/09:
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.
Additional Reporting Requirements:
Regions are requested to provide site-specific targets for de minimis settlements. During the fiscal year,
regions can change sites within the target number without OSRE approval, but OSRE should be informed
of any changes. (Also see Non-exempt De Micromis Parties Settlements and Number of Parties.)
n. 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 delegatee 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 FY06/07 - FY08/09:
None.
March 31, 2009 C-16 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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.
o. 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, 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 FY06/07 - FY08/09:
None.
Special Planning/Reporting Requirements:
This is a program measure.
p. 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.
FY 09 SPIM C-17 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
Changes in Definition FY06/07 - FY08/09:
None.
Special Planning/Reporting Requirements:
This is a program measure.
q. 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 voluntary cost recovery or the
date the Regional Administrator or delegatee 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 FY06/07 - FY08/09:
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.
March 31, 2009 C-18 FY 09 SPIM
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r. Past Costs Addressed > $200,000 Via Settlements, Write-Offs, or Referrals
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 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 08/09 targeted sites that have
SOLs occurring in or before FY 08/09 or in the first quarter of FY 10.
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 delegatee 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
delegatee.
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 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 that the bankruptcy strategy package is prepared or on
the date of the first creditor committee meeting as documented by the summary of the meeting. These dates
are reported in CERCLIS as the SubAction "Creditors Committee Meeting" and/or "Bankruptcy Strategy
Package" actual completion dates (Actual Complete). These SubActions are entered with the Claim in
Bankruptcy action. For each Claim in Bankruptcy, the "Federal Costs Sought - Past" must be entered into
CERCLIS.
Changes in Definition FY06/07 - FY08/09:
None.
FY 09 SPIM CM9 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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.
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.
s. Recoverable Past Costs That Have Been Addressed by Program to Date Via Settlements, Write-
offs, or Referrals
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.
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 delegatee 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).
March 31,2009 C^20 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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 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 that the bankruptcy strategy package is prepared or
on the date of the first creditor committee meeting as documented by the summary of the meeting. These
dates are reported in CERCLIS as the SubAction "Creditors Committee Meeting" and/or "Bankruptcy
Strategy Package" actual completion dates (Actual Complete). These SubActions are entered with the
Claim in Bankruptcy action. For each Claim in Bankruptcy, the "Federal Costs Sought - Past" must be
entered into CERCLIS.
Changes in Definition FY06/07 - FY08/09:
None.
Special Planning/Reporting Requirements:
This is a program measure. See Definition and Definition of Accomplishment.
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 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.
FY 09 SPIM CX21 March 31,2009
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Changes in Definition FY06/07 - FY08/09:
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. The number and value of CERCLA penalties will be obtained from the Office of
Compliance using information reported in the Integrated Compliance Information System (ICIS). This is a
program measure.
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.
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 FY06/07 - FY08/09:
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. Use of Alternative Dispute Resolution (ADR)
Definition:
This measure reports the number of sites where ADR techniques are employed in an attempt to reach
settlement under CERCLA or to resolve disputes over cleanup standards and Applicable or Relevant and
Appropriate Requirements (ARARs). Sites using ADR tools are divided into two categories: sites where the
Agency employs and funds ADR in the CERCLA process; and sites where the Agency supports private
party use of ADR in the CERCLA process. It does not include cases where the private parties use ADR
without the Agency's support. This measure includes use of ADR in disputes regarding allocation of
liability; in disputes with PRPs regarding alleged noncompliance with a settlement agreement; and in
disputes with states and tribes regarding ARARs and cleanup standards. This measure will report site-
specific use of ADR.
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Definition of Accomplishment:
Credit is given at non-Federal facility NPL, Superfund Alternative, and non-NPL sites for ADR activities
when:
• Allocation of Shares of Responsibility - The parties involved choose a neutral allocator. The date
on which the allocator is chosen is recorded in CERCLIS as the actual start date (Actual Start) of
the Alternative Dispute Resolution action. The "ADR Process of Allocation" should also be
entered.
• Arbitration - The parties involved in binding or advisory negotiation (in a judicial setting) choose
an arbitrator. The date on which the arbitrator is selected is recorded in CERCLIS as the actual
start date (Actual Start) of the Alternative Dispute Resolution action. The ADR Process of
"Arbitration" should also be entered.
• Convening - A neutral third party is selected to organize disputants for negotiations, assist them in
the decision to use ADR, and assist in the selection of an ADR professional. The date on which
the neutral third party is selected is recorded in CERCLIS as the actual start date (Actual Start) of
the Alternative Dispute Resolution action. The ADR Process of "Convening" should also be
entered.
• Fact Finding - A specialized neutral party with subject matter expertise is selected to resolve
technical or factual issues. The date that the specialized neutral party is selected is recorded in
CERCLIS as the actual start date (Actual Start) of the Alternative Dispute Resolution action. The
ADR Process of "Fact Finding" should also be entered.
• Mediation - The parties select a neutral third party with no decision-making authority to assist
during non-binding negotiations. The date on which the neutral party is selected is recorded in
CERCLIS as the actual start date (Actual Start) of the Alternative Dispute Resolution action. The
ADR Process of "Mediation" should also be entered.
• Mini-Trial - The involved parties begin the mini-trial. The date on which the mini-trial begins is
recorded in CERCLIS as the actual start date (Actual Start) of the Alternative Dispute Resolution
action. The ADR Process of "Mini-Trial" should also be entered.
• Neutral Evaluation - A neutral party is selected to assist a negotiation team in evaluating the
potential for settlement or use of ADR professionals. The date on which the neutral party is
selected is recorded in CERCLIS as the actual start date (Actual Start) of the Alternative Dispute
Resolution action. The ADR Process of "Neutral Evaluation" should also be entered.
• Settlement Judge - A settlement judge (other than the one hearing the case) is selected (or agreed
upon) to act as a mediator during the negotiation and settlement discussions of the parties. The
date on which the settlement judge is selected is recorded in CERCLIS as the actual start date
(Actual Start) of the Alternative Dispute Resolution action. The ADR Process of "Settlement
Judge" should also be entered.
Changes in Definition FY06/07 - FY08/09:
None.
Special Planning/Reporting Requirements:
This is a federal enforcement-lead (FE) action with an action name of "Alternative Dispute Resolution".
The response actions being discussed during the ADR process ("Response Actions Addressed") and the
ADR Process may be entered into CERCLIS. Credit will be based on the start date (Actual Start) of the
ADR (Action Name = Alternative Dispute Resolution). This is a program measure.
w. 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.
FY 09 SPIM CX23 March 31,2009
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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 delegatee 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 FY06/07 - FY08/09:
None.
Special Planning/Reporting Requirements:
This is a program measure. An Enforcement Instrument Categories Selected of "Ability to Pay" needs to be
entered into CERCLIS.
x. Bona Fide Prospective Purchaser Agreements (Removal)
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 (Removal) 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 FY06/07 - FY08/09:
This is a new measure.
Special Planning/Reporting Requirements:
Regions should enter the new enforcement instrument type BFPP work agreement (Enforcement
Instrument Categories Selected = BFPP Work Agreement) into CERCLIS and associate the appropriate
response type (e.g. removal). The actual completion date will be the date of the EPA signature of the AOC
or CA (see above).
y. Prospective Purchaser Agreements (PPAs) & Prospective Lessee 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"). The
Brownfields Amendments provide a limitation on liability for persons who qualify as bona fide prospective
purchasers. Congress' intent in enacting this provision was to remove certain liability barriers to purchases
March 31,2009 C^24 FY 09 SPIM
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of property and encourage redevelopment. While EPA understands the necessity for PPAs the Agency
recognizes that in limited instances the public interest will be served by entering into PPAs. 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 (A PLA is a PPA that is entered into with a lessee who cannot otherwise achieve protected BFPP
status because he is leasing from a PRP, and therefore cannot independently achieve bona fide prospective
purchaser status).
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 delegatee 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 delegatee 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 FY06/07 - FY08/09:
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 Agreement" or "Prospective Lessee Agreement." The numbers of PPA and PLA agreements
signed are program measures.
z. 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.
FY 09 SPIM C-25 March 31, 2009
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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 FY06/07 - FY08/09:
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.
aa. 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 Settlors 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 Settlors 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.
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
March 31,2009 C^26 FY 09 SPIM
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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 SubAction (SubAction Name = Letter for Orphan Share
Compensation) or Memorandum for the Record SubAction (SubAction 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:
• 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 delegatee. 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
delegatee. 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 FY06/07 - FY08/09:
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.
FY 09 SPIM CX27 March 31,2009
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bb. 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.
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
delegatee, 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 FY06/07 - FY08/09:
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.
cc. 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.
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.
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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 Sub Action "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 FY06/07 - FY08/09:
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.
dd. 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 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
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delegatee 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 FY06/07 - FY08/09:
None.
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.
ee. 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 FY06/07 - FY08/09:
None.
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.
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ff. 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 delegatee 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 FY06/07 - FY08/09:
None.
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.
gg. 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;
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• 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:
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 FY06/07 - FY08/09:
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.
hh. 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 Center (CFC) will close out the
March 31,2009 CX32 FY 09 SPIM
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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 FY06/07 - FY08/09:
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.
ii. 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-financed 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-financed RA starts (in the FY) + the number of Fund-financed
RA starts (in the FY) with enforcement actions prior to the RA start.
• 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.
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-financed Superfund Alternative sites with:
1. PRP-financed RA starts (in the FY) as defined in Appendix B.
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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 delegatee. 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 delegatee 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
(Sub Action 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 FY06/07 - FY08/09:
None.
Special Planning/Reporting Requirements:
This is a GPRA annual performance goal.
jj. Windfall Lien Filed
Definition:
In January 2002, CERCLA was amended through enactment of Public Law 107-118, titled the Small
Business Relief and Brownfield Revitalization Act ("Brownfields Amendments"). Section 107(r) provides
that bona fide prospective purchasers are not liable as owner/operators for CERCLA response costs, but the
property they purchase may be subject to a windfall lien where an EPA response action has increased the
fair market value of the property. This lien arises "at the time at which costs are first incurred by the United
States with respect to a response action at the facility." CERCLA 107(r) (4) (B). To "perfect" the lien, EPA
must file a notice of the lien in accordance with CERCLA's statutory requirements. This measure will
quantify the number of windfall liens that are filed by the Agency.
Definition of Accomplishment:
The start date (Actual Start Date) for the windfall lien (Action Name = 107(r) Windfall Lien) is the date the
lien was filed in the court by EPA in accordance with statutory requirements. The completion date (Actual
Compete Date) is the date the lien was removed by the court.
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OSWER Directive 9200.3-14-1G-T
Changes in Definition FY06/07 - FY08/09:
None.
Special Planning/Reporting Requirements:
This is a program measure.
kk. 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 requests received and addressed by the Agency and the number of windfall lien resolution
agreements signed.
For the purpose of reporting, this measure will count the number of finalized consent agreements (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 (WLR) Agreements. This is the completion of a WLR Agreement based on the date (Actual
Complete Date) the Consent Agreement (CA) (Action Name = Consent Agreement) with a WLR
component is signed by the Regional Administrator or delegatee. Regions also must enter an Enforcement
Instrument Category to indicate a WLR Agreement (Enforcement Instrument Categories Selected =
Windfall Lien Resolution Agreement).
Changes in Definition FY06/07 - FY08/09:
Only finalized windfall liens will be counted.
Special Planning/Reporting Requirements:
WLR assessments and 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.
11. 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).
FY 09 SPIM CX35 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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).
7. Total Special Account Funds Disbursed: (Data will be provided by the Cincinnati Finance Center).
8. A. Currently Available Special Account Balance:" (Data will be provided by the Cincinnati
Finance Center).
9. Planned Special Account Uses" (Title)
10. " Remaining Special Account Amount To Be Obligated For Disbursement To Work Parties:"
(Title) (These are "Plans Against Currently Available Funds")
11. "Settlement Amount Promised To Work Parties" (Input field).
12. 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)
32. "D. Unassigned Remaining Balances (part "A" minus "C"):" (Calculated field)
33. "Account Open Date" (Data will be provided by the Cincinnati Finance Center).
34. "Planned Account Closure Date" (Input field)
35. "Actual Account Closure Date" (Data will be provided by the Cincinnati Finance Center).
36. "Can Amount To Be Disbursed To Work Parties Be Determined By Settlement?" (Input field:
"Yes" or "No")
37. "Are There Limitations For Spending For This Account?" (Input field: "Yes" or "No")
38. "If "Yes," then provide an explanation (Check all that apply): (Title) "Media/Location/OU
Limitation" (Input field, check the box)
39. "Dollar Limitation" (Input field, check the box)
40. "Activity Limitation" (Input field, check the box)
41. "Other, Explain Below." (Input field)
42. "Is The Explanation Enforcement Confidential?" (Input field)
43. "Any Further Comments On This Special Account?" (Input field)
March 31,2009 CX36 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
44. "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 FY06/07 - FY 08/09:
This is a new measure.
Special Planning/Reporting Requirements:
This is a program measure. A CERCLIS ENFR report is being developed for this measure.
mm. 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, 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 FY06/07 - FY08/09:
This is a new program measure.
Special Planning/Reporting Requirements:
Institutional Control data will be extracted from the Institutional Controls Tracking System (ICTS).
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.
nn. 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
FY 09 SPIM CX37 March 31,2009
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OSWER Directive 9200.3-14-1G-T
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:
• Comfort/status letters that address liability concerns/issues - including reasonable steps letters.
• Windfall Lien resolution agreements.
• Work agreements (removal) with bonafide prospective purchasers (BFPPs).
• Prospective Purchaser Agreements (PPAs).
• Prospective Lessee Agreements (PLAs)
Changes in Definition FY06/07 - FY08/09:
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.
C.D. SUBJECT MATTER 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
Monica Gardner
Vincent Velez
Subject Area
Enforcement Data
Enforcement Data
Enforcement Data
Enforcement Data
Enforcement Data
Phone #
(202) 564-6023
(202) 564-2256
(202)564-0051
(202) 564-6053
(202) 564-4972
Email
blair. scott(@,epa. sov
bell.marv(8),epa.sov
french. eric(3),epa. sov
sardner.monica(@,epa.sov
velez. vincent(2>,epa. sov
March 31,2009
C-38
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
Superfund Program Implementation Manual FY 09
Appendix D: Federal Facility Response
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APPENDIX D:
FEDERAL FACILITY RESPONSE
Table of Contents
APPENDIX D: FEDERAL FACILITY RESPONSE D-l
D.A. FEDERAL FACILITIES GOALS AND PRIORITIES D-l
D.A.I. Overview D-l
D.A.2. SuperfundFederal 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.A.3.EPA 's Federal Facility Superfund Cleanup Principles D-5
D.A.4. Federal Facility Docket and Site Discovery/Site Assessment D-7
a. Overview D-7
b. Federal Facility Docket Process and the Federal Facilities Site Discovery Process D-7
c. Federal Facility Site Assessment Process and Time Frames D-8
d. Authority for Conducting Federal Facility Site Assessments - E.O. 12580 D-8
e. Federal Facility Site Assessment Reports & EPA Review and FIRS Evaluation D-9
f. Tracking of Federal Facility Sites in CERCLIS D-9
D.A. 5. BRAC Budget and Financial Guidance D-10
a. Resources and Tracking Mechanisms D-10
b. Accountability for Resources D-ll
D.A.6. Cleanup Privatization at BRAC NPL Sites D-ll
D.A. 7. Military Munitions Response Program D-l2
D.A. 8. Stakeholder Involvement. D-l2
D.B. OVERVIEW OF FY 09 FEDERAL FACILITIES TARGETS AND MEASURES D-13
D.B.I.Reporting of Non NPL Federal Facilities Data D-14
D.B. 2. Federal Facilities Site Discovery/Site Assessment Definitions D-l 6
a. Site Discovery D-16
b. Federal Facility Preliminary Assessment Reviews D-16
c. Federal Facility SI Reviews D-l8
d. Federal Facility ESI Reviews D-19
D.B. 3. Federal Facility Accomplishment Definitions D-20
a. Base Closure Decisions: Start and Completions D-20
b. Non-BRAC Property Actions D-21
c. Federal Facility Agreement (FFA)/mteragency Agreement (IAG) D-21
d. Federal Facility Dispute Resolution D-22
e. Use of Supplemental Environmental Projects (SEPs) D-22
f. Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility Investigation (RFI) Starts D-23
g. Timespan from Final NPL Listing To RI/FS D-23
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h. Decision Documents D-24
i. Final Remedy Selected D-24
j. ROD Amendments D-25
k. Explanation of Significant Differences (ESD) D-25
1. Remedial Design (RD) or RCRA Corrective Measure Design (CMD) D-26
m. Duration of ROD to IAG Negotiation Completion D-26
n. Remedial Action (RA) or RCRA Corrective Measure Implementation (CMI) Starts D-27
o. Timespan from ROD Signature to RA Start D-27
p. RA or CMI Completions D-28
q. Removal or RCRA Interim/Stabilization Measure (ISM) Starts and Completions D-30
r. Migration of Contaminated Ground Water Under Control D-30
s. Long-Term Human Health Protection Indicator D-32
t. Operation and Maintenance (O&M) D-34
u. Cleanup Objectives Achieved D-34
v. NPL Site Construction Completions D-34
w. Federal Facility Partial NPL Deletion D-36
x. Federal Facility Final NPL Deletion D-37
y. Federal Facility Five-Year Reviews D-38
D.B.4. Community Involvement Definitions D-39
a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs) D-40
b. Technical Assistance Grants (TAGs) D-40
c. Technical Outreach Services for Communities (TOSC) D-41
D.B.5. Cross Program Revitalization Measure D-41
a. Sitewide Ready for Anticipated Use D-41
b. Protective for People Under Current Conditions (PFP) D-42
c. Ready for Anticipated Use (RAU) D-44
D.B.6. Cleanup Privatization at BRAC NPL Sites D-46
B.C. SUBJECT MATTER EXPERTS B-48
List of Exhibits
EXHIBIT D.I. (1 OF 3) FEDERAL FACILITIES NPL SITES D-14
EXHIBIT D.I. (2 OF 3) FEDERAL FACILITIES BRAC SITES D-15
EXHIBIT D.I. (3 OF 3) FEDERAL FACILITIES NON-NPL SITES D-15
EXHIBIT D.2. REMEDIAL PIPELINE FLOW CHARTS D-29
EXHIBIT D.3. SUPERFUND MIGRATION OF CONTAIMATED GROUND WATER UNDER CONTROL
WORKSHEET D-31
EXHIBIT D.4. SUPERFUND LONG-TERM HUMAN HEALTH PROTECTION WORKSHEET D-33
EXHIBIT D.5. NPL SITE CONSTRUCTION COMPLETION D-35
EXHIBIT D.6. SUBJECT MATTER EXPERTS D-48
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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
and weapons 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, Congressional
interest, and statutory requirements. Program activities and resources should be planned to achieve the
following goals of the Federal Facility program:
• Sitewide Construction Completions and long-term protectiveness - 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 - With revitalization being one of OSWER's highest
priorities, property reuse is a GPRA initiative OSWER is currently establishing for the cleanup
program. 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, providing beneficial and protective reuse of the property by the local
community. Property reuse also occurs at non-BRAC Federal Facilities (via leases, transfers, etc.).
• Environmental Indicators - There are two environmental indicators (El) currently reported under
the GPRA framework for the Superfund program: Human Exposures Under Control and
Contaminated Groundwater Migration Under Control. These two measures provide current site
information regarding risk reduction at sites where cleanup is ongoing and not yet completed. El
data is being used to convey to those who monitor the Superfund program the progress achieved at
sites where construction has not been completed.
• Sitewide Ready for Anticipated Use - This GPRA performance measure was created in FY06 (the
measure was formerly named Sitewide Ready-for-Reuse) to document 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
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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 expected to be minimal. In addition, because many of the communities
surrounding the Federal Facilities are communities of color, low income, and historically have
been politically and economically disenfranchised, regions should give close scrutiny to
environmental justice issues at the NPL Federal Facilities. 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.
• Environmental Management Systems and Pollution Reduction Targets - Executive Order 13148,
Greening the Government Through Leadership in Environmental Management, established a
framework for integrating environmental considerations into each federal agency's mission
through a variety of directives and goals, including the implementation of environmental
management systems, reductions in releases of toxic chemicals, and elimination of procurement of
ozone depleting substances. The E.O. requires that an EMS be implemented at each appropriate
Federal Facility by the end of 2005, based on a facility's size, complexity, and environmental
aspects. Additionally, the E.O. requires federal agencies to have a program in place to periodically
audit facilities' compliance with environmental regulations. Findings from those audits are to be
included in the budget and planning activities of the agency to ensure that non-compliance is
adequately addressed.
Executive Order 13148 called for further improvement in the Toxics Release Inventory (TRI) reduction
success achieved under a previous E.O. The E.O. required a 40% reduction in reported federal releases by
December 31, 2006, from a baseline year of 2001. Similarly, the E.O. reflected ongoing efforts to identify
substitute chemicals or processes to reduce environmental damage, risk and liability. The language in the
E.O. called for development of a list of priority chemicals used by the Federal Government that may result
in significant harm to human health or the environment and that have known, readily available, less
harmful substitutes for identified applications and purposes. Agencies were directed to reduce the use of
those priority chemicals.
Regions should continue to strive to place these priorities and project milestones in enforceable Federal
Facility Agreements (FFAs)TInteragency 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 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).
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. 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.
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 FUDSa.
• 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:
a 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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• 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.
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.
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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 had their first data pull on October 5, 2007 and are pulled
at least quarterly thereafter.
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 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
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• 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
• 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 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.
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.
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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 status and regulations 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.G. 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.
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).
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Any potential Federal facility site is generally first added to the Docketb. 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 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.
b 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).
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OSWER Directive 9200.3-14-1G-T
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)), or if warranted a Federal facility SI report, EPA evaluates the site in accordance with the
HRS final rule0 to determine whether the site poses a threat to public health or welfare 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 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;
c 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-T
• EPA Federal Facilities Remedial Site Inspection Summary Guide, July 21, 2005;
• 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
The primary mission of the BRAC program is to ensure that the hazardous waste sites owned or operated
by the military service are addressed and cleaned up as quickly as possible and made available to support
the reuse of properties. Regional efforts should be focused on achieving completion of cleanup construction
activities and ensuring property is suitable for transfer and/or lease at BRAC sites.
BRAC I - IV
Under BRAC more than 800 military installations were scheduled for closure or realignment in 1988
(BRAC I), 1991 (BRAC II), 1993 (BRAC III), 1995 (BRAC IV) and 2005 (BRAC V). Of the installations
closed or realigned in the first four rounds of BRAC, 107 are covered through an MOU between EPA and
DoD, and of this total 35 BRAC I-IV sites are on the NPL.
The Agency continues to assist DoD in assessing these 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. HQ and
Regional managers must work with DoD, tribal, state, local governments, and private interests to expedite
cleanup and support property transfer, reuse and economic development.
Program management guidance is included in the April 2006 Interim Guidance for EPA's BRAC Program,
which supercedes the 1996 BRAC Fast Track guidance http://www.epa.gov/fedfac/documents/epa296.htm.
The majority of EPA's BRAC resources are directed to the regions for technical, regulatory and property
transfer oversight at BRAC installations. EPA 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. EPA uses Base Closure funding for EPA personnel to participate
on BRAC Base Cleanup Teams (BCT) as either the EPA designated team member or as technical experts.
EPA Regional Federal Facility programs, in conjunction with the Office of Regional Counsel, Regional
National Environmental Policy Act (NEPA) teams, State environmental regulatory agencies, and DoD,
have formed a BCT for each of the BRAC installations. Regions are allocated site-specific FTE and
administrative dollars (payroll, site and non-site travel, expenses, administrative contracts, and working
capital funds) based on installation-specific negotiations between EPA and DoD. DoD prohibits the use of
BRAC resources for extramural expenses. Resource negotiations are reevaluated annually and all unfunded
reimbursable FTEs are returned to a Headquarters reserve. To avoid exceeding the BRAC Program's
reimbursable FTE ceiling, additional FTE needs must be approved by FFRRO.
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.
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.
BRACV
A fifth round of BRAC took place in 2005 that will affect more than 800 installations and DoD facilities.
Of those, 72 are installations that are also listed on the Superfund National Priorities List (NPL). EPA's
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OSWER Directive 9200.3-14-1G-T
oversight role at these NPL installations will continue regardless of the BRAC action to be taken at the
facility. At the time of this guidance, EPA has been informed by DoD that BRAC V installations will not
be addressed in the same manner as BRAC I - IV installations (i.e., the BRAC Fast Track Cleanup
Program). Guidance on EPA's role at BRAC I-IV and BRAC V installations is available at
http://www.epa.gov/fedfac/pdf/interim brae guidance.pdf
b. Accountability for Resources
BRAC reimbursable work years and funding must be used only for EPA related Base Closure activities.
Military Base Closure activities are activities related to cleanup of specific installations identified by
OSWER (in consultation with DoD). These 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 MOU between EPA and DoD dated February 3, 1994, 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 programmatic and
financial reviews of regions. Reprogramming of funds submitted to the OC require notification of FFRRO
for their approval.
HQ and Regional personnel utilizing BRAC resources should receive authorization from their appropriate
Regional senior managers and use the established BRAC budget program. 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.
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."
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OSWER Directive 9200.3-14-1G-T
EPA has supported privatization efforts undertaken at two NPL sites, McClellan Air Force Base and Ft.
Ord, both located in California. The first such privatization occurred on August 27, 2007 at the McClellan Air Force
Base involving a 62 acre-parcel with the Air Force providing $11.2 million for cleanup. Another cleanup
privatization at McClellan is planned to occur in the Fall of 2008.
The second privatization is expected to occur at Ft. Ord, California, where 47 parcels will be transferred to
the Fort Ord Reuse Authority (FORA). The Army is providing approximately $100 million to FORA for cleanup of
the transferred property. On April 15, 2008, EPA Region 9 granted the Army's covenant deferral request for the
early transfer of approximately 3,336 acres to the Fort Ord Reuse Authority (FORA), subject to the concurrence of
the Governor of California.
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 (most of these properties now are
identified as formerly used defense sites or FUDS). DoD is currently working to further define its 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 potentially
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 safety (e.g., the potential for the detonation of MEC)
is the principal concern during munitions response actions involving MEC.
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." DoD's initial inventory was published in May 2003 and is
undergoing review and updates. The DoD inventory contained approximately 3,200 MRS at the end of FY 2006.
The Handbook on the Management of Munitions Response Actions (May 2005) 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 conceptual site model
guidance, explosive hazard assessment methodology, streamlining approaches for small arms characterization and
remediation, training programs, quality assurance/quality control requirements, and technology evaluations.
D.A.8. Stakeholder Involvement
By Executive Order, Federal Facilities have lead responsibilities for cleanup activities, however they must
follow 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
March 31,2009 EM2 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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 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 fora are called Site-specific Advisory
Boards (SSAB).
D.B. O VER VIEW OF FY 09 FEDERAL FA CILITIES TARGETS AND MEASURES
The Superfund Comprehensive Accomplishments Plan (SCAP) is used by the Superfund National Program,
the managers, the AA 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.
FFRRO has completed OMB's Program Assessment Rating Tool (PART) to be included in the Fiscal Year
2007 Presidential budget submission. The PART was developed by OMB to assess and improve program
performance so that the Federal Government can achieve better results. A result of the PART exercise was the
program establishing national out-year targets through FY 2008 for its annual efficiency measure which will track
the amount of program dollars spent annually by the program per each operable unit completing planned remedial
activities. The program (Regions and HQ) set national goals annually for Program Targets based on historical
performance and performance expectations within a limited budget for the fiscal year, and track accomplishments in
the activities contributing to those goals. Regions should continue to plan and report accomplishments in CERCLIS
as has been done traditionally. As part of the exercise, FFRRO was required to develop an efficiency measure which
was approved by OMB.
• OMB approved the following measures for the Federal Facilities program PART:Human Exposures Under
Control
• Contaminated Groundwater Migration Under Control.
• Final Remedy Selected
• Site Construction Completion
• Annual program resources per OU completing cleanup activities
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OSWER Directive 9200.3-14-1G-T
The following pages contain, in pipeline order, the definitions of the FY 09 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 09 targets and measures. Exhibit D.3, at the end of this Appendix, describes the
planning requirements for Federal Facilities activities.
D.B.I. 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)/Interagency Agreement (IAG)
Federal Facility Dispute Resolution
Use of Supplemental Environmental Projects (SEPs)
PJ/FS or RCRA Facility Investigation (RFI) Starts
Decision Documents
Final Remedy Selected
ROD Amendment (count as Decision Document)
Explanation of Significant Difference (ESD) (count as Decision Document)
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
Migration of Contaminated Groundwater Under Control (El)
Long-Term Human Health Protection Indicator (El)
Operation and Maintenance (O&M) Starts
OUs Construction Completion
NPL Construction Completions
Federal Facility Partial NPL Deletion
Federal Facility Final NPL Deletion
Federal Facility Five- Year Reviews
Active Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards
(SSABs)
Technical Assistance Grants (TAGs)
Sitewide Ready for Anticipated Use
Protective for People Under Current Conditions
Ready for Anticipated Use
GPRA
APG
T
T
T
T
APM
PROGRAM
Target
T
T
T
T
T
T
T
T
Measure
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
PART
Target
T
T
T
T
T
NOTE: Accomplishment data is pulled from CERCLIS on a monthly basis.
March 31,2009
D-14
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
EXHIBIT D.I. (2 OF 3) FEDERAL FACILITIES BRAC SITES
ACTIVITY
Federal Facility Agreement (FFA)/Interagency Agreement (IAG)
Federal Facility Dispute Resolution
Use of Supplemental Environmental Projects (SEPs)
PJ/FS or RCRA Facility Investigation (RFI) Starts
Decision Documents
Final Remedy Selected
ROD Amendment
Explanation of Significant Difference (ESD)
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
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)/Interagency Agreement (IAG)
RI/FS or RCRA Facility Investigation (RFI) Starts
Decision Documents
ROD Amendment
Explanation of Significant Difference (ESD)
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
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
T
T
T
T
T
T
T
T
NOTE: Definitions apply to all site categories.
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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 FY 06/07 - FY 08/09:
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: 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
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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.
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 FY 06/07 - FY 08/09:
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.
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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.
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 FY 06/07 - FY 08/09:
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 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.
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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.
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 FY 06/07 - FY 08/09:
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.
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OSWER Directive 9200.3-14-1G-T
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 Facility 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 (POST), 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 POST 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 "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., BBS 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 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
Base Closure Completions is a program measure. Base Closure Starts is a program measure. Regions may
enter acreage information through the POST or FOSL screens in CERCLIS.
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OSWER Directive 9200.3-14-1G-T
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 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)/Interagency 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 appropriate enforcement responses to non compliance
with the FFA/IAG. The FFA/IAG requirement is set forth in Section 120(e) of CERCLA. They are required
at NPL facilities no later than 6 months after the first ROD is signed at the facility.
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Definition of Accomplishment:
F FA/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: Latter of the dates that the federal agency, EPA, and/or State sign the
FFA/IAG, or the date the Letter of Intent to sign an IAG is signed by all parties. 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 FY 06/07 - FY 08/09:
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 SubAction 'IAG 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 or informally 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 FY 06/07 - FY 08/09:
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.
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. 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, RCRA CMDs, and UAOs. The estimated dollar value of the SEP must also be entered.
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Changes in Definition FY 06/07 - FY 08/09:
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
• 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 FY 06/07 - FY 08/09:
None
Special Planning/Reporting Requirements:
This is a program measure.
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).
FY 09 SPIM
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Changes in Definition FY 06/07 - FY 08/09:
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 (BSD)). 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.
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 SubAction 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 FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
The ROD Completion date is the same as the RI/FS completion date. The EE/CA completion date is the
same as the Action memo or Removal Action Decision Document completion date. The date of the RCRA
Corrective Measure Decision document is the CMS Completion date. This is a program target.
Note: One ROD document equals one ROD target completion, even if the ROD covers multiple OUs (in
addition, the pipeline action ends after a No Action ROD, do not enter RA Start or Completion dates for a
No Action ROD).
i. Final Remedy Selected
Definition:
This measure will track the Final Remedy Selected at NPL Sites. Final Remedy Selected documents will
also be tracked in CERCLIS for non-NPL sites but will not be reported to respond to the GPRA goal. 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 for a site). This can include the signature of the final ROD, ROD Amendment or
Removal Action at a site. Sites which are Construction Complete or sites deleted from the NPL may also be
eligible for a Final Remedy Determination. In general, Explanation of Significant Differences (BSD) will
not constitute a Final Remedy Selected since ESDs 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:
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• 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 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 FY 06/07 - FY 08/09:
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 SubAction 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 FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
ROD Amendments count towards the Program Target for Decision Documents.
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 Drff) is signed by the Regional Administrator
FY 09 SPIM 1X25 March 31,2009
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OSWER Directive 9200.3-14-1G-T
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 FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
ESDs 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 the actual completion date (Actual Complete) of the RD (Action Name = FF RD) or
CMD(Action Name = Corrective Measure Design).
Changes in Definition FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
This is a SCAP reporting measure. RD or CMD starts and completions are reported site specifically (Action
Name = FF RD or Corrective Measure Design) in CERCLIS.
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
March 31,2009 5^26 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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 FY 06/07 - FY 08/09:
None
Special Planning/Reporting Requirements:
This is a Management reporting tool. Data in CERCLIS will be used to calculate the timespan on a semi-
annual basis. HQ will perform the analysis.
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).
Changes in Definition FY 06/07 - FY 08/09:
None
Special Planning/Reporting Requirements:
This is a program measure. RA or CMI starts are reported site specifically (Action Name = FF RA or
Corrective Measure Implementation) in CERCLIS.
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 FY 06/07 - FY 08/09:
None.
FY 09 SPIM D-27 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
Special Planning/Reporting Requirements:
This is a Management reporting tool. Data in CERCLIS will be used to calculate the timespan on a semi-
annual basis. HQ will perform the analysis.
p. RA or CMI Completions
Definition:
A RA or CMIDis 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 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 contractor's 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.
March 31, 2009 D-28 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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 After cleanup goals have been achieved for the treated wastes, site has been
or surface water, to achieve cleanup goals (e.g., soil restored, and the Final RA Report is approved. Since wastes have been treated
vapor extraction, bioremediation, incineration). to achieve cleanup levels, no O&M activities for this remedy are expected.
After construction of the designed remedy is complete, cleanup goals have been
achieved, and the Final RA Report is approved. O&M activities follow.
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).
Groundwater and surface water restoration remedies After construction of the treatment plant and monitoring system are completed,
that involve active treatment to reduce contaminant the plant/system is operating as intended, and the Interim RA Report is
concentrations to meet cleanup goals. approved. O&M activities follow. The Final RA Report is prepared when
cleanup levels are achieved.
Groundwater and surface water restoration remedies After ROD Amendment has documented the TI waiver, other cleanup goals
where restoration is later determined to be have been achieved and Final RA Report is approved. O&M activities may
technically impracticable (TI waiver). follow if further monitoring is needed.
EXHIBIT D.2. REMEDIAL PIPELINE FLOW CHARTS
Treatment and Off-site Disposal Remedies Pipeline
*F<
Fl
RAR
t RA
w_exam|)le;_blorefnedl«ton,J3VS^
nal
eport
(no O + M requrted)
Final
RA Report
« RA »
0 + M
(no need for OPS)
Ground Water and Surface Water Restoration Pipeline
and Monitored National Attenuation
Interim Final RA Report
RA Report (Cleanup Ooals
1 r Achieved)
RA
OPS
1
OPS= Operating Properly & Successfully and applies only to BRAC sites.
FY 09 SPIM
D-29
March 31, 2009
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OSWER Directive 9200.3-14-1G-T
Changes in Definition FY 06/07 - FY 08/09:
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 WateLAN
indicating the RA was completed via an Interim or Final RA Report (Action Qualifier = Interim RA or
Final RA).
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.
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 FY 06/07 - FY 08/09:
None
Special Planning/Reporting Requirements:
See Definition of Accomplishment. Removal or RCRA ISM starts is a program measure; Removal or
RCRA ISM completions is a program measure.
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.
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.
March 31,2009 1X30 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
Changes in Definition FY 06/07 - FY 08/09:
None.
Special Planning/Reporting Requirements:
The Migration of Contaminated Ground Water survey must be completed and/or reviewed by October 7 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 CONTAIMATED GROUND WATER UNDER CONTROL
WORKSHEET
Definition: Is the migration of contaminated ground water from the site being controlled through engineered or natural processes?
Region:
State:
EPA ID:
Site Name:
Docs or did the site ha\c contaminated uround water?
JYcs
N° STOP, you do not need to
complete the GM 1:1
Insufficient
Data
Insufficient
Data
Insufficient
Data
Insufficient
Data
Insufficient
Data
SUFFICtF.lS
Step 1 . Based on the most current data on the site, has all available relevant/significant information on
known and reasonably suspected releases to the ground water been considered in this El determination?
List Site Reference Document:
^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?
Explain Rationale:
List Site Reference Document:
|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 determination?
Explain Rationale:
I .ist Site Reference Document:
|Yes
Step 4. Does "contaminated" ground water discharge into surface water bodies?
Explain Rationale:
List Site Reference Document:
fYes
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)?
Explain Rationale:
List Site Reference Document:
VYes
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?
Explain Rationale:
List Site Reference Document:
JYes
T DATA. » NT
No
— >-YES,
Site Does
Meet
Definition
No
No
No^
-*J
No
i
>. Site Doc
Not
More Information Needed
to Make Determination
YES, Site Does Meet Definition
Meet Definition
FY 09 SPIM
D-31
March 31,2009
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OSWER Directive 9200.3-14-1G-T
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/fmal eiguidance march 2008.pdf). 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.
Special Planning/Reporting Requirements:
For Federal facility NPL sites this is a GPRA APG. The Long-Term Human Health Protection worksheet
must be completed in CERCLIS and/or reviewed by October 7 of each year to reflect the status at each site
as of the end of the prior fiscal year (Program Management/Environmental Indicators).
March 31, 2009 D-32 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
EXHIBIT D.4. SUPERFUND LONG-TERM HUMAN HEALTH PROTECTION WORKSHEET
Site Name:
Date:
Estimated Current HE Under Control Date: .
Estimated Current LTHHP Under Control Date:
RPM Certified:
Exposure Paragraph for HE "Not Under Control" or "Insufficient Data" Sites is Entered in CERCLIS?
Yes: (date) No:
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-term human exposure-related cleanup
goals been met for the entire site?
Response:
No
3. Are there complete human 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 expected human
exposures associated with the complete pathways
identified in Step 3 within acceptable limits under current
conditions?
Response:
No
Insufficient Data to
Determine Human
Exposure Control Status
(HEID)
Yes
Current Human
Exposures Under Control
and Long-Term Human
Health Protection
Achieved (HHPA)
Resulting Current Human Exposure
Evaluation:
No
Current Human
Exposures Not Under
Control (HENC)
Yes
5. Is the site Construction Complete, is the remedy
operating as intended, and are engineering and
institutional controls (if required), in place and effective?
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 (HEPR)
FY 09 SPIM
D-33
March 31,2009
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OSWER Directive 9200.3-14-1G-T
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 FY 06/07 - FY 08/09:
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 FY 06/07 - FY 08/09:
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. This is a program measure.
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."
March 31, 2009 D-34 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
Definition of Accomplishment:
The following table explains coding and accomplishment requirements.
EXHIBIT D.5. 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).
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.
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.
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.
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.
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.
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.
FY 09 SPIM
D-35
March 31,2009
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OSWER Directive 9200.3-14-1G-T
Examples of last OU or activity
When Construction is Complete
Coding Requirements
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 FY 06/07 - FY 08/09:
None
Special Planning/Reporting Requirements:
Regions will not receive credit for a NPL Site 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 enters the construction completion indicator into CERCLIS. Regions identify
sites to meet the goal prior to the start of the FY. This is a GPRA annual performance goal.
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
March 31,2009
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OSWER Directive 9200.3-14-1G-T
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 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 FY 06/07 - FY 08/09:
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.
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.
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OSWER Directive 9200.3-14-1G-T
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 FY 06/07 - FY 08/09:
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.
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
March 31,2009 1X38 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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 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 FY 06/07 - FY 08/09:
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
Protectiveness determination
Protectiveness statement
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 .
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OSWER Directive 9200.3-14-1G-T
a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs)
Definition:
Site-Specific Advisory Boards (SSABs) are a forum for experts and 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 FY 06/07 - FY 08/09:
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 Board Meeting and Restoration
Advisory Board Meeting are valid Sub Actions 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 SPDVI. In addition, the TAG completion definitions
from previous years may also be used for TAGs completed within those years.
Changes in Definition FY 06/07 - FY 08/09:
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.
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OSWER Directive 9200.3-14-1G-T
c. Technical Outreach Services for Communities (TOSC)
Definition:
TOSC provides independent scientific and technical assistance to communities dealing with hazardous
substance contamination questions. TOSC provides information and education to empower communities
with an understanding of technical issues to more effectively participate in environmental decisions. TOSC
is a service of the University-based Hazardous Substance Research Centers (HSRCs) which are, in part,
supported by grants from EPA.
Definition of Accomplishment:
The start of a TOSC is the date when the MOU (Memorandum of Understanding) is signed, which is the
date of the commitment between the community and the HSRCs. The date the MOU is signed should be
reported in CERCLIS as the actual start date (Actual Start) of the TOSC (Action Name = Technical
Outreach Services to Communities).
Changes in Definition FY 06/07 - FY 08/09:
None
Special Planning/Reporting Requirements:
The region must indicate on the Community Organizations Information screen that the organization is a
TOSC recipient. This is a program measure.
D.B.5. Cross Program Revitalization Measure
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.
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 Sitewide RAU 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 Sitewide RAU
date entered into CERCLIS should be the signature date on the Checklist of the regional reviewing official.
Change in Definition FY 06/07 - FY 08/09:
In 2006, this GPRA measure was known as Sitewide Ready for Reuse. In 2007, it was renamed Sitewide
Ready for Anticipated Use.
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
FY 09 SPIM EMI March 31,2009
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OSWER Directive 9200.3-14-1G-T
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 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
March 31,2009
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FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
long-term, property use. The term "property transfer parcel" is equivalent to the term "OU" when capturing
acres for the PFP measure.
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:
• 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).
• 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).
• 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 FY 06/07 - FY 08/09:
These performance measures were implemented at the end of FY 2007.
Special Planning/Reporting Requirements:
This is a program measure. A new CERCLIS Land Reuse module was designed to track these new
measures in CERCLIS. The module was released in June 2007.
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OSWER Directive 9200.3-14-1G-T
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action Name
= PFP/RAU
Evaluation
Checklist
FOSET
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
ofFYQ4.)
c. 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 (RA U) 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 OU's 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, toxiciry 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.
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FY 09 SPIM
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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).
• POST: 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 = POST). User must also attest that ICs are in place via the
POST screen in CERCLIS.
Change in Definition FY 06/07 - FY 08/09:
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 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.
FY 09 SPIM D-45 March 31, 2009
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OSWER Directive 9200.3-14-1G-T
Data Entry Timeliness Requirement:
SPIM
Action/
Activity
Action
Name —
PFP/RAU
Evaluation
Checklist
FOSET
FOSL
POST
Activity
Type
GPRA
APG
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.)
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.
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.
March 31,2009
D-46
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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, Critial 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 RI 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 FFFS.
• 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)
• FF RD Complete (Private Party Lead) - EPA approves RD Report. (Action Name = FF RD
(Actual Complete), Action Lead: PP)
• FF RA Start (Private?arty 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 FY06/07 - FY08/09
None. These are new action definitions.
Special Planning and Reporting Requirements
TBD.
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D.C. SUBJECT MATTER EXPERTS
Exhibit D.6. identifies the subject matter experts for Appendix D: Federal Facility Response.
EXHIBIT D.6. SUBJECT MATTER EXPERTS
Subject Matter Experts
Marie Bell
Tencil Coffee
Brendan Roache
Brendan Roache
Allison Abernathy
Timothy Mott
Dianna Young
Subject Area
Budget Execution
Budget Planning
Reuse/Revitalization
Federal Facility Response
ICs/Disputes
RODs
Community Involvement
Phone #
(703) 603-0050
(703) 603-0053
(703) 603-0055
(703) 603-8704
(703) 603-0052
(703) 603-8807
(703) 603-0045
E-Mail
bell.mariefgiepa.gov
coffee.hortensiafgiepa.gov
roache.brendanfgiepa.gov
roache.brendanfgtepa.gov
abernathy.allisonfgiepa.gov
mott. timothy (giepa.gov
diana.youngfgiepa. gov
March 31,2009
D-48
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
Superfund Program Implementation Manual FY 09
Appendix E: Information Systems
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APPENDIX E:
INFORMATION SYSTEMS
Table of Contents
APPENDIX E: INFORMATION SYSTEMS E-l
E.A. INFORMATION SYSTEMS E-l
E.A.I.E.A.I. PURPOSE OF CERCLIS AND SDMS E-l
a. Site Assessment E-l
b. Remedy Selection E-l
c. Federal Facilities E-2
d. Community Involvement E-2
e. Removal E-2
f. Enforcement E-3
g. Project Management E-3
h. Program Management E-4
E.A.2.SUPERFUND DATA ARCHITECTURE E-4
E.A.3. REPORTING SUPERFUND INFORMATION E-5
E.A.4. REGIONAL USERS E-6
a. Reports Releasable under Freedom of Information Act (FOIA) E-6
b. Sensitive Information Not Releasable under FOIA E-6
c. Ad Hoc Reporting E-8
d. Accessing FOIA Information E-9
E.A.5. DATA OWNERS/SPONSORSHIP E-10
E.B. DATA SPONSORS E-10
List of Exhibits
Exhibit E.I. Superfund Data Architecture E-5
Exhibit E.2. Data Sponsors E-10
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OSWER Directive 9200.3-14-1G-T
APPENDIX E:
INFORMATION SYSTEMS
E.A. INFORMATION SYSTEMS
E.A.1. E.A.1. Purpose of CERCLIS 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. The document collections in SDMS are managed regionally and documents are selected regionally for
their collection.
Over the next 4 years steady progress is expected towards building an integrated CERCLIS - SDMS -
Institutional Controls Tracking System (ICTS). The first step towards that goal should be reached in early 2008 with
the integration of ICTS into SDMS.
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;
• Access to detailed information on each pathway score;
• 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.
b. Remedy Selection
To support the remedy selection process, CERCLIS provides the following capability:
• Add, edit, and delete Actions and Sub Actions in the site schedule and add operable units (OUs);
• 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;
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OSWER Directive 9200.3-14-1G-T
• 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 RODs;
• 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 RODs, ROD amendments, and Explanation of
Significant Differences (ESDs) 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 OUs;
• 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 (BBS) information,
detailed parcel information, Finding of Suitability to Lease (FOSL) information, and Finding of
Suitability to Transfer (POST) 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;
• 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 On-Scene Coordinators (OSCs) 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;
March 31,2009 E>2 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
• 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 RPMs and attorneys;
• Capture and retrieve information about Potentially Responsible Parties (PRPs) 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 (PPAs);
• 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 (SOLs);
• 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 RPMs and other site contacts;
• Add and delete Actions, SubActions, and new operable units to/from the schedule;
• 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;
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OSWER Directive 9200.3-14-1G-T
• 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 end of pipeline 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 (RPMs) 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;
• 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.
March 31, 2009 E-4 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
• 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.
EXHIBIT E.I. SUPERFUND DATA ARCHITECTURE
CERCLIS 3 Database Configuration
CKRCUS 3 Database
Dedicated Unix Server
UNIX (Solaris/AlX)
Oracle 9i
Enterprise Edition
10GB RAM
Mirrored Root Drive
RAID 0+1 Dam Drives
Standard EPA Windows
Workstation
Windows 2000/2003/XP
I E/Nctscape/!•'i ri:fox Browsers
CERCLIS 3 Citrix
Application Servers
Windows 2000/2003
Operating System
Citrix 4.0
IIS 5.0
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.
FY 09 SPIM
E-5
March 31,2009
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OSWER Directive 9200.3-14-1G-T
E.A.4. 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/IMB. 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).
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:
- 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.
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OSWER Directive 9200.3-14-1G-T
• 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.
• 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.
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Exemption 5 - Privileged Interagencv or Intra-Agencv 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 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
March 31, 2009 E-8 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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);
• 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 of CERCLIS 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 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.
FY 09 SPIM E>9 March 31,2009
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OSWER Directive 9200.3-14-1G-T
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*
Art Flaks
Alice Ludington
Amy Vandenburg
Alan Youkeles
Richard Jeng
Bruce Pumphrey
Mary Bell
Ruth Broome
Rich Norris
Brendan Roache
TBD
Lance Elson
Katherine Garufi
Brette Beasley
Scott Blair
Subject Area
Project Management
Work Planning (Response)
Work Planning/Budget/
Financial (Enforcement)
Budget/Financial (Response)
Construction Completion
Enforcement Compliance
Monitoring/SF Revitalization
Enforcement Cost Recovery
SOLs/Cost Recovery Process
Environmental Indicators
Federal Facilities
Federal Facilities Measures
Federal Facility Enforcement
Five Year Review / RD/RA
FOIA (OSRTI)
FOIA (OSRE)
Phone #
(703) 603-8895
(703) 603-9088
(202) 564-6066
(703) 603-9028
(703) 603-8784
(703) 603-8749
(202) 564-4222
(202) 564-2256
(202) 564-6077
(703) 603-9053
(703) 603-8704
(202) 564-2577
(703) 603-8827
(866) 635-0440
(202) 564-6023
Email
revnolds. david(3),epa. sov
flaks . art(3),epa. sov
ludinston.arice(2>,epa.sov
vandenburs.amv(8),epa.sov
voukeles.alan(8),epa.sov
iens.richard(8),epa. sov
pumphrev.bruce(@,epa.sov
bell. marv(8),epa. sov
broome .ruth(@,epa. sov
norris.rich(S>epa. sov
roache.brendan(S>epa.sov
elson.lance(@,epa. sov
sarufi.katherine(@,epa. sov
beaslev .brett(2>,epa. sov
blair. scott(@,epa. sov
March 31,2009
E-10
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
Data Sponsor
Janet Weiner
Pat Kennedy
Matthew Charsky
Tracy Hopkins
Melissa Friedland
Shahid Mahmud
Jennifer Hovis
Scott Blair
Stuart Walker
Dana Stalcup
Bill Finan
Steven Chang
Randy Hippen
Filomena Chau
Bob Myers
Sheldon Selwyn
Melanie Hoff
Alice Ludington
Scott Blair
Mary Bell
Sheldon Selwyn
Scott Blair
Freya Margand
David Reynolds
Subject Area
GPRA (OSRTI)
GPRA (OSRE)
Groundwater/Remedial
Remedy Selection
Institutional Controls/Post
Construction
Land Ready for Reuse
Mining Sites
Post Construction
PRP Data
Radioactive Sites
Removal/Counter Terrorism
Removal Implementation
Risk
Site Assessment
Special Accounts
Tribal Involvement
OSRTI Data Quality
SCAP & Enforcement (ENFR)
CERCLIS Reports
Superfund e-Facts
Community Involvement
CERCLIS SCAP Reports
Phone #
(703)603-8717
(202) 564-6061
(703) 603-8777
(703) 603-8788
(703) 603-8864
(703) 603-8789
(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)603-8851
(703) 603-8776
(703) 603-8808
(202) 564-6066
(202) 564-6023
(202) 564-2256
(703) 603-8776
(202) 564-6023
(703) 603-8889
(703) 603-8895
Email
weiner. i anet(@, epa. sov
kennedv . patricia® epa. sov
charskv.matthew(@,epa.sov
hopkins.tracv(8),epa.sov
friedland. melissa(@,epa. sov
mahmud. shahid(8),epa. sov
hovis.iennifer(8),epa.sov
blair. scott(2>,epa. sov
walker. stuarttSlepa. sov
stalcup.dana(@,epa. sov
finan.bill(2>,epa. sov
chans. steven(S>epa. sov
hippen. randv(@,epa. sov
chau.filomena(@,epa. sov
mvers .bob(2>,epa. sov
selwvn. sheldon(8),epa. sov
hoff . melanie(@,epa. sov
ludinston.alice(@,epa.sov
blair. scott(@,epa. sov
bell. marv(8),epa. sov
selwvn. sheldon(8),epa. sov
blair. scott(@,epa. sov
marsand.freva(@,epa. sov
revnolds. david(@,epa. sov
* Traditionally the lead for Project Management is the manager of CERCLIS.
FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
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Superfund Program Implementation Manual FY 09
Appendix F: Removals
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APPENDIX F:
REMOVALS
Table of Contents
APPENDIX F: REMOVALS F-l
F.A. PROTECT HUMAN HEALTH AND THE ENVIRONMENT F-l
F.A.I. Removal Actions F-l
F.A.2. Homeland Security F-l
F.A.3. Overview of Removal Actions Targets/Measures F-2
a. Removal Starts F-3
b. Removal Completions F-5
F.B. SUBJECT MATTER EXPERTS F-7
List of Exhibits
EXHIBIT F.I. REMOVAL ACTION ACTIVITIES F-3
EXHIBIT F.2. SUBJECT MATTER EXPERTS F-7
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APPENDIX F:
REMOVALS
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. 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 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.
FY 09 SPIM F-l March 31, 2009
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OSWER Directive 9200.3-14-1G-T
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
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.3. Overview of Removal Actions Targets/Measures
The Superfund Comprehensive Accomplishments Plan (SCAP) is used by the Assistant Administrator for
the Office of Solid Waste and Emergency Response (AA OSWER), Assistant Administrator for the Office of
Enforcement and Compliance Assurance (AA OECA), and senior Superfund managers to monitor 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.
March 31,2009 F^2 FY 09 SPIM
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OSWER Directive 9200.3-14-1G-T
• 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 08/09 removal activities, GPRA annual performance
goals, GPRA and program measures, and removal project support activities. 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.
EXHIBIT F.I. REMOVAL ACTION ACTIVITIES
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-financed
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 (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 Removal)
actual start date (Actual Start). The following information must be entered into CERCLIS for the
enforcement instrument:
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OSWER Directive 9200.3-14-1G-T
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-financed 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 FY 06/07 - FY 08/09:
None.
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 non-
time-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.
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OSWER Directive 9200.3-14-1G-T
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 NTC 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 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-financed 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-financed 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.
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OSWER Directive 9200.3-14-1G-T
Example: Leaking drams and contaminated soil in the area of the drams 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.
• A removal would be considered complete if:
• The scope of work for the action does not specify final off-site disposal of hazardous substances;
the substances have been stabilized and are stored on-site due to circumstances such as the
unavailability of a final treatment/disposal remedy; and no additional Comprehensive
Environmental Response, Compensation, and Liability Act (CERCLA) removal authority funds
are anticipated to be expended on this action. In this instance, no CERCLA removal authority
funds will be expended for 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 FY 06/07-FY 08/09:
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.
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F.B. SUBJECT MATTER EXPERTS
The following exhibit identifies the subject matter experts for Appendix F: Removals.
EXHIBIT F.2. SUBJECT MATTER EXPERTS
Subject Matter Expert
Josh Woodyard
Bill Finan
Subject Area
OEM Strategic Planning/
Reporting
Removal Implementation
Phone #
202-566-0738
202-564-7981
Email
woodvard.j oshuatg.epa. gov
finan.bill(@,epa. gov
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Superfund Program Implementation Manual FY 09
Appendix G: Government Performance and Results Act (GPRA)
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APPENDIX G:
GOVERNMENT PERFORMANCE AND RESULTS ACT (GPRA)
Table of Contents
APPENDIX G: GOVERNMENT PERFORMANCE AND RESULTS ACT (GPRA) G-l
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-2
c. Performance Indicators G-2
d. Verification and Validation G-2
G.A. 3. Annual Performance Report G-2
G.B. SUPERFUND GPRA STRUCTURE G-3
G.C. SUBJECT MATTER EXPERTS G-5
List of Exhibits
EXHIBIT G.I. SUBJECT MATTER EXPERTS G-5
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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.1. 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 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.
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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.2. 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 (APGs).
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.3. Annual Performance 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). The
performance report includes:
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• The performance indicators in the agency performance plan with a comparison of the program performance
achieved against the performance goal(s) that were set;
• A review of the success in achieving the performance goals;
• An assessment of the performance plan for the current fiscal year relative to the performance achieved in
the preceding fiscal year;
• An explanation and description, where a performance goal was not met, of why the goal was not met, and
either plans and schedules for achieving the performance goal or recommended action if the performance
goal is impractical or infeasible (e.g., current or future funding is inadequate, an unforeseen occurrence
impedes achievement);
• A description of the use and effectiveness of a managerial flexibility waiver in achieving the performance
goal;
• An indication of any individual or organizational consequences resulting from a failure, after using
the waiver, to maintain the previous level of performance;
• A brief explanation of the reasons for suspending or ending prematurely any waiver that was in
effect for the fiscal year;
• A summary of the program evaluations completed during the fiscal year; Performance trend data for the
three preceding fiscal years; and
• An acknowledgment of the role and a description of the contributions made by non-federal entities in the
preparation of the report.
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 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.
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• 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 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.)
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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.
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.
G.C. SUBJECT MATTER EXPERTS
The following table identifies the subject matter experts for Appendix G.
EXHIBIT G.I. SUBJECT MATTER EXPERTS
Subject Matter Expert
Richard Jeng
Patricia Kennedy
Rich Norris
Lance Elson
Augusta Wills
Brendan Roache
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 #style
(703) 603-8749
(202) 564-6061
(703) 603-9053
(202) 564-2577
(202) 564-2468
(703) 603-8704
(703) 603-8864
(703)603-8717
(202) 564-7981
(202) 564-9588
(703) 603-9092
(703) 603-8829
Email
j eng .richard(S),epa.go v
kennedv.patricia@epa.gov
norris.rich@epa.gov
elson.lance@epa.gov
wills.augusta(S),epa.gov
roache.brendan(2>epa.gov
friedland.melissafSjepa. go v
weiner.janetfaiepa. gov
finan.bill(5)epa. gov
woody ard.ioshua(5),epa.gov
hamilton.renee(5),epa. gov
hippen. randy (giepa.gov
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Superfund Program Implementation Manual FY 09
Appendix H: Community Involvement
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APPENDIX H:
COMMUNITY INVOLVEMENT
Table of Contents
APPENDIX H: COMMUNITY INVOLVEMENT H-l
H.A. FY09 TARGETS AND MEASURES H-l
H.A.I. Overview O/FY09 Community Involvement Targets/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-2
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-3
c. Regulatory and Policy Requirements H-3
d. Superfund Reforms H-4
e. Reauthorization, Congressional Inquiries, and Audits H-4
f. Superfund Reforms H-8
g. Reauthorization, Congressional Inquiries, and Audits H-8
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-9
c. Coding Guide H-9
d. Modifications (since last update) H-9
H.C. SUBJECT MATTER EXPERTS H-9
List of Exhibits
EXHIBIT H.I. COMMUNITY INVOLVEMENT REQUIREMENTS H-4
EXHIBIT H.2. CIOB HQ AND REGIONAL ROLES AND RESPONSIBILITIES H-8
EXHIBIT H.3. SUBJECT MATTER EXPERTS H-9
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APPENDIX H:
COMMUNITY INVOLVEMENT
H.A. FY09 TARGETS AND MEASURES
H.A.1. Overview of FY09 Community Involvement Targets/Measures
The Superfund Comprehensive Accomplishments Plan (SCAP) is used by the Assistant Administrator for
the Office of Solid Waste and Emergency Response (AA OSWER), Assistant Administrator for the Office of
Enforcement and Compliance Assurance (AA OECA), and senior Superfund managers to monitor the 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 FY09 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.
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.
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Changes in Definition FY06/07 - FY08/09:
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 FY06/07 - FY08/09:
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.
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).
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Changes in Definition FY06/07 - FY08/09:
The TOSC program is obsolete as of April 2007 and has been replaced by TASC. If more information is
needed regarding the definition of TOSC please refer to the FY 06/07 SPIM.
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.1. 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;
• 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.I.
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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 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 300.4 15(m)(l)
SARA Section 1 13(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 300.41 5(m)(2)(ii)
NCP Section
300.415(m)(2)(iii)
For Removal Actions Expected to Extend Beyond 120 Days
Community Interviews
Community Involvement
Plan
(CIP)
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.
CP Section 300.41 5(m)(3)(I)
NCP Section 300.41 5(m)(3)(ii)
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Site Activity Requirement(s) Citation (Source)
Information Repository
Establishment and
Notification/
Notice of Availability of
Administrative Record
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.
NCP Section 300.4 15(mX3)(iii)
For Removal Actions with a Planning Period of at Least Six Months
Community Interviews
and Community
Involvement Plan
(CIP)
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 conduct interviews and
prepare a CIP prior to completion of the engineering
evaluation/cost analysis (EE/CA)
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)
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 1 5 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 300.41 5(m)(4)(ii)
NCP Section 300.41 5(m)(4Xiii)
NCP Section 300.41 5(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-C)
SARA Section 1 17(d); NCP
Section 300.430(c)(2)(m)
NCP Section 300.430(c)(2)(iv)
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Site Activity Requirement(s) Citation (Source)
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 1 13(k); NCP
Section 300.8 15
NCP Section 300. 815
Upon Completion of the Feasibility Study (FS) and Proposed Plan
RI/FS and Proposed Plan
Notification and Analysis
Public Comment Period
on RI/FS and Proposed
Plan
Public Meeting
Meeting Transcript
Responsiveness Summary
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.
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 1 17(a); NCP
Section 300.430(f)(3)(I)(A)
SARA Section 1 17(a)(2); NCP
Section 300.430(f)(3)(c)
SARA Sections 113 and
117(a)(2); NCP Section
300.430(f)(3)(I)(E)
SARA Section 122(1); NCP
Section 300.430(c)(5)(I)
SARA Sections 113 and 117(b);
NCP Section 300.430(f)(3)(I)(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)
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Site Activity Requirement(s) Citation (Source)
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
Public Comment Period,
Public Meeting, Meeting
Transcript, and
Responsiveness Summary
Notice and Availability of
Amended ROD
Fact Sheet and Public
Briefing
Publication of Proposed
Rule and Public
Comment Period
Publication of Final Rule
and Response to
Comments
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.
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.
Remedial Design (RD)
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.
NPL Additions
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
300.435(c)(2)(n)(A)
NCP Section
300.435(c)(2)(n)(B)-(F)
NCP Section
300.435(c)(2)(ii)(G) and (H)
NCP Section 300.435(c)(3)
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)
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f. 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.
g. 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 Office (GAO). An example of inquires
specific to the Community Involvement program area is the number of Technical Assistance Grants
provided.
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.
EXHIBIT H.2. CIOB HQ AND REGIONAL ROLES AND RESPONSIBILITIES
Title
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)
Responsibilities
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 tum-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.
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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.
• 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.
ff.C. SUBJECT MATTER 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
TBD
Freya Margand
Renee Hamilton
Subject Area
Community Involvement
Federal Facilities/
SSABs/RABs
TAGs/CAGs
SPIM Coordinator
Phone #
(703) 603-9006
(703) 603-8889
(703) 603-9092
Email
byme.jim@epa.gov
margand. frey a(S>epa. go v
hamilton.renee (SJepa.gov
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