EPA540-R-98-026
United States Solid Waste and OSWER9205.5-16A
Environmental Protection Emergency Response PB98-963 234
Agency (5305W) June 1998
RCRA, Superfund & EPCRA
Hotline Training Module
Introduction to:
Superfund Administrative
Improvements/Reforms
Updated February 1998
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DISCLAIMER
This document was developed by Booz-Allen & Hamilton Inc. under contract 68-WO-0039 to EPA. It is
intended to be used as a training tool for Hotline specialists and does not represent a statement of EPA
policy.
The information in this document is not by any means a complete representation of EPA's regulations or
policies. This document is used only in the capacity of the Hotline training and is not used as a reference
tool on Hotline calls. The Hotline revises and updates this document as regulatory program areas change.
The information in this document may not necessarily reflect the current position of the Agency. This
document is not intended and cannot be relied upon to create any rights, substantive or procedural,
enforceable by any party in litigation with the United States.
RCRA, Superfund & EPCRA Hotline Phone Numbers:
National toll-free (outside of DC area) (800) 424-9346
Local number (within DC area) (703) 412-9810
National toll-free for the hearing impaired (TDD) (800) 553-7672
The Hotline is open from 9 am to 6 pm Eastern Time,
Monday through Friday, except for federal holidays.
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SUPERFUND ADMINISTRATIVE IMPROVEMENTS/REFORMS
CONTENTS
1. Introduction 1
2. Administrative Improvements (Round 1) 3
2.1 Enhance Enforcement Fairness and Reduce Transaction Costs 4
2.2 Enhance Cleanup Effectiveness and Consistency 4
2.3 Enhance Public Involvement 5
2.4 Enhance State Role 5
2.5 On-going Initiatives 6
3. Administrative Reforms 9
3.1 February 1995 Reforms (Round 2) 9
3.2 October 1995 Reforms (Round 3) 12
4. Summary 17
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Superfund Administrative Improvements/Reforms - 1
1. INTRODUCTION
Since the enactment of CERCLA in 1980, EPA and other Superfund stakeholders have
taken on the enormous task of implementing a program to identify and clean up
uncontrolled hazardous waste sites. What at first was expected to be a straightforward
process at a discrete number of sites has evolved into a much larger and complex set of
issues. EPA has had to contend with a greater and more diverse universe of sites than
originally anticipated, develop an efficient process to investigate these sites, and
implement efficient and effective remedial technologies. At the same time, the Agency
has had to conduct enforcement actions and provide for state and public involvement.
Responding to these challenges, EPA and stakeholders have made significant progress
toward reducing risks to human health and the environment from releases of
uncontrolled hazardous substances. The Agency has evaluated over 40,000 sites that
may pose risks, conducted over 3,800 early actions to protect the public and the
environment, and has completed construction of cleanup remedies at over 500 of the
Nation's worst hazardous sites.
EPA recognizes, however, that certain aspects of the Superfund program have
generated criticism. Specific complaints have focused on the pace and cost of cleanups,
the degree to which sites are cleaned, the fairness of the liability approach, the role of
states in the process, and the ability of local communities to have meaningful
participation in the process, particularly disadvantaged and minority communities.
While some of the criticism may be addressed by EPA administratively, some is beyond
the scope of the Agency's statutory authority and will have to be considered by
Congress in reauthorizing CERCLA.
The Agency has maintained an ongoing effort to address complaints and improve the
Superfund program through a series of administrative improvements and reforms. This
effort began in 1989, with the publication of A Management Review of the Superfund
Program. Also known as the "90-day Study," the Management Review is a collection of
facts and opinions contributed by EPA staff, as well as outside critics and supporters of
Superfund. These observations were synthesized into a proposed strategy for the future
implementation of the Superfund program. The proposed strategy comprised fifty
specific recommendations that emphasized immediate control of threats to human
health, efficient and effective cleanups, enforcement against PRPs, development and use
of innovative technologies, improvement of Agency procedures, and encouragement of
community participation.
In June 1991, EPA convened a 30-day Task Force to develop options for accelerating the
rate of cleanup at Superfund sites and to examine the fundamental assumptions used in
evaluating and managing risks at sites. The Task Force's report, Superfund 30-Day
Study Task Force Implementation Plan: Accelerating Cleanups and Evaluating Risk at
Superfund Sites (the "30-day Study"), was issued in October, 1991. The 30-day Study
provided six categories of alternatives: setting aggressive cleanup goals; streamlining
the response process; devoting more resources to site-specific issues that cause delay;
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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2 - Superfund Administrative Improvements/Reforms
speeding private party cleanups; addressing the debate on cleanup progress; and
reviewing risk assessment and risk management policies.
The results of the 90-day Study and the 30-day Study served as a framework for EPA's
first set of administrative changes to the Superfund program. In May 1993, the Agency
established the Superfund Administrative Improvements Task Force. The mission of
the Task Force was to explore potential administrative methods of improving the
Superfund program. The Task Force published its recommendations in a report
containing specific goals and milestones to advance the Superfund program. Areas of
focus included enhancing enforcement fairness, accelerating site cleanup, increasing
community involvement, and increasing the role of states in the Superfund process.
The Agency began piloting and implementing the recommendations immediately.
EPA continued its efforts to improve the Superfund program by implementing a series
of Superfund Administrative Reforms. Announced in February 1995, the initial set of
Administrative Reforms are organized into six general areas; enforcement, economic
redevelopment, community involvement and outreach, environmental justice,
consistent program implementation, and state empowerment. A third set of
administrative changes was released in October 1995. EPA initiated this round of
reforms to serve three objectives — make smarter cleanup choices that protect human
health at less cost, reduce litigation by achieving common ground instead of conflict,
and ensure that states and communities are more informed and involved in cleanup
decisions.
For FY 1998, EPA decided to continue the implementation of existing reforms rather
than develop a new round of reforms. The FY 1998 Superfund Reform Strategy
prioritizes response action and enforcement fairness reforms, while describing how
other reforms will be expanded beyond their original scope.
After completing this module, you will be able to:
• Explain the impetus behind EPA's efforts to improve the Superfund program,
and trace the history of these efforts
• Understand the significance of the Superfund Administrative Improvements,
and recognize those initiatives that are continuing
• Explain the February 1995, and October 1995, Superfund Administrative Reforms
and their respective roles within the Agency's overall efforts to improve the
Superfund program.
Use this list of objectives to check your knowledge of this topic after you complete this
training session.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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Superfund Administrative Improvements/Reforms - 3
2. ADMINISTRATIVE IMPROVEMENTS (ROUND 1)
Through the Superfund program, EPA has made significant progress in reducing risk
posed to human health and the environment. However, both the statutory
requirements of CERCLA and the Agency's implementation of the Superfund program
have been criticized on a number of fronts. Such criticism, coupled with the pending
lapse of CERCLA statutory authority on September 30, 1994, prompted EPA to establish
the Superfund Administrative Improvements Task Force.
The Task Force consisted of representatives from the Office of Solid Waste and
Emergency Response (OSWER); the Office of General Council, the Office of
Enforcement; the Office of Policy, Planning and Evaluation; the Office of Research and
Development; the Office of Administration and Resources Management; the
Department of Justice; and EPA Regions 2, 5, and 9. The objective of the Task Force was
to develop options for the Agency to improve the program under existing statutory
authority. In this manner EPA could address certain issues using its administrative
authority, while awaiting congressional reauthorization of CERCLA. Those criticisms
that were related to statutory requirements would have to be addressed by Congress.
On June 23, 1993, EPA published the Task Force's recommendations in the Superfund
Administrative Improvements Task Force Final Report (OSWER Directive 9200.0-14-2).
The final report established major goals of the Superfund program and designated 17
specific initiatives to achieve these goals. Nine were new initiatives announced for the
first time, the eight remaining initiatives were ongoing efforts that preceded the Task
Force. The initiatives outlined in the report were developed to enhance enforcement
fairness and reduce transaction costs, enhance cleanup effectiveness and consistency,
increase public involvement, and expand the role of states in the Superfund program.
The Agency issued no regulations pursuant to any of these initiatives. Instead, EPA
Regional and Headquarters Superfund offices implemented the administrative
improvements through policy and decision-making. The Superfund Administrative
Improvements Closeout Report (OSWER Directive 9202.1-24) details the Agency's
efforts to achieve the goals of the Improvements between June 23, 1993, and September
30, 1994, the expiration date of the Task Force's charter. The following sub-sections
briefly describe and give examples of the specific initiatives and their results, as
reported in the Closeout Report, towards achieving those goals.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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4 - Superfund Administrative Improvements/Reforms
2.1 ENHANCE ENFORCEMENT FAIRNESS AND REDUCE
TRANSACTION COSTS
To enhance enforcement fairness and reduce transaction costs associated with
determinations of liability, the Agency conducted several efforts to expand the use of
allocation tools, settle earlier with de minimis parties, encourage redevelopment of
contaminated property, and enter into mixed funding settlements.
In an effort to reduce transactions costs resulting from CERCLA litigation, EPA sought
to increase the use of Alternative Dispute Resolution (ADR), including Non-Binding
Allocations of Responsibility (NBARs). To promote a better understanding of the uses
of ADR, the Agency conducted a national Superfund ADR workshop in November
1993. The Agency also supported the use of NBARs at over 30 sites. Finally, on
September 30, 1994, the Agency issued a report entitled Developing Allocations Among
Potentially Responsible Parties for the Costs of Superfund Site Cleanups.
Many small volume waste contributors incur significant transaction costs as
enforcement investigations progress. To help expedite the resolution of the liability of
de minimis waste contributors and complete settlements earlier in the process, EPA
issued guidance on streamlining the de minimis settlement process entitled Streamlined
Approach for Settlements with De Minimis Waste Contributors Under CERCLA
§122fg)fl)fA) (OSWER Directive 9834.7-ID).
Many people are afraid to purchase contaminated property for fear of incurring
CERCLA liability. Thus the Agency produced a draft version of expanded criteria for
evaluating circumstances in which EPA may provide an administrative covenant not to
sue to a prospective purchaser of contaminated property. This initiative is a part of the
Brownfields Action Agenda, and was completed as part of the Administrative Reforms
(see Section 3.1).
Mixed funding agreements allow EPA to settle with some PRPs at a site while
continuing to pursue non-settling PRPs for cost recovery. Unfortunately, concerns
associated with liability, lengthy procedures, and documentation requirements had
resulted in EPA reaching very few mixed funding settlements. Thus the Agency
selected several sites for mixed funding settlement pilot projects to analyze procedures
for streamlining the mixed funding process and revising mixed funding policy.
2.2 ENHANCE CLEANUP EFFECTIVENESS AND CONSISTENCY
The second major goal of the Administrative Improvements is to clean sites more
effectively and consistently, with the anticipated benefits of savings in time and money.
Towards this goal, EPA has implemented the use of presumptive remedies, a Superfund
Accelerated Cleanup Model (SACM) concept (detailed in the training module titled The
Superfund Accelerated Cleanup Model). In September 1993, EPA issued guidance on
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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Superfund Administrative Improvements/Reforms - 5
presumptive remedies for municipal landfills, and on sites with volatile organic
compounds (VOCs) in soils. Several additional draft presumptive remedies were
developed as well.
In a separate initiative, EPA began developing a way of expediting site investigations
while saving time and money. In December 1994, EPA issued draft guidance for
calculating soil screening levels, which would identify and focus investigatory efforts
on those areas of a site where contaminant levels may be of concern. This effort was
completed in May 1996, with the publication of the final soil screening level guidance
(Soil Screening Guidance: User's Guide. OSWER Directive 9355.4-23 and Soil Screening
Guidance: Technical Background Document. OSWER Directive 9355.4-17A).
The Closeout Report details other EPA efforts to enhance effectiveness and consistency
in cleanups. One such effort is an interagency partnership with the U.S. Army Corps of
Engineers to set standardized design specifications for various hazardous waste
remediation activities. The Agency also issued guidance for two common site
contaminants; dense non-aqueous phase liquids, and lead. Finally, to help Remedial
Project Managers select remedial actions appropriate for the intended future use of a
site, the Agency began the development of guidance for the consideration of future land
use(s) in the remedy selection process. This initiative was completed as part of the
Superfund Administrative Reforms (see Section 3.1).
2.3 ENHANCE PUBLIC INVOLVEMENT
To further community involvement and address issues raised concerning inequities in
low income and minority communities, the Agency is pursuing initiatives to implement
an environmental justice strategy and to provide for early and more effective
community involvement. To implement EPA's environmental justice goals, the Office
of Solid Waste and Emergency Response (OSWER) developed its own environmental
justice strategy (for more information see the Brownfields Economic Redevelopment
Initiative/Environmental Justice training module). EPA also began to pilot the use of
community advisory groups to expand public participation in the Superfund remedial
process, publishing Guidance for Community Advisory Groups at Superfund Sites
(OSWER Directive 9230.0-28).
2.4 ENHANCE STATE ROLE
Although the NCP contains provisions for state involvement, EPA has made an effort to
expand the role of states in the Superfund process. As part of the Superfund
Administrative Improvements, EPA established a work group to pilot and develop
guidance for the deferral of low and medium NPL-caliber sites to state cleanup
programs. The result was Guidance on Deferral of NPL Listing Determinations While
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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States Oversee Response Actions (OSWER Directive 9375.6-11) which was released as
part of the Administrative Reforms (see section 3.1).
2.5 ON-GOING INITIATIVES
In addition to introducing the nine new initiatives, the Closeout Report also reflected
EPA's position on several existing administrative improvements developed in response
to both the 90- and 30-day Studies. These initiatives had already been implemented and
had a positive effect on the Superfund program.
The first and most prominent of the on-going administrative improvements is SACM.
At the time of the Closeout Report. EPA was still piloting SACM, and had developed
several guidance documents to support SACM implementation. SACM is described in
detail in the training module titled The Superfund Accelerated Cleanup Model (SACM).
In a second initiative intended to show Superfund program successes, EPA is
continuing its Construction Completion initiative. By December 1997, EPA had placed
500 NPL sites in the construction completion category.
Under the contracts management initiative, EPA focused on two areas for improved
performance. First, the Agency continued implementation of the Superfund Long-Term
Contracting Strategy for the next generation of Superfund contracts. Second, EPA
developed and issued guidance to improve cost planning and cost oversight.
The 90-day Study made several recommendations involving increased use of
enforcement and settlement authorities. EPA is continuing its "enforcement first"
approach by monitoring PRP compliance with existing consent decrees, administrative
orders and unilateral orders. This initiative has been carried through the
Administrative Reforms efforts.
As part of the Superfund Administrative Improvements, EPA completed several
activities to revitalize communities impacted by military base closures. EPA assisted
the Department of Defense (DoD) with guidance covering several elements of the Fast
Track Cleanup Program, including a Finding of Suitability to Lease, and Finding of
Suitability to Transfer. EPA, DoD, and the Department of Energy also developed
guidance to institutionalize accelerated cleanup approaches already in place at federal
facilities, and to further encourage efforts by federal agencies to develop streamlined
approaches to hazardous waste cleanup.
Effective cleanup technologies are needed to achieve the desired results at Superfund
sites. There have been several initiatives involving the testing of innovative
technologies at federal facilities and encouraging private companies to develop
innovative cleanup technologies. EPA's Technology Innovation Office is also reviewing
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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Superfund Administrative Improvements/Reforms - 7
the existing and potential technology databases. These on-going efforts will help
Superfund identify technologies that are most efficient and cost effective.
To ensure that PRPs perform cleanups satisfactorily and in a timely manner, EPA must
have an effective compliance monitoring and enforcement program. In November 1992,
OSWER implemented a long-term strategy for facilitating implementation of Regional
compliance monitoring and enforcement programs. The strategy focuses on the
development of Regional compliance monitoring and enforcement procedures and the
installation of enhanced compliance tracking systems.
While CERCLA §107 provides that responsible parties are liable for cleanup costs, it
does not specify which costs are recoverable. EPA published proposed regulations in
the Federal Register to clarify what costs are recoverable, how costs are determined, and
what information will support the Agency's cost recovery efforts (57 FR 34742;
August 6, 1992). While this proposed rule has been withdrawn, EPA expects to make a
future effort to clarify recoverable costs.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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3. ADMINISTRATIVE REFORMS
The Administrative Improvements initiatives were a significant Agency response to
criticism of the Superfund program, though EPA could not address all of the criticism
administratively. While it was making administrative changes to the Superfund
Program in 1993 and 1994, the Agency was also involved in discussions regarding the
reauthorization of CERCLA. September 30, 1994, marked the expiration of both
CERCLA statutory authority and the charter of the Superfund Administrative
Improvements Task Force. Though CERCLA had not been reauthorized, Congress
continued to appropriate money for its operation, allowing EPA to continue
implementing Superfund. Thus the Agency had another opportunity to make
administrative changes while awaiting reauthorization.
This section describes the Superfund Administrative Reforms, a series of initiatives
designed to continue advance the Superfund Program and to build upon the Superfund
Administrative Improvements. Some of the Administrative Reforms were actually not-
yet-complete initiatives originally announced as Administrative Improvements; others
were conceived during reauthorization hearings and discussions. The Administrative
Reforms were first introduced in February 1995. EPA announced a second set of
administrative reforms in October 1995. Each reform may be implemented under
existing CERCLA statutory authority, and using the current National Contingency Plan.
3.1 FEBRUARY 1995 REFORMS (ROUND 2)
The February 1995, set of Administrative Reforms were derived in part from the Clinton
Administration's proposal to reauthorize CERCLA. This round of 12 reforms was
organized into six general areas: enforcement, economic redevelopment, community
involvement and outreach, environmental justice, consistent program implementation,
and state empowerment. In March 1996, EPA issued the FY 1995 Superfund Reforms
Semiannual Report. February - December 1995. which provided the first summary of
the status and objectives of each initiative. The most current update of Round 2 of the
reforms is found in the Superfund Reforms Annual Report Fiscal Year 1997. which was
published in January 1998. The following summarizes each Round 2 reform.
ENFORCEMENT REFORMS
Seeking to accelerate the enforcement process, reduce transaction costs, and promote
fair and effective settlements, EPA has implemented procedures to facilitate PRP
searches, expedite settlements, and make greater use of allocation tools.
Continuing the enforcement first approach, the Agency tested streamlined PRP search
procedures at pilot sites during fiscal years 1995 and 1996. These procedures improve
the quality and the timeliness of PRP searches, while providing a foundation for the
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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10 - Superfund Administrative Improvements/Reforms
allocation process. EPA expects to publish a revised PRP Search Manual in 1997
incorporating the results of the search pilots.
Building upon the Administrative Improvement goal to expedite de minimis
settlements, EPA piloted an approach to identify, offer, and finalize such settlements
before the Record of Decision. To facilitate early de minimis settlements, the Agency
issued a summary of ability to pay guidance and models, a guidance document
standardizing the premium that de minimis settlors must pay, and a revised de minimis
model consent decree and administrative order on consent.
In response to Agency findings from the Administrative Improvements initiative to
promote the greater use of allocation tools, the Agency is continuing to examine the use
of a neutral third party to allocate shares of responsibility for cleanup costs among all
parties at a site, at a select number of allocation pilot sites. The orphan share, that
portion of response costs attributable to insolvent or defunct parties, would be assumed
by the Trust Fund. This non-binding process continues to be implemented and
evaluated at pilot sites.
ECONOMIC REDEVELOPMENT
In an effort to encourage the redevelopment of contaminated and unused properties,
EPA has initiated a series of initiatives described in the Brownfields Action Agenda.
The Action Agenda includes the funding of redevelopment pilots and grants, purging
EPA's inventory of Superfund sites (CERCLIS) of sites which are no longer of federal
interest, and identification of uncontaminated portions of NPL sites.
The Agency has removed more than 30,500 sites from its inventory of sites investigated
under CERCLA, known as CERCLIS. These sites, at which EPA had planned no further
remedial action, were removed from CERCLIS and archived. This initiative is ongoing,
and is intended to eliminate any stigma associated with these properties and promote
economic redevelopment.
Regions have been authorized to identify those areas on or adjacent to NPL sites which
are uncontaminated. This information will then be communicated to the public in an
effort to return these uncontaminated areas to productive uses despite their proximity
to NPL sites. Note that this initiative is currently being implemented as part of Round 3
of the Superfund Reforms (Partial Deletions).
The Agency has issued an enforcement policy towards owners of property containing
contaminated aquifers, and guidance for agreements with prospective purchasers of a
contaminated property. EPA also clarified its NPL listing policy describing the
geographical extent of an NPL site and developed a model comfort letter to assure
recipients of transferred federal property that the federal government has or currently is
meeting its obligations under CERCLA §120(h). Finally, the Agency has published a
policy on the issuance of comfort or status letters to purchasers and/or users of
brownfields property.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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COMMUNITY INVOLVEMENT AND OUTREACH
Several of the Administrative Reforms provide opportunities for earlier, direct, and
regular community involvement in the Superfund process. EPA has issued guidance
supporting Community Advisory Groups (CAGs), and the Regions have established 33
CAGs at selected NPL and federal facility sites. Regions have been asked to consider
other means of promoting community involvement, including providing Technical
Assistance Grants (TAGs) earlier in the process and authorizing training for TAG
recipients. Additionally, EPA plans to propose a revised TAG rule in 1998. The Agency
is studying several ways to increase community participation in enforcement activities
at a site. Proposals include inviting public comment on draft statements of work and
actively disseminating information to the community. Innovative methods are being
tested at pilot sites.
ENVIRONMENTAL JUSTICE
EPA has joined with other federal agencies to provide training and medical assistance to
low-income and minority communities living near Superfund sites. Growing out of the
Administrative Improvement goal to establish an environmental justice strategy at NPL
sites, EPA and the U.S. Public Health Service have piloted the Medical Assistance Plan
(MAP) program. MAP provides for physician training and placement, testing to assess
health effects of hazardous substance exposure, technical assistance to local agencies
and health care providers, referral services for specialists or specialty clinics, and
medical follow-up for those who have documented exposure to hazardous substances
or adverse health conditions related to possible exposure.
EPA, the Department of Housing and Urban Development, and the National Institute
for Environmental Health Sciences are cooperating on a program to share the economic
benefits of site cleanup with minority and low-income communities. Known as the
Step-Up program, the agencies will develop strategies for recruiting and training people
who live in or near Superfund sites to work in the environmental field. A related
initiative, the Superfund Job Training Initiative, focuses on job training for residents
living near Superfund sites. EPA will encourage contractors to hire individuals who
complete the training program.
The Hazardous Materials Training and Research Institute has received a grant from the
Agency to develop environmental work force training programs and conduct
workshops for community colleges located near Superfund sites. Two pilot projects
have been chosen as part of a greater effort to increase the number of community
colleges offering environmental training.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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CONSISTENT PROGRAM IMPLEMENTATION
Seeking to improve consistency in remedial actions and to streamline the response
process, the Agency has completed two Administrative Reforms, and is continuing a
third. EPA published final guidance on the use of soil screening levels, considering
future land use in the remedy selection process, and the use of presumptive remedies.
The Agency is also studying ways to further the application of innovative technologies
in remedial actions. EPA will share financial risk with PRPs who select remedies
employing low-cost, high performance technologies. The Agency released a directive
extending contractor indemnification coverage to include both the prime contractor and
the innovative technology contractor.
STATE AND TRIBAL EMPOWERMENT
EPA has implemented one initiative and is piloting two others which are designed to
increase the role of states and tribes in the implementation of the Superfund program.
As mentioned in Round 1, the Agency has published a policy on the deferral of certain
NPL-caliber sites to states, territories, commonwealths, and federally recognized tribes
where they would oversee PRP responses. In Round 2, EPA continued to empower
states and tribes by identifying ways to assist and fund state or tribal voluntary cleanup
programs which address lower risk sites. Finally, EPA and selected states and tribes are
piloting the use of flexible block funding agreements, rather than prescriptive
cooperative agreements, to transfer monies to states and tribes for the purpose of
conducting response actions.
3.2 OCTOBER 1995 REFORMS (ROUND 3)
EPA's latest efforts to make Superfund faster, fairer, and more efficient include 20
Administrative Reforms announced on October 2, 1995. This set of initiatives is based
upon three principles; select remedies that are cost-effective and protective, reduce
litigation by achieving common ground instead of conflict, and ensure that states and
communities stay more informed and involved in cleanup decisions. Figure 1
summarizes the goal and status of each initiative.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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Superfund Administrative Improvements/Reforms - 13
Figure 1
October 1995, Superfund Administrative Reforms Checklist
Topic/Results
National Remedy Review Board
EPA established a National Remedy Review Board to provide for senior
management review of proposed high cost remedies.
• Reviewed 20 proposed decisions as of November 1997
Establish New Remedy Selection Management Flags/Rules of Thumb
The document titled Rules of Thumb for Superfund Remedy Selection (PB97-
963 301) was published in October 1997 and describes key principles and
expectations on administrative reforms based on program experience, that
should be considered during the Superfund remedy selection process.
Update Remedy Decisions at Select Sites
Taking advantage of new remedial technologies or updated site information
could result in significant cost saving while remaining protective
• EPA issued Superfund Reforms: Updating Remedy Decisions (OSWER
Directive 9200.0-22)
Clarify the Role of Cost in the Remedy Selection Process
• Consolidated various policies and guidance in The Role of Cost in the
Superfund Remedy Selection Process (OSWER Directive 9200.3-23FS)
National Consistency in Remedy Selection
• Issued directive National Consistency in Superfund Remedy Selection
(OSWER Directive 9200.0-21)
Clarify Information Regarding Remedy Selection Decisions
Developed interim remedy selection summary sheet
Community Participation in Designing Risk Assessments
EPA will pilot a process for involving stakeholders early in the risk assessment
process
PRP Performance of Risk Assessments
• Published Revised Policy on Performance of Risk Assessments during
Remedial Investigations/Feasibility Studies Conducted by PRPs (OSWER
Directive 9340.1-02)
Establish National Criteria for Risk Assessments
The Agency is developing a generic Statement of Work including an outlined
technical approach to risk assessment, standardized reporting tables, and
quality assurance checklists
Standardize Risk Assessments
• EPA established a workgroup, meeting with stakeholders and issuing a
draft key issue report to develop focus areas for further work
Utilize Expert Workgroup on Lead
A workgroup has been established as a resource for risk assessments involving
lead contamination.
• The expert lead workgroup is planning an analysis of residential lead risk
assessments
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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Establish Lead Regulator for Federal Facilities
To sort various overlapping regulatory authorities, EPA has published the
"Lead Regulator Policy for Cleanup Activities at Federal Facilities on the
National Priorities List"
Consider Response Actions Prior to NPL Listing
Issued Revision to OSWER NPL Policy "The Revised HRES: Evaluating Sites
After Waste Removals" (OSWER Directive 9345.1-25)
Delete Clean Parcels from the NPL
• In an effort to communicate cleanup successes, EPA issued a Notice of
Policy Change and Procedures for Partial Deletions at NPL Sites (OSWER
Directive 9320.2-11)
• Six sites have been partially deleted
Promote Risk-Based Priority Setting at Federal Facility Sites
To aid decisionmakers facing budget constraints, the Agency will issue
guidance for prioritizing cleanup of federal facilities
Promote Risk-Based Priority Setting for NPL Sites
• A National Risk-Based Priority Panel evaluates projects and recommends
priorities for funding
Orphan Share Compensation
• The Agency published Interim Guidance on Orphan Share Compensation
for Settlors of Remedial Design/Remedial Actions and Non-Time Critical
Removals. Since FY 97, the Agency offered over $100 million in forgiveness
of past cost and future oversight costs in recognition of the orphan share
Site Specific Special Accounts
• EPA established site-specific special accounts accruing interest on settlement
funds, and ensuring that settlement money would be used at the site at
which the settlement was reached
Equitable Issuance of Unilateral Administrative Orders
• The Agency issued Documentation of Reason(s) for Not Issuing CERCLA
§106 UAOs to All Identified PRPs
Revised De Micromis Guidance
• EPA doubled the de micromis waste contributor cut-off in Revised
Guidance on CERCLA Settlements With De Micromis Waste Contributors
Adopting Private Party Allocations
• The Agency adopted private party allocations at several sites, and has
determined that current policies are adequate
Reduce Oversight of Cooperative PRPs
• EPA issued Reducing Federal Oversight at Superfund Sites With
Cooperative and Capable Parties (OSWER Directive 9200.4-15)
Authorize Remedy Selection by Selected States
• The Agency continues to pilot a process shifting remedy selection to the
state agency
Pilot Community-Based Remedy Selection Process
• Based on pilot results, EPA is developing guidelines on empowering local
citizens and stakeholders in the remedy selection process
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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Superfund Administrative Improvements/Reforms - 15
Establish Superfund Ombudsman in Every Region
• Regional Ombudsman have been named to provide a Forum for
stakeholders' concerns
Improve Communication with Superfund Stakeholders
• Created Superfund Home Page
Three and a half years have passed since CERCLA's statutory authority expired, and
administrative reform continues in lieu of Congressional restructuring of the program.
Given the large number of past reforms still being implemented, and the uncertainty of
Superfund reauthorization in the near future, EPA decided to focus for the coming year
on improving the implementation and effectiveness of existing reforms, rather than
beginning new ones. The Final FY 1998 Superfund Reforms Strategy does, however,
prioritize the existing reforms to help Regions focus their limited resources. It also lists
5 general implementation and evaluation goals for the year: commitment to the reforms
in the Regions and Headquarters; refining reforms based on experience; communicating
effectively the scope, goal and successes of the reforms; evaluating each reform to
determine the most successful efforts; and measuring the progress of each reform and
"telling the story" behind the numbers.
The reform priorities are divided between response action reforms and enforcement
reforms. Under the rubric of response action reforms, the highest priority reforms are
those that are designed to control remedy costs and promote cost effectiveness.
Examples of this include the National Remedy Review Board, the updating of remedy
decisions based on new information, science, or technology, and the use of presumptive
remedies. Additional response action reforms of high priority are those that reduce
transaction costs, enhance community and state involvement, and promote economic
redevelopment.
The main focuses of the enforcement fairness reforms are the evaluation of enforcement
pilots and the incorporation of successful ideas into the program, and the consistent
integration of enforcement reforms such as the use of de minimis settlements, orphan
share compensation, alternative dispute resolution, and expanded PRP searches, into
the base program.
In addition to the continuance of reforms, some past ideas will be expanded. In 1998
the National Remedy Review Board will start reviewing non-time-critical removals that
exceed $30 million. Updating Records of Decision will also be expanded upon, though
no concrete goals are being set by headquarters. It is up to the Regions to describe their
plan for choosing remedies to update. EPA will also seek additional ways to reduce
oversight of cooperative and capable PRPs that perform work at a site.
Among the enforcement reforms to be expanded is the orphan share reform, which will
now allow PRPs that do not perform the work at the site to also receive orphan share
compensation from the Trust Fund. Special accounts, which accrue interest on
settlement funds at a given site, will soon be used to entice PRPs to perform work by
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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16 - Superfund Administrative Improvements/Reforms
offering a share of the proceeds. Finally, the de micromis guidance has been revised,
the cutoff levels doubled, and the use of this tool is to be increased in the future.
Two other efforts have been made to improve the program recently, though neither
arose directly from a reform. One was the Municipal Solid Waste Settlement Policy,
whereby the liability for generators and transporters of municipal solid waste, as well as
the municipalities themselves, would be limited. Additionally, efforts have been made
to increase coordination with states that have voluntary cleanup programs. The basic
goal with this initiative is to encourage state voluntary cleanup programs to address
lower risk sites and streamline the process for cleaning up these sites.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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Superfund Administrative Improvements/Reforms - 17
4. SUMMARY
In response to criticism of various aspects of Superfund, EPA has implemented and
continues to implement a series of administrative initiatives intended to improve the
Superfund program as it exists under the current statute. The Superfund
Administrative Reforms focused on increasing enforcement fairness and reducing
transaction costs, improving cleanup effectiveness and consistency, expanding public
involvement, and enhancing the state role. A second round of Superfund
Administrative Reforms, announced February 13, 1995, seeks to reform enforcement,
encourage economic redevelopment, expand community involvement and outreach,
promote environmental justice, ensure consistent program implementation, and
empower states in the CERCLA process. The third round of Administrative Reforms,
announced October 2, 1995, is designed to improve Superfund by making smarter
cleanup choices that protect human health at less cost, reducing litigation by achieving
common ground instead of conflict, and ensuring that states and communities stay
more informed and involved in cleanup decisions. While some initiatives have been
completed, work on others will continue as EPA awaits statutory reauthorization of
CERCLA by Congress.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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