United States Solid Waste and PB96-963 219
Environmental Protection Emergency Response EPA540-R-96-011
Agency (5305W) OSWER Directive 9205.5-07
March 1996
RCRA/UST, Superfund, & EPCRA
Hotline Training Module
Introduction to:
Superfund Administrative
Improvements/Reforms and the
Superfund Accelerated Cleanup Model
Updated as of April 1996
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DISCLAIMER
This document was developed by Booz-AMen & 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 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/UST, Super-fund & EPCRA Phone Numbers;
National toll-free (outside of DC area)
number (within DC area)
National toll-free for the Impaired (TDD)
(800) 424-9346
(703)412-9810
(800) 553-7672
The Hotline is open from 9 am to 6 pm Eastern Standard Time,
Monday through Friday, except for federal holidays.
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SUPEEFUND ADMINISTRATIVE IMPROVEMENTS/REFORMS AND
THE SUPIRFUND ACCELERATED CLEANUP MODEL (SACM)
CONTENTS
1. Introduction ..1
2, Administrative Improvements. „...„„.,.«„„..„...... , ., ,3
2.1 Enhance Enforcement Fairness and Reduce Transaction Costs....... ......4
2.2 Enhance Cleanup Effectiveness and Consistency..................... ,. .,,,,7
2,3 Enhance Public Involvement 9
2,4 Enhance State Role , „.,..., 10
2.5 On-Going Initiatives .„ 11
3. Administrative Reforms .. ...15
3.1 February 1995 Reforms........................... . 15
3.2 October 1995 Reforms 20
4. Superfund Accelerated Cleanup Model (SACM)... ................27
5. Brownfields Economic Redevelopment Initiative. .......31
6. Summary..... ..35
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Superfund Administrative Improvements and the Superfund Accelerated Cleanup Model -1
1. INTRODUCTION
During the 15 years that the Superfund program has been in existence, EPA and other
Superfund stakeholders have made significant progress toward reducing risks to
human health and the environment from releases of uncontrolled hazardous
substances, EPA has evaluated over 40,000 sites that may pose risks, conducted over
3,700 early actions to protect the public and the environment, and has completed
construction of cleanup remedies at 348 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.
The Agency maintained an ongoing effort to address these complaints and improve
the Superfund program through administrative improvements and reforms. EPA
began its efforts in 1989, with the publication of AManagement Review jgfthg
Superfund Program. Also known as the "90-day Study/ the Management Review is a
collection of observations, facts, and opinions contributed by Agency staff, as well as
critics and supporters of Superfund, In the "90-day Study," EPA focused its attention on
enforcing PRP liability, expediting cleanup response, and encouraging community
participation.
In an effort improve the Superfund Program, the Agency established the Superfund
Administrative Improvements Task Force, consisting 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 mission of the Task Force
was to explore potential initiatives for making administrative improvements. The Task
Force published its recommendations in the Superfund Administrative Improvements
Task, Force Final Repeat f June 23,1993. The Final Report discusses 17 initiatives, 9 new
initiatives and 8 ongoing initiatives, and contains specific goals and milestones to
improve the Superfund Program. Some of initiatives address important
such as enhancing enforcement fairness, accelerating site cleanup, increasing
community involvement, and creasing the role of the state in the Superfund process.
The Superfund Administrative Improvements Closeout Report. February 1995, provides
background on the development of each of the initiatives and reports on the progress
made between June 23,1993, and September 30,1994, The Report serves to highlight
EPA's successes in meeting its goals.
The information in this document is not by any means a complete representation of EPA's regulations or policies, but
is an introduction wed for Hotline training purposes.
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2 - Superfund Administrative Improvements and the Superfund Accelerated Cleanup Model
EPA has continued its efforts to improve the Superfund program by initiating a series of
on-going Superfund Administrative Reforms. EPA announced the initial set of
Administrative Reforms in February 1995. This initial set of Administrative Reforms is
organized into six general areas; enforcement, economic redevelopment, community
involvement and outreach, environmental justice, consistent program implementation,
and state empowerment The Agency is implementing each reform under CERCLA
statutory authority, and under the current National Contingency Plan (NCP), while
awaiting Congressional action on reauthorization of CERCLA,
In October 1995, the Agency announced a third set of administrative reforms. EPA
initiated these 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.
Two of the Agency's on-going efforts to improve the Superfund program warrant
additional explanation — the Superfund Accelerated Cleanup Model (SACM), the
Brownfields Economic Redevelopment Initiative. Sections 4 and 5 of this module
examine these efforts in detail.
After completing this module, you will be able to:
• Explain the nine new initiatives in the Superfund Administrative Improvements
Task Force Report and why they were implemented
• Explain the eight on-going initiatives outlined in the Superfund Administrative
Improvements Task Force Report and their significance
• 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
• Compare the linear Superfund response process with SACM and explain their
differences
• Explain the Brownfields Economic Redevelopment Initiative, including the
selection process for the Brownfields Pilots grants and the significance of the
Brownfields Action Agenda,
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 AdminJstrathfe Improvements and the Superfund Accelerated Cleanup Model - 3
2. ADMINISTRATIVE IMPROVEMENTS
Since the enactment of CERCLA in 1980, the Superfund program has made significant
progress in reducing risk posed to human health and the environment. Seeking to
improve the implementation of the program, EPA established the Superfund
Administrative Improvements Task Force to develop options for the Agency to improve
the program that do not require changes in statutory authority. On June 23,1993, EPA
published the Task Force's recommendations in a final report.
The final report established major goals of the Superfund program and designated
specific initiatives to achieve these goals. The initiatives outlined in the report were
developed to enhance enforcement fairness, reduce transaction costs, enhance cleanup
effectiveness and consistency, increase public involvement and expand the role of states
in the Superfund program. The following is a summary of the goals and initiatives
presented in the report:
Goal: Enhance Enforcement Fairness and Reduce Transaction Costs
Initiative 1 - Make greater use of liability allocation tools
Initiative 2 - Foster more small volume waste contributor settlements
Initiative 3 - Seek greater fairness for owners at Superfund sites
Initiative 4 - Evaluate mixed funding policy
Goal; Enhance Cleanup Effectiveness and Consistency
Initiative 5 - Streamline and expedite the cleanup process
Initiative 6 - Develop soil screening levels
Goal: Enhance Public Involvement
Initiative 7 - Implement an environmental justice strategy for Superfund sites
Initiative 8 - Provide early and more effective community involvement
Goal: Enhance the Role of States
Initiative 9 - Seek deferral of certain site categories
In addition to the nine new initiatives recommended by the Task Force, EPA
incorporated eight existing ongoing initiatives into the Superfund Administrative
Improvements Final Report. The Agency developed this series of reforms to improve
the effectiveness, efficiency and equity of the Superfund program. The following is a
list of the on-going initiatives included in the report.
The information in this document is not by any means a complete representation of EPA's regulations or policies, but
is an introduction weed for Hotline training purposes.
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4 - Superfund Administrative Improvements and the Superfund Accelerated Cleanup Model
On-going Initiatives
Initiative 10 - Adopt the Superfund Accelerated Cleanup Model (SACM)
Initiative 11 - Increase the number of construction completions
Initiative 12 - Improve contracts management
Initiative 13 - Strive for enforcement first
Initiative 14 - Accelerate cleanup at base closures
Initiative 15 - Promote the use of innovative technology
Initiative 16 - Increase compliance monitoring
Initiative 17 - Improve the effectiveness of cost recovery
The Agency issued no regulations pursuant to any of these initiatives. Instead, EPA
Regional and Headquarters Superfund offices implemented the administrative
improvement initiatives through policy and decision-making. Thg_^upgrfij||d
Administrative Improvements Closeout Report 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 describe the
specific initiatives established by EPA and detail the Agency's progress, as reported in
the Closeout Report, towards achieving those goals,
2.1 ENHANCE ENFORCEMENT FAIRNESS AND REDUCE
TRANSACTION COSTS
The foundation of the Superfund enforcement program is liability. CERCLA is a strict
liability statute and the courts impose joint and several liability for site cleanup costs on
responsible parties. It has often been asserted that this liability approach creates
inequity and postpones cleanup because parties seek to avoid individual liability for the
entire cost of the site regardless of fault. Thus, parties such as small waste contributors
and landowners that did not violate environmental laws may be required to pay a large
percentage of cleanup costs or spend substantial amounts of money on transaction
costs. In response to these concerns/ the Task Force developed four initiatives to
enhance enforcement fairness and reduce transaction costs associated with
determinations of liability. The initiatives presented in this section include: making
greater use of allocation tools, fostering more small volume waste contributor
settlements, seeking greater fairness for owners, and evaluating mixed funding policy.
INITIATIVE 1; MAKING GREATER USE OF ALLOCATION TOOLS
A major goal of the Superfund program is to compel responsible parties to pay for and
conduct cleanups at abandoned and uncontrolled hazardous waste sites. Often, the
liability determination approach under CERCLA can result in delays and expensive
litigation. To mitigate these impacts/ EPA has initiated the use of alternative dispute
resolution (ADR) as a tool to facilitate PRP liability allocation deliberations. The
premise of this initiative is to use a neutral third party to assist in allocating
responsibility to PRPs and to encourage settlements.
The information in this document Is not by any means a complete representation of EPA's regulations or policies, but
is an intra'duction used for Hotline training purposes,
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SupgfundAtouiugtrativgjm|)royemg^ Cleanup Model • 5
EPA has also emphasized the use of a non-binding allocation process to promote
settlements. Non-binding allocations of responsibility (NBARs) allocate 100 percent of
response costs among all PRPs, When preparing an NBAR, EPA considers factors such
as volume, toxicity, and mobility of hazardous substances, strength of the evidence, and
PRP viability (OSWER Directive 9839.1). EPA is currently preparing additional
guidance on procedures for allocating responsibility among PRPs.
The Agency conducted several efforts to expand the use of allocation tools like ADR
and NBARs, To promote a better understanding the uses of ADR, including allocations,
the Agency conducted a national Superfund ADR workshop in November 1993. The
Agency also supported the use of NBARs at over 30 Finally, on September 30,
1994, the Agency issued a report entitled Developing Allocations Among Potentially
Responsible for the Costs of Superfund Site Cleanups, The report focuses on
allocation methods and allocation implementation issues that were identified through
interviews with nine parties from across the country who conducted or participated in
allocations,
INITIATIVE 2: FOSTER MORE SMALL VOLUME WASTE CONTRIBUTOR
SETTLEMENTS
Under CERCLA §122(g), EPA is encouraged to reach settlements early in the response
process with two types of parties; deminimis waste contributors and dem.in.imfe
landowners. The Agency may enter into demmimis settlements with parties whose
waste contribution is minimal in volume and toxicity in comparison to other hazardous
substances at the site, or innocent landowners who did not have knowledge of or
contribute to the contamination at the site. Often it is difficult to reach deminirrtij
settlements due incomplete volumetric information about the contamination. Thus, in
many cases, small volume waste contributors are not able to settle with EPA very late in
the response process, resulting in time consuming and resource intensive settlement
negotiations.
In an effort to address these concerns, the Superfund Administrative Task Force
recommended development of procedures to (1) expedite the resolution of the liability
of small waste contributors and (2) complete settlements earlier in the process,
preferably before signing the ROD. As a result, EPA issued guidance on streamlining
the de minimis settlement process entitled Streamlj:rjgriJ^
De Minimls Waste Contributors CERCLA §122f gMlMA) (OSWER Directive
9834.7-1D). This guidance presents an approach to promote settlements before the PRP
search has been completed and encourage early settlement decisions to simplify
negotiations and litigation with remaining responsible parties, EPA also published
guidance for a subset of dejminimis waste contributors known as de micromis waste
contributors, Guidance on CERCLA Settlements with DeMicmmis Waste Contributors
(OSWER Directive 983417). To determine if a PRP qualifies for this type of de minimis
settlement, a PRP must show the amount of waste they contributed was minuscule in
comparison to other hazardous substances at the site. By implementing this new
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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6- Superfund Administrative Improvements and the Superfund Accelerated Cleanup Model
approach/ EPA has entered into about 125 deminimis settlements and has identified 35
potential de minimis settlements for fiscal year 1995.
INITIATIVE 3: SEEK GREATER FAIRNESS FOR OWNERS AT SUPERFUND
SITES
To increase fairness in the application of Superfund authorities/ EPA took steps to
address three major concerns: federal liens; guidance on "all appropriate inquiry"; and
prospective purchaser agreements.
Section 107 of CERCLA provides EPA the authority to impose a lien on the property
subject to a cost recovery suit Property owners are concerned because frequently EPA
does not provide the PRP with notice before placing a lien on the property, EPA
developed a strategy to provide greater fairness for current owners of Superfund sites
entitled Supplemental Guidance on Federal Liens (OSWER Directive 9832.12-la). This
document outlines procedures to ensure the PRP is provided with adequate notice and
an opportunity to respond prior to perfecting a federal lien.
Under CERCLA §107, for purposes of determining potential liability, property owners
must have conducted "all appropriate inquiry" into the previous ownership and uses of
the property. The lack of a standard or guidance on this requirement has discouraged
many parries from purchasing or lending funds for the purchase of contaminated
property. Although EPA decided not to set an Agency standard for "all appropriate
inquiry," the Agency prepared a report that identified criteria for evaluating standards
and summarized standards and related materials developed by other organizations.
Prospective purchasers of contaminated property may not use the "innocent landowner
defense" if they had knowledge of contamination prior to their acquisition of property.
In some cases/ prospective purchasers are willing to conduct or finance cleanup work in
return for a covenant not to sue from EPA. At the time of the Closeout Report, the
Agency had 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 Superfund property. On July 3,1995, EPA published
guidance for prospective purchasers of contaminated property as part of the February
1995 Administrative Reforms, as discussed in Section 3,1 (60 FR 34792).
INITIATIVE 4: EVALUATE MIXED FUNDING POLICY
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 have
resulted in EPA reaching very few mixed funding settlements. Under this initiative,
EPA agreed to conduct a two-part evaluation to examine the benefits of using mixed
funding settlements.
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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Administrative Improvements and the Superfund Accelerated Cleanup Model - 7
The first part of the mixed funding evaluation involved collecting data to determine the
potential costs of orphan shares associated with the settlements. An orphan share is the
portion of liability allocated to PRPs who are bankrupt or the portion of the waste at a
site which is not allocable. In September 1993, EPA published the results of the study in
Funding Evaluation Report: The Potential Cost of Orphan Shares. The report
found that mixed funding could be used more frequently, particularly at sites with a
significant orphan share, because the projected costs to the fund would be minimal
compared to Superfund appropriations and other program costs. The second part of
the evaluation options for streamlining the mixed funding decision making
process and simplifying the application and documentation requirements in a mixed
funding settlement EPA has selected several sites for mixed funding settlement pilot
projects to analyze procedures for streamlining the mixed funding process and revising
mixed funding policy. As of September 30,1994, the Agency had used mixed funding
techniques to settle six cases.
2.2 ENHANCE CLEANUP EFFECTIVENESS AND CONSISTENCY
One goal of enhancing cleanup effectiveness and consistency is to reduce the time and
costs associated with the Superfund process. The next two initiatives focus on ways to
achieve this goal
INITIATIVE 5: STREAMLINE AND EXPEDITE CLEANUP PROCESS
All government programs involve evaluations of time and cost. Superfund is not free
from this evaluation, and these factors have been the basis for many of the
administrative improvement initiatives. There are five major aspects of the initiative to
streamline and expedite the cleanup process: (1) presumptive remedies, (2)
standardization of remedy design specifications, (3) guidance for addressing dense
nonaqueous phase liquid (DNAPL) contamination, (4) lead (Pb) initiative guidance, and
(5) land use.
A primary component of this initiative is presumptive remedies, a SACM concept,
which is detailed in section 4.1, Presumptive remedies have been developed for some
of the most common types of contaminated including municipal landfills, wood
preserving sites, or sites with contaminated groundwater. Pre-selected remedies can
save time in the site assessments and review of remedial alternatives and can ultimately
save money. In September 1993, EPA issued guidance on presumptive remedies for
municipal landfills, and on with volatile organic compounds (VOCs) in soils.
The second issue addressed in the streamlining initiative involves standardization of
remedy design specifications: For example, an air stripper that was designed for one
Superfund site could be adequate for other sites, so instead of redesigning new air
strippers, previously developed construction specifications could be reused to save time
and money. In the Closeout Report, the Agency detailed its efforts to set standard
specifications through an interagency partnership with the U.S. Army Corps of
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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8 - Superfund Administrative Improvements and the Superfund Accelerated Cleanup Model
Engineers (USAGE) to fund the development of standardized design specifications for
various hazardous waste remediation activities.
EPA has completed the third part of the expedited cleanup initiative by developing
guidance for sites contaminated with DNAPLs. This category of contaminants is
unique because the chemicals are more dense than water. When the chemicals are in
their pure form (Le., not dissolved in water) they may adhere to soil and clay in the
subsurface and form pools of contamination just above an aquifer. Given the right
pathways underground, these chemicals will sink rapidly. This presents a problem, for
example/ if groundwater monitoring holes are drilled in an area containing DNAPLs.
The well holes may provide the means for the heavy chemicals to migrate lower into the
ground, potentially impacting aquifers and expanding contamination plumes, EPA
developed guidance to address DNAPL concerns during site investigations entitled
Guidance for Evaluating the Technical Impracticability of Groundwater Restoration
(OSWER Directive 9234.2-25).
The fourth part of this initiative deals with lead (Pb). Lead is a common contaminant at
Superfund sites and studies have shown that it can have acute toxic effects on humans.
Two guidance documents have been issued under this initiative, Revised Interim Soil
Lead Guidance for CERCLA Sites and RCRA Corrective Action Facilities (QSWER
Directive 9355,4-12) and Guidance on Residential Lead-Based Paint. Lead Contaminated
Dujt. and Lead-Contaminated Soil. The first guidance document establishes a 400 ppm
residential screening level for lead, A screening level is merely a guideline used by site
assessors to determine if a site warrants further investigation. The residential guidance
document was issued by EPA's Office of Pollution Prevention and Toxics, under the
authority of Toxic Control Act. It is strictly used as guidance for residential
lead levels and exposure, and contains abatement information. It is not intended for use
at CERCLA and RCRA corrective action sites. It is not a Superfund document, but it is
relevant to the lead initiative administrative improvement.
The fifth and last part of this initiative is related to future use of potentially
contaminated sites. On May 25,1995, EPA released guidance on land use in the
CERCLA remedy selection process as part of the Superfund Administrative Reforms.
See Section 3,1 for a detailed discussion of this reform.
INITIATIVE 6: DEVELOP SOIL SCREENING LEVELS
As mentioned earlier, screening levels are used to identify whether contaminant levels
at a pose a concern, and are not intended to be used as cleanup levels. Sites
containing levels of contaminants in soil above the screening levels would undergo
further evaluation. In December 1994, the Agency released entitled Draft Soil Screening
Guidance (OSWER Directive 9355.4-14FS) for 107 hazardous substances commonly
found at Superfund 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 Administratiye Improvements and the Superfund Accelerated Qeanup Model - 9
The final soil screening level guidance is projected to be published early in 1996, Soil
screening levels for specific chemicals can be generated on a site-specific basis. The
generic list of soil screening levels that the Agency published in the draft guidance are
conservative and are on certain assumptions that may not be applicable to all
sites. Even though the generic soil screening levels can be used at a site, in most it
will be more appropriate to generate site-specific screening levels.
2.3 PUBLIC INVOLVEMENT
An important aspect of the Superfund program is public involvement. EPA is
responsible for educating communities and opening a dialogue about the decision-
making process at Superfund sites. To community involvement and address
issues raised concerning inequities in low income and minority communities, the
Agency is pursing initiatives to implement an environmental justice strategy and to
provide early and more effective community involvement,
INITIATIVE 7; IMPLEMENT AN ENVIRONMENTAL JUSTICE STRATEGY FOR
SUPERFUND SITES
Although the importance of public involvement in hazardous waste cleanup has long
been recognized by EPA, the lack of a support infrastructure for many communities
affected by Superfund sites still presents a problem. There are concerns that many poor
and minority communities are disproportionately burdened by pollution from
hazardous waste sites. On February 11,1994, President Clinton signed Executive Order
12898, which requires each federal agency to include environmental justice
considerations as an integral part of their work. To implement EPA's environmental
justice goals, the Office of Solid Waste and Emergency Response (OSWER) established a
task force to broaden the discussion of environmental justice issues and make
recommendations specific to waste programs.
The OSWER Environmental Justice Task Force developed an environmental justice
strategy to implement the requirements of the Executive Order The task force also
produced a report containing a number of recommendations, including issuing an
environmental justice directive addressing development of policy, regulations, and
guidance; developing interagency partnerships with the Department of Housing and
Urban Development (HUD), the Department of Agriculture, the Economic
Development Administration (EDA), the Department of Health and Human Services
and others; expanding public participation in the Superfund process through
the use of community advisory groups; and expanding risk assessment to include
multiple sources of risk in a community.
At the time of the Closeout Report, the Agency had followed through on many of the
task force's recommendations. In August 1993, EPA completed the Preliminary
Analysis of Population Demographics, a demographic analysis of 158 NPL sites. In
addition, the Agency made plans to conduct a pilot proactive site assessment program
The information in this document is not by any means a complete representation of IPA's regulations or policies, but
is an introduction used for Hotline training purposes.
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10 - Superfund Administrative Improvements and the Superfund Accelerated Cleanup Model
to ensure that areas with low income populations and minorities that warrant EPA
action are Identified. To establish trust between EPA and affected communities; EPA
established the National Environmental Justice Advisory Council (NEJAC), under the
Federal Advisory Committee Act (FACA), On September 21,1994, OSWER's Assistant
Administrator issued OSWER Directive 9200.3-17, requiring staff to evaluate each
Superfund decision document for the possibility of disproportionately adverse impacts
on minority and low-income communities. Other Agency environmental justice
activities include the development of several interagency initiatives, various community
involvement/outreach actions, and specific outreach efforts targeting Native American
Tribes.
INITIATIVE 8: EARLY AND MORE EFFECTIVE COMMUNITY INVOLVEMENT
The current Superfund program includes formal community relations provisions to
encourage public participation in the decision making process. As noted in the
Community Involvement module, these activities include developing site-specific
community relations plans, establishing an information repository and administrative
record, providing technical assistance, holding public meetings, and providing public
comment periods. Although Superfund community relations provisions are in place,
citizens and communities may feel excluded from information about the cleanup
process. For example, it is frequently difficult to obtain Technical Assistance Grants or
information on the health risks posed by the site.
To remedy the situation, EPA focused on developing a new Superfund public
participation plan. As part of this initiative EPA intends to use comments received by
citizens to enhance effective community involvement through a variety of public
outreach tools. The Agency held a meeting on September 21,1993, to hear citizens'
ideas on public participation, coordinated with regions to address issues raised at
public meetings, and identified where enhanced public participation tools will be
used. The Agency also reduced the paperwork required to obtain Technical Assistance
Grants and revised a course that educates community members on the goals of the
Superfund program as well as the stages a site must go through before cleanup is
completed.
2.4 ENHANCE STATE ROLE
Although the NCP contains provisions for involvement, EPA is considering
expanding the role of states in the Superfund process. The number of sites eligible for
the NFL is numerous, and addressing all of the sites is not possible with the funds
available on the federal level. Enhancing the state role, therefore, is a significant
administrative improvement that involves the concept of "state deferral"
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 and, the Superfund Accelerated Cleanup Model -11
INITIATIVE 9: STATE DEFERRAL OF CERTAIN SITE CATEGORIES
As part of the Superfund Administrative Improvements, EPA established a work group
to develop guidance for the state deferral program and to pilot the deferral concept at
NPL-caliber sites, EPA began a pilot study deferring low and medium NPL-caliber
to state cleanup programs. There are roughly 6,000 NPL-caliber sites (i.e., having an
HRS score above 28.5) that are not on the NPL due to procedural, budget, and time
constraints. At the time of the Closeout Report, deferral pilots were ongoing at 22 sites
in 7 different states.
2,5 ON-GOING INITIATIVES
Prior to the Superfund Administrative Improvements, EPA initiated administrative
measures to improve the program in response to the "90-day Study." These measures
have had a beneficial impact and are expected to continue improving the program. In
addition to introducing the nine new goals and initiatives, the Superfund
Administrative Improvements Final Report also reflected IPA's position on several
existing administrative improvements mat had already been initiated and had already
had a positive effect on the Superfund program. A summary of each on-going initiative
is presented in the following sections.
INITIATIVE 10: SUPERFUND ACCELERATED CLEANUP MODEL (SACM)
SACM is the most prominent of the on-going administrative improvements that EPA
incorporated into the Final Report, Due to the ramifications of its implementation on
the Superfund response process, SACM is described in detail in section 4.
INITIATIVE 11: CONSTRUCTION COMPLETIONS
The construction completion category, is an NPL designation provided to Superfund
sites where the remedial action is complete, but there may still be on-going operation
and maintenance activities. This category is an important way to show the Superfund
program successes. Since the site deletion process can be lengthy due to administrative
procedures that must be followed (ie., proposal in the Federal Register, public comment
period, and final publication in the Federal Register), it is difficult to demonstrate
program success based on the number of sites that have actually been deleted. The
Construction Completion initiative involves keeping a tally of sites in construction
completion by contacting regions frequently to obtain recent data on in this
category. By March 1996, EPA has placed 348 NPL sites in the construction completion
category,
Also, as part of the construction completion initiative, EPA produced several guidance
documents, including the Sygerfund Construction CompletionCare Package. May 1993,
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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12 - Superfund Administrative Improvements and the Superfund Accelerated Cleanup Model
and the NFL Construction Completion Definition at lioremediatiQii and Soil Vapor
Extraction Sites (OSWER Directive 9320.2-06, June 21,1993),
INITIATIVE 12; CONTRACTS MANAGEMENT
EPA relies on the services of contractors to investigate the type and extent of
contamination, identify cleanup options, and perform response actions. 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 (LTCS) for the next generation of Superfund contracts. Second, EPA developed
and issued guidance to improve cost planning and cost oversight,
EPA developed the LTCS to analyze long-term contracting such as oversight and
cost management and to ensure that sufficient funds are used for actual site cleanup
rather than administrative activities. On March 15,1994, EPA completed the Long-
Term Contracting Strategy Review Final Report that recommended adjustments to the
strategy, including providing more for contract management in the Regions.
As part of the Superfund base budget review for FY1995, EPA redirected resources to
contracts management in the Regions.
In addition to the LTCS, the Agency also developed and issued several guidance
documents to increase the effectiveness of EPA's contracts management procedures and
control costs, including the Guide for Preparing Independent Government Cost
Estimates (July 29,1993) and the Cost Management Manual for Superfund 0une 23,
1994).
INITIATIVES; ENFORCEMENT FIRST
From CERCLA's inception, aggressive enforcement efforts were necessary to compel
PRP cleanup. The "enforcement first" concept was developed early on to encourage
responsible party cleanup and integrate response and enforcement activities. The "90-
day Study" made several recommendations which involved the increased use of
enforcement and settlement authorities and EPA is continuing its " enforcement first"
approach. EPA continues to monitor PRP compliance with existing consent decrees,
administrative unilateral orders. In addition, EPA will develop draft
guidance that will establish procedures for regional offices to follow to monitor
CERCLA compliance,
INITIATIVE 14: ACCELERATE CLEANUP AT BASE CLOSURES
In July 1993, President Clinton announced a five-part plan for revitalizing communities
impacted by military base closures. The goals of the program were to ensure that
environmental cleanup took place as quickly as possible, and to hasten redevelopment.
As part of the Superfund Administrative Improvements, EPA completed key
activities under this 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 HotMne training purposes.
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Superfund Adminis|ratiyejmgrgvements and the Superfund Accelerated Cleanup Model - 13
In September 1993, EPA assisted the Department of Defense (DOD) with guidance
covering several elements of the Fast Track Cleanup Program, including Finding of
Suitability to Lease (FOSL), The FOSL addresses restrictions or limitations on reuse
necessary to protect human health and the environment EPA also provided input to
DOD for guidance on Finding Suitability to Transfer (POST), although the POST
guidance released by DOD on June 1,1994, does not fully reflect the position developed
jointly by EPA and DOD.
On August 22,1994, EPA, DOD, and the Department of Energy signed the Guidance on
Accelerating CERCLA Environmental Restoration at Federal Facilitigs- The three
agencies developed the 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. EPA incorporated into
the guidance those SACM initiatives that have application at federal facilities,
INITIATIVE IS: PROMOTE USE OF INNOVATIVE TECHNOLOGY
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 (TIO) is also
reviewing the existing and potential technology databases. These on-going efforts will
help Superfund identify technologies that are most efficient and cost effective,
As part of the administrative improvements, through a cooperative agreement with
TIO, Clean Sites, foe. (a public interest organization which works with governments,
private companies, and communities to foster collaboration at Superfund cleanups),
worked to establish several partnerships between various federal agencies, states, and
Fortune 500 companies. The Agency also developed an EPA Policy for Innovative
EnvironmentalTechnologies at Fed era! Facilities that reaffirms that federal facilities
should be used as test and demonstration centers for innovative technologies.
Specifically, the policy encourages remedial project managers (RPMs) to be flexible at
federal facility sites, allowing greater use of innovative technologies,
INITIATIVE 16: COMPLIANCE MONITORING
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.
The information in this document is not by any means a complete representation of EPA's regulations or policies, but
nt is not by any means a complete representation of EPA's regulations or policies, 1
is an introduction used for Hotline training purposes.
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14 - Superfund Administrative Improvements and the Surperfund Accelerated Cleanup Model
INITIATIVE 17: IMPROVE THE EFFECTIVENESS OF COST RECOVERY
CERCLA authorizes EPA to either enter into settlements with responsible parties or
recover cleanup from responsible parties when the Agency conducts the cleanup.
While CERCLA §107 provides that responsible parties are liable for cleanup costs, it
does not specify which costs are recoverable. EPA also 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, EPA is still
considering changes to the proposed Cost Recovery Eule before it is finalized (57 EE
34742; August 6,1992),
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 and the Superfund Accelerated Cleanup Model -15
3, ADMINISTRATIVE REFORMS
This section describes the Superfund Administrative Reforms/ a series of initiatives
designed to continue to build upon the Superfund Administrative Improvements. 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 under the current
National Contingency Plan, while awaiting Congressional action on reauthorization of
C1RCLA.
3.1 FEBRUARY 1995
The February 1995, set of Administrative Reforms is organized into six general areas;
enforcement economic redevelopment, community involvement and outreach,
environmental justice, consistent program implementation, and state empowerment,
ENFORCEMENT REFORM
Seeking to accelerate the enforcement process, reduce transaction costs, and promote
fair and effective settlements, EPA will implement procedures to facilitate PRP searches,
expedite settlements, and make greater use of allocation tools.
Facilitate PRP Searches
Continuing the enforcement first initiative, the Agency plans to test streamlined PRP
search procedures at pilot sites during fiscal years 1995 and 1994 These procedures will
improve the quality and the timeliness of PRP searches, while providing a foundation
for the allocation process. Additionally, EPA will make certain enforcement
information more accessible to the public.
Expedite Settlements
Building upon the Administrative Improvement goal to expedite de minimis
settlements, EPA proposes to identify, offer, and finalize such settlements before the
Record of Decision. This approach will be piloted at select sites in 1995. To assist
Regions and private parties in making ability to pay determinations, the Agency has
summarized its ability to pay guidance in Overview of Ability to Pay Guidance and
Models, issued in May 1995.
Cost Allocations
In response to Agericy findings from the Administrative Improvements initiative to
promote the greater use of allocation tools, the Agency plans to examine the use of a
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-SMgerfuBd Adm Model
neutral third party. This third party would allocate shares of responsibility for cleanup
costs among all parties at a site. 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 will be conducted at pilot sites in fiscal years 1995 and 1996.
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 (discussed
in Section 5 of this module), encouragement of state and tribe voluntary cleanup
programs, purging EPA's inventory of Superfund sites (CEECLIS) of sites which are no
longer of federal interest, and identification of uncontaminated portions of NFL sites,
Voluntary Cleanup Programs
EPA is working with states, tribes, and municipalities to help develop cleanup
programs. The Agency will provide limited financial assistance for these efforts, which
could reduce the need for federal involvement at many low-risk, contaminated, and
unused properties,
Refining CERCLIS
The Agency has removed approximately 25,000 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 placed in an
"archive" list. This initiative is ongoing, and is intended to eliminate any stigma
with these properties and promote economic redevelopment.
NPt Clarification
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.
Because CERCLA contains a broad liability scheme, and because cleanup can be very
expensive, contaminated properties are often overlooked for development or slow to be
returned to productive use. The Agency has issued several guidance documents which
provide options for removing these liability barriers, and clarify liability issues
associated with contaminated properties.
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 and the Superfund Accelerated Cleanup Model -17
Liability of Owner of Property Containing Contaminated Aquifers
The Final Policy Toward Owners of Property Containing Contaminated Aquifers states
thit the Agency will not take enforcement actions against owners of property which
contains an aquifer contaminated solely as the result of subsurface migration from a
source outside of the property, subject to certain conditions (60 FR 34790; July 3,1995),
Prospective Purchaser Agreements
In a revision of existing guidance, EPA expanded the circumstances under which it
would consider entering into an agreement with a prospective purchaser of a
contaminated property in the Guidance on Agreements .with..Prospective Purchasers of
Contaminated Property (60 PR 34792; July 3,1995), EPA will consider entering into a
prospective purchaser agreement when the agreement benefits EPA or some
combination of EPA and the public; activities.at the property will not interfere with
response actions, aggravate contamination, or pose health risks to the community or
persons involved with the site; and the prospective purchaser is financially viable.
NPL Listing Policy
The Agency clarified its NPL listing policy in an August 3,1995, memorandum. NPL
sites are often described informally, on a "fenceline to fenceline" basis, for example the
"Smith Factory Site." However, the release may have been confined to discrete parcels
of the site, or may extend beyond the boundaries of the property name used to refer to
the site.
Transfers of Federally Owned Property
On August 9,1995, EPA issued a memorandum entitled "Transmittal of the Model
Comfort Letter Clarifying NPL Listing Policy, Uncontaminated Parcel Identifications,
and CERCLA Liability Involving Transfers of Federally Owned Property." The
memorandum states that while a parcel of land may lie within the area described as an
NPL site, the parcel would only be considered to be part of the NPL site if it was
contaminated. In addition, the liability of a purchaser of such a parcel would depend
on whether the parcel met the CERCLA §101(9) definition of "facility" and
whether a release (CERCLA §101(22)) or threatened release of a hazardous substance
occurred at the facility. Lastly, the model comfort letter clarifies provisions of CERCLA
§120(h) involving the transfer of federal property,
COMMUNITY INVOLVEMENT AND OUTREACH
Several of the Administrative Reforms provide opportunities for earlier, direct, and
regular community involvement in the Superfund process. Specifically, EPA will
support Community Advisory Groups (CAGs), augment the Technical Assistance Grant
(TAG) program, and examine ways to involve the community in enforcement actions.
The inforaiation 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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EPA has issued guidance supporting C AGs, and is encouraging Regions to establish
CAGs at selected NPL and federal facility sites. Regions have been asked to consider
other means of promoting community involvement, including providing TAGs earlier
in the process and authorizing training for TAG recipients. 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 will be 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,
Medical Assistance Flan
Growing out of the Administrative Improvement goal to establish an environmental
justice strategy at NPL sites/ EPA and the U.S. Public Health Service are piloting the
Medical Assistance Plan (MAP) program at three sites in fiscal year 1995. 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,
Step-Up Program
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. Under 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.
Curriculum Development
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.
CONSISTENT PROGRAM IMPLEMENTATION
Because the Superfund process employs site-specific cleanup levels, each site must
undergo an intensive evaluation to establish cleanup goals and select remedies. To
improve consistency and streamline the evaluation process, EPA has developed
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 and the Superfund Accelerated Cleanup Model -19
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.
Soil Screening Levels
Soil screening levels are levels of contamination in soil below which no further
investigation is warranted. The use of these levels is expected to accelerate the site
assessment process by allowing a site manager to quickly determine of a site
which are not of concern under CERCLA, The site manager may then focus on areas
that require additional study. EPA plans to issue final guidance on the use of soil
screening levels by Spring 1996.
Considering Future Land U§e
The Agency has completed an Administrative Improvement initiative and issued Land
Use in.the CERCLA Remedy Selection Process, a directive which emphasizes the
consideration of future land uses when selecting a remedy at NPL sites. Communities
are asked how they anticipate using the property after remedial action is complete. The
RI/FS focuses on that land use, and a remedy is selected consistent with the anticipated
land use. This policy is expected to produce expedited, cost-effective cleanups, as well
as greater community support for selected remedies,
Presumptive Remedies
An initiative started during Administrative Improvements, EPA will continue to
develop presumptive remedies for contaminated groundwater, wood treatment
facilities, PCB-contaminated sites, manufactured gas plants, and grain storage sites.
Supporting Innovative Technology
EPA will share financial risk with PRPs who select remedies employing low-cost, high
performance technologies. The Agency will also identify barriers to the selection and
use of innovative technologies.
STATE AND TRIBAL EMPOWERMENT
Although the federal government has the primary responsibility for implementing the
Superfund program, EPA has identified three initiatives to increase the role of states
and tribes in the program's implementation. The Agency will participate in the
development of voluntary cleanup programs, implement a policy to defer certain
cleanups to states, and identify ways to provide block funding to states and tribes to
conduct response actions.
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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20 - Stujerfund Administrative Improvements and the Superfund Accelerated Cleanup Model
Voluntary Cleanup Programs
EPA will identify ways to assist fund, or endorse state or tribal voluntary cleanup
programs which address lower risk sites,
State Deferral
Begun during Administrative Improvements, the Agency has published its policy on
deferring certain NPL-caliber sites to the state for response action, entitled Guidanceon
Deferral of NPL Listing Determinations While States Oversee Response Actions. Under
certain conditions, EPA will allow states and tribes to perform response actions,
allowing some sites to be addressed sooner than if the Agency retained responsibility.
Block Funding
EPA, states, and tribes are working together to identify options to streamline the
cooperative agreement process through block funding.
3,2 OCTOBER 1995 REFORMS
EPA's latest efforts to make Superfund faster, fairer, and more efficient include 20 new
Administrative Reforms announced on October 2,1995. This set of reforms 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. These are the final
reforms EPA plans on implementing without new reauthorizing legislation since the
Superfund funding may run out soon.
SELECT REMEDIES THAT ARE COST-EFFECTIYE AND PROTECTIVE
CERCLA §121 (d) mandates a level of cleanup which is protective of human health and
the environment. However, EPA is faced with a large inventory of uncontrolled
hazardous waste sites and limited resources with which to address them. Thus the
Agency has proposed four reforms to fulfill the mandate of CERCLA §121(d) while
controlling remedy costs and promoting cost-effectiveness,
Establish Cost-Effectiveness Thresholds and New "Rules of Thumb"
EPA will establish a National Remedy Review Board, composed of senior Agency
experts, to review proposed high cost remedies at specific sites. The Board would
review proposed remedies where estimated costs exceed $30 million, or where
estimated costs exceed $10 million and are 50 percent greater than the costs of the least
expensive, protective, and ARAR-compliant remedy. Regional decisionmakers will be
expected to consider the Board's recommendations in the final remedy selection
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 Improvement? and the Superfpnd Accelerated Cleanup Model - 21
decisions. Further EPA will develop "rules of thumb" to ensure that other costly and
controversial remedy selections will be reviewed by senior management.
Update Remedies at Selected Sites
To take advantage of innovative technologies that provide for more efficient and cost-
effective cleanups, EPA proposes to reassess remedial actions at selected sites. The
Agency will study whether updating the remedy would result in cost savings or
increases in efficiency while maintaining the same level of proteetiveness,
Clarify the Role of Cost Throughout the Remedy Development Process
EPA will release two new directives intended to emphasize cost considerations
throughout the remedy development process. The first will explain the role of cost, and
how the Agency will determine whether a potential remedy is cost-effective. The
second directive will promote consistency among Regional offices in the application of
land use policies, groundwater restoration, and implementation of presumptive
remedies,
Clarify Information Regarding Remedy Selection Decisions
The Agency will publish summary sheets for each ROD to provide a concise and
understandable summary of the nature of the threats posed by a site, and actions taken
to address those threats. Each ROD Summary Sheet would also detail the tradeoffs EPA
considered in selecting the remedy for a site.
As part of a larger effort to improve the risk assessment process, EPA is proposing to
solicit stakeholder input on the design of risk assessments. The Agency is also focusing
on the consistent implementation and the standardization of some components of the
risk assessment process. Finally, EPA has created a workgroup to provide expert
assistance to Regions when conducting risk assessments at lead-contaminated sites.
Include Stakeholder Input in Risk Assessments
EPA will pilot a process which requests early stakeholder input on land use
assumptions, exposure pathways, and characteristics of affected populations. This
information would help form a framework for the risk assessment and a realistic basis
for developing cleanup options. Additionally; EPA will allow PRPs conducting the
RI/FS to perform risk assessments under limited circumstances,
Ensure Reasonable and Consistent Risk Assessments
The Agency will establish national criteria which Regions can use to review, approve
and report Superfund risk assessments. The of standard review practices and
checklists will help ensure national consistency and eliminate unlikely exposure
scenarios, EPA further proposes to ensure consistency by standardizing parts of the
The information in this document is not by any means a complete representation of IPA's regulations or policies, but
is an introduction used for Hotline training purposes.
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jjyndthe Superfiind Accelerated Cleanup Model
risk that vary little from site to site, and by developing presumptive default
assumptions about exposure for different types of land or activities.
Lastly, the Agency has created an expert workgroup to support involved in risk
assessments at sites contaminated with lead.
Some sites are subject to several federal regulatory authorities, such as CERCLA, RCRA,
and state provisions. These different authorities may have similar goals, but may
promote different methods to achieve those goals. EPA is seeking to clarify the roles of
various regulatory authorities to simplify the cleanup process.
Foster Integration of Overlapping Cleanup Programs
EPA is chairing an interagency workgroup charged with developing guidance that will
specify roles and outline general principles that various federal and state regulatory
stakeholders should follow when a response is implemented under multiple legal
authorities. The guidance is expected to be issued in early 1996.
The listing of a site on the NPL often discourages interested parties from reusing or
redeveloping the property. To help remove the stigma of NPL listing, the Agency will
revise guidance on listing sites on the NPL and issue new guidance on the deletion of
clean parcels of a site from the NPL.
Revise Listing Policies
EPA will revise current guidance in early 1996 to allow current or recent response
actions to be considered when proposing a site to the NPL. The guidance will direct the
Agency to evaluate a site based on whether the response action has reduced
contamination to a level protective of human health and the environment. EPA would
consult with the state or tribe, the Agency for Toxic Substances and Disease Registry,
and the local community in making this decision.
Partial Deletion Policy
EPA published its policy on partial deletion of sites listed on the NPL on November 1,
1995 (60 FR 55466). Portions of NPL sites may be deleted when no further response
action is appropriate for those portions of the site. Such partial deletions will effectively
communicate cleanup progress, and stimulate the return of property to productive use.
Faced with limited resources, EPA and other federal must prioritize cleanup
efforts. EPA has proposed to conduct national risk-based priority setting for both
federal facilities and non-federal facility sites,
Establish National Priority Systems for Funding Cleanups
The Agency will issue guidance to the Regions endorsing the use of priority setting
systems developed by federal agencies to evaluate federal facilities for cleanup efforts.
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 Adtninistrative Improvements jind tiheSiip^
Priorities will be risk-based, addressing the "worst problems first/' Both regulators and
stakeholders will participate in identifying priority projects. Individual have
already prioritized their non-federal sites, and Trust Fund money has
accordingly, A panel of Headquarters and Regional program managers will
priorities on a national level based on risks to humans, ecological risks/ stability of
contaminants, contaminant characteristics, and economic, social, and program
management considerations,
REDUCE LITIGATION BY ACHIEVING COMMON GROUND INSTEAD OF
CONFLICT
A major Administrative Improvements and Reforms goal has been to increase fairness
in the enforcement process. EPA has received criticism that cleanup costs are not
distributed fairly, that settlement funds do not always go to the site at which the
settlement was reached, and that cleanup orders are not issued fairly. The Agency has
proposed to address these concerns by compensating settling parties for a portion of the
orphan share, ensuring that settlement funds are dedicated to specific sites, and issuing
cleanup orders in an equitable manner.
Compensate Settlers for a Portion of the Orphan Share
Subject to adequate funding, EPA will seek to compensate parties performing cleanup
for a portion of the orphan share of cleanup costs. If circumstances do not permit
orphan share compensation, the Agency will explore providing funds for a portion of
the work, or performing part of the work itself, in an attempt to equitably distribute the
cost of cleanup.
Ensure Settlement Funds are Dedicated to Specific Sites
EPA is negotiating with the Department of the Treasury and the Office of Management
and Budget to establish site-specific, interest-bearing accounts. Settlement funds will be
placed in these accounts and be available exclusively for the site at which settlement
occurred.
Issue Cleanup Orders to Parties in an Equitable Manner
Regions will implement a process in which each decision to exclude a party from a
cleanup order is reviewed by a regional decisiomnaker, ensuring that parties are not
inappropriately excluded from enforcement actions. This will be an additional step in
implementing Guidance on CERCLA Section 106fa^ Unilateral Administrative Orders
for Remedial Designs and Remedial Actions (OSWER Directive 9833.0-la). This
guidance directs enforcement staff to issue orders to the largest manageable number of
parties, after evaluating a party's liability, financial viability, and waste contribution to
the site.
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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24 -jjuperfundj\djnninigtrativc Improvements and the Superfund Accelerated Cleanup Model
Building on previous Administrative Improvements and Reforms, EPA will enact three
new initiatives to reduce transaction costs. In the first initiative,, the Agency will double
the threshold level for small volume waste contributors. Second, EPA will adopt
private party allocations that have attributed shares to all participating parties. Finally,
the Agency may reduce oversight of cooperative PRPs who perform response activities.
Increase Number of Protected Small Contributors
Though EPA has policy against taking enforcement action against the smallest waste
contributors (de rrueromis parties), these parties may still be threatened with litigation
by other private parties. In order to protect small contributors from such
contribution suits, the Agency will settle with these parties for one dollar, EPA has
established threshold levels to identify de micromis parries which will be, at the
minimum/ double the level previously identified for small waste contributor
protection.
Adopt Allocations Proposed by Parties at a Site
In negotiating EPA to allocate shares of cleanup costs amongst
parties at a site. The Agency will now review allocations made by private parries
themselves, using criteria such as methodology of allocation, inclusion of all parties
including any orphan share, and fairness. If the allocation meets EPA approval, the
Agency will attempt to provide compensation for a portion of the orphan share,
Reduce Oversight for Cooperative Parties
The Agency will reduce or tier oversight of parties who perform high quality work and
cooperate throughout the response and enforcement processes, EPA will, however,
continue to provide some oversight to ensure that the cleanup is performed in a timely
and proper manner,
ENSURE THAT STATES AND COMMUNITIES ARE MORE INFORMED AND
INVOLVED IN CLEANUP DECISIONS
The NCP gives EPA ultimate authority for selecting remedies at NPL sites. In a final set
of reforms, EPA is seeking to further empower states and communities by giving them
direct input into remedy selection. The Agency will allow certain states to conduct the
remedy selection process. At some NPL sites, communities will be given a direct role in
selecting a remedy.
Shift Remedy Selection Process to Selected States
EPA and qualified states will enter into cooperative agreements, giving those states
control over the remedy selection process for certain NPL sites. Each state must select
the remedy consistent with both CERCLA and the NCP, and the Agency will provide
minimal oversight.
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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Sugerfund Administrative Improvements and the Superfimd Accelerated Cleanup Model - 25
Pilot New Community-Based Remedy Selection Process
The Agency learned during the course of Administrative Improvements that
community working groups can be effective in assisting in remedy selection decisions.
In a number of pilots to be selected in fiscal year 1996, EPA will seek to provide
communities with sufficient understanding of CERCLA statutory/ regulatory, and
policy objectives to enable them to play a direct role in the remedy selection process.
While the Agency hopes pilot participants will select a remedy consistent with such
objectives, it wiU retain final decisionmaking authority. Guidance describing various
options to increase community involvement will be developed in winter 1996,
While other reforms give stakeholders increased opportunities to become involved in
the Superfund program, 1PA has proposed two reforms that would help with problem
resolution and increase communication between all parties. First, each Region will
designate an Ombudsman to address stakeholder concerns. Second, the Agency will
use tools such as electronic bulletin boards and educational institutions to improve
communication among stakeholders.
Establish a Regional Ombudsman
By March 31,1996, each region nominated an Ombudsman to address stakeholder
concerns at the Regional level. The Ombudsman has two functions; to help resolve
issues that cannot be resolved informally between Regional staff and stakeholders, and
to serve as a resource for information related to common Superfund concerns. This
person will be in direct contact with stakeholders, and report to a top Regional
management official.
Improve Stakeholder Communications
EPA will create an Internet-accessible bulletin board to improve
communication among stakeholders, and to provide access to state and federal
Superfund guidance. Universities and the Hazardous Substance Research Centers may
be used to provide further information and assistance to communities located near
Superfund sites.
The information in this document is not by any means a complete representation, of HPA's regulations or policies, but
is an introduction used for Hotline training purposes.
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26 - Sutjerfund Administrative Improvements and the Superfund Accelerated Cleanup Model
The information in this document is not by any means a complete representation of BPA's regulations or policies, but
is an introduction used for Hotline training purposes.
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Su-perfund Administrative Improvements and the Superfund Accelerated Cleanup Model - 27
4. SUPEHFUND ACCELERATED CLEANUP MODEL (SACM)
Of all the Agency's efforts to improve the Superfund Program, the Superfund
Accelerated Cleanup Model and the Brownfields Economic Redevelopment Initiative
are particularly noteworthy. For this reason, the following sections include a detailed
discussion of the activities conducted by EPA under these two initiatives /reforms.
Since the inception of Superfund many lessons have been learned. The removal and
remedial processes at Superfund sites are time consuming and expensive. The
Superfund process has proven to be problematic because it takes a linear approach to a
multifaceted cleanup, and it contains inherent redundancies in site assessment To
respond to these issues, EPA introduced SACM as a new improved alternative to
approaching Superfund site cleanups in April 1992.
The main goak of SACM are to achieve immediate risk reduction at more sites, perform
more efficient and cost effective cleanups, and avoid duplicative site assessments. This
paradigm is consistent with the NCP, and does not require major regulatory
amendments. After conducting and reviewing pilot studies, EPA announced its
expectation for full implementation of the SACM process at Superfund sites (OSWER
Directive 9203.1-13), The primary aspects of the SACM process are described below and
presented in Figure 1.
SITE SCREENING AND ASSESSMENT
The site screening and in the SACM process combines the preliminary
assessment and the site investigation to ensure a site is assessed thoroughly once,
without repetitive and duplicative steps. If the site is determined to be seriously
contaminated, HRS and Rl/FS level data is collected and a risk assessment is
conducted. If the site is not contaminated enough to be placed on the NFL, it may be
deferred to another authority such as the state, or RCRA, For more guidance on this
aspect of the SACM process, refer to Assessing Sites Under SACM --Interim Guidance
(OSWER Directive 9203,1-051).
REGIONAL DECISION TEAM
Determining whether a site should be considered for the NPL requires thorough
deliberation. For this reason, the SACM process incorporates a Regional Decision Team
(RDT) to oversee the activities and help make effective decisions about site response.
The RDT consists of experienced managers in Superfund enforcement, site and risk
assessors, the On-Scene Coordinator, the Remedial Project Manager, community
relations coordinators, and state officials. The team provides for greater flexibility in the
Superfund process and as a traffic cop by determining whether a site receives (1) no
action, (2) early action, (3) long term action, or (4) deferral to RCRA, the state, or another
authority. More guidance on the RDT can be found in SACM Regional Decision Teams
-- Interim Guidance (OSWER Directive 9203.1-051).
The information in this document is not by any means a complete representation of BPA's regulations or policies, but
is an introduction used for Hotline training purposes.
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2S - Superfund Administrative Improvements and the Superfund Accelerated Cleanup Model
Figure 1: Two Versions of the Superfund Site Evaluation and Cleanup Process
Entoresmant
MMtssI
State
Curent Superfund
Process
Site
Qlscwary
Preliminary Assessment (PA)
Site Assessment (SI)
Expanded SBa Inspection (ES!)
Hazard RinWrw System (HRS)
National Priorities List (NPL)
I
Remedial Investigation (R|)
Feasibility Study (FS)"
I
SeiacBon of Bsmedy/
Record of Decision (ROD)
i
Remedial Design
(RD)
I
Remedial Action
PA)
i
Qperaitai and
Maintanarwje (O&M)
I
NPL
Deletion
* Indicates aswsunent phasa of
pipeline
Superfund Accelerated
Cleanup Model {SACM)
Stte Screening &
Assesssment
(PA, Si, ESI, Rl)
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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Superfttnd Administrative Improvements and the Superfund Accelerated Cleanup Model - 29
1ARLY ACTIONS
An early action operates under the same authority and follows the same process
outlined in the NCP for removal actions. The types of response included in the early
action are emergency removals, time critical responses, and non-time critical responses.
In addition, early actions can include early remedial actions where identification of
applicable or relevant and appropriate requirements (ARARs), a RI/FS, a risk
assessment, and a quick ROD are required. These actions axe performed at sites where
the RDT decides the contamination warrants quick action and the response is expected
to take than five years to complete. An early action may involve the containment of
a groundwater plume that is directly threatening a drinking water supply. An early
action can occur in conjunction with a long-term action at a site. This is referred to as a
"phased approach" and ensures a site is cleaned up as quickly and effectively as
possible.
LONG-TERM ACTIONS
Long-term actions follow the remedial process requirements outlined in the NCP.
These actions take longer than five years to implement and complete. Examples of
situations that involve long-term actions are where extensive groundwater
restoration is required, restoration of wetlands or estuaries is necessary, or large mining
sites that require cleanup as well as major environmental restoration such as
revegetation. Long-term action sites will follow the full NPL process including NPL
listing, a RI/FS, and a complete ROD. The main difference between a long-term action
and an old remedial action is that the selected remedy will be implemented more
quickly under SACM. For more information on both early and long-term actions see
Early Actign and Long-Team Action Under SACM -- Interim Guidance (OSWER
Directive 9203.1-051),
PRESUMPTIVE REMEDIES
As mentioned previously in section 3.2, presumptive remedies are a key component of
the SACM paradigm. Before SACM, EPA operated on the presumption that each site on
the NPL was unique and required a site-specific cleanup remedy. Through time, EPA
has learned that many sites are contaminated with the same types of wastes, involve the
same types of units, and as result, will most likely have a similar remedy. For example,
it has taken many years to determine that the best remedy for leaking municipal landfill
is a cap to prevent further contamination of groundwater. When faced with many
leaking municipal landfill sites, a significant amount of time can be saved in the remedy
selection process if it is presumed that the best remedy for these sites is a cap.
Presumptive remedies will reduce the amount of time it takes to select a remedy by
adopting remedies already shown to be effective at similar sites. Pilot studies using
presumptive remedies have occurred at wood preserving sites, municipal solid waste
landfills, sites with groundwater contamination, and sites with volatile organic
compound and PCB contamination. Presumptive remedies ensure that a site is can be
cleaned up faster while still protecting human health and the environment. More
The information in this document is not by any means a complete representation of EPA's regulations or policies, but
ie an introduction used for Hotline training purposes.
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30- Sugerfund Admimstratiygrmijroyemgntsandthe SugerfyndAccelgratgdQganupModel
guidance on presumptive remedies is found in Presumptive Remedies: Policy and
Procedures (OSWER Directive 9355.0-47FS).
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 and the Superfund Accelerated Cleanup Model - 31
5, BROWNFIELDS ECONOMIC REDEVELOPMENT INITIATIVE
Superfund liability on both past and present owners of contaminated sites,
The stigma of potential Superfund liability diminishes the attractiveness of investing in
previously used industrial or commercial areas. As a result, the market value of older
industrial sites can be depressed, thereby causing these sites to become brownfields.
Brownfields are abandoned, idled, or under-used industrial and commercial facilities
where expansion or development is complicated by real or perceived environmental
contamination,
EPA believes that the environmental cleanup of brownfields sites is a building block to
economic redevelopment. EPA designed the Brownfields Economic Redevelopment
Initiative to empower states, communities, and other stakeholders in economic
redevelopment to work together to assess, safely cleanup, and sustainably reuse
brownfields.
BROWNFIEIDS ACTION AGENDA
On January 25,1995, EPA announced the Brownfields Action Agenda, an outline of
EPA's activities and future plans to help states and communities implement and realize
the benefits of the Brownfields Initiative. The efforts outlined in the Brownfields Action
Agenda can be grouped into four broad and overlapping categories; brownfields pilots,
clarification of liability and cleanup issues, partnerships and outreach, and job training
and development Many of the initiatives announced as part of EPA's Superfund
Administrative Improvements and Reforms are important components of the Action
Agenda, The Action Agenda is a work in progress and EPA will continue to seek
advice and input from a broad range of stakeholders as the Agency's understanding of
the issue evolves,
BROWNFIELDS PILOTS
EPA will select 50 states, cities, towns, counties, and Tribes for brownfields pilots by the
end of 1996, The pilots, each funded up to $200,000 over two years, will test
redevelopment models, direct special toward removing regulatory barriers
without sacrificing protectiveness, and facilitate coordinated public and private efforts
at the federal, state, and local levels. These funds are to be used to generate interest by
pulling together community groups/ investors, lenders, developers, and other affected
parties to address the issue of cleaning up contaminated with hazardous
substances and returning them to appropriate, productive use.
By February 1996, EPA had awarded 40 of the 50 pilots, 28 "National Pilots" selected by
EPA Headquarters, and 12 "Regional" pilots selected and sponsored by EPA Regional
offices.
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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32 - Superfund Administrative Improvements and the Superfund Accelerated Cleanup Model
REGIONAL PILOTS
* Boston, MA
• Buffalo, NY
« Dallas, TX
• Duwamish/WA
» Illinois
• Indiana
* Minnesota
* Northwest Indiana Cities
• Philadelphia, PA
• Pittsburgh, PA
« Sand Creek Corridor, CO
« West Jordan, UT
NATIONAL PILOTS
* Baltimore, MD
• Birmingham, AL
• Bridgeport, CT
» Detroit, MI
* Emeryville, CA
* Houston, TX
» Indianapolis, IN
* Knoxville, TN
* Laredo, TX
« Lawerence, MA
* Louisville, KY
» New Orleans, LA
• New York, NY
• Northampton County-
Cape Charles, VA
* Oregon Mill Sites
» Phoenixville, AZ
• Portland, OR
* Richmond, VA
« Rhode Island
* Rochester, NY
* Sacramento, CA
« St. Louis, MO
» Stockton, CA
* Tacoma, WA
* Trenton, NJ
« West Central Municipal
Conference (WCMC)
* Worcester, MA
EPA Headquarters selected the National pilots based on their program statement and
needs assessment, community-based planning and involvement, implementation plan,
and long-term benefits and sustainability. The Regions used their own criteria to select
the Regional pilots.
CLARIFICATION OF LIABILITY ISSUES
Inheritance of cleanup liability for past contamination is a significant barrier to
assessing, cleaning up, and redeveloping brownfields sites. EPA hopes to mollify the
concerns of lenders, property owners, municipalities, and others by clarifying relevant
liability issues. Clarification of liability issues will facilitate the purchase, cleanup, and
redevelopment of that might otherwise be avoided due to misconceptions of
incurring federal liability. The Brownfields Initiative targets many specific Superfund
and Underground Storage Tank (UST) liability issues, including prospective purchaser
The information in this document is not by any means a complete representation of BPA's regulations or policies, but
is an introduction used for Hotline training purposes.
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Superfund Administrative Improvements and the Superfund Accelerated Cleanup Model - 33
liability, the liability of owners of contaminated aquifers/ municipal acquisition liability,
and lender liability at both Superfund and UST sites,
AND OUTREACH
To promote public participation and community involvement in brownfields decision-
making and to streamline and improve brownfields efforts, EPA is working to build
lasting partnerships with states, cities, and community representatives. In addition,
EPA will continue to develop its existing partnerships with federal Agencies to ensure a
coordinated federal to the redevelopment of brownfields.
During the summer of 1995, the National Environmental Justice Advisory Council
(NEJAC) sponsored a of one-day dialogues the country, known as "loop
trips," in an effort to involve community groups and environmental justice advocates in
the Brownfields Initiative. The Agency also formed a workgroup to explore the
potential effects that EPA endorsement of state voluntary cleanup laws might have on
brownfields cleanup and redevelopment Finally, EPA has begun assigning staff to
various cities through inter-governmental personnel assignments (IPAs) to
in the development of their own brownfields programs.
JOB DEVELOPMENT AND TRAINING
In keeping with its efforts to aid the economic redevelopment of brownfields
communities, EPA has undertaken several job development and training activities.
Together, EPA brownfields staff and local contacts have established partnerships with
community colleges to provide quality training for local workers and to ensure the
recruitment of students from socio-economically disadvantaged communities. The
Agency's intention is to provide local residents with an opportunity to qualify for jobs
developed through brownfields efforts.
Specifically, EPA and the Hazardous Materials Training and Research Institute are
participating in an effort to expand training and develop curriculum at community
colleges in brownfield communities. The Agency has already been successful
establishing job training programs at community colleges in Cleveland, Ohio; Whittier,
California; and Bridgeport, Connecticut.
BROWNFIELDS TAX INCENTIVE
Building on the momentum of the Brownfields Action Agenda, on March 11,1995,
President Clinton announced the details of a new, targeted tax incentive to spur the
clean up and redevelopment of brownfields in distressed rural and urban areas. Under
the President's proposal, companies can fully deduct environmental clean up costs in
the year in which they are incurred, rather than capitalizing them over five to ten years
as the tax code currently requires. The tax incentive would be available in existing EPA
brownfields pilot areas, in areas with a poverty rate of 20 percent or more, in adjacent
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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34 - Superfund Administrative Improvements and the .Superfund Accelerated Cleanup Model
industrial or commercial areas, and in Empowerment Zones and Enterprise
Communities,
The President included the $2 billion incentive in the proposed budget that was
submitted March 18,1996. The tax incentive will require Congressional approval to
become effective.
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 and the Superfund Accelerated Cleanup Model - 35
6.
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 Improvements, closed out on September 30,1994, focused on increasing
enforcement fairness and reducing transaction costs, improving cleanup effectiveness
and consistency, expanding public involvement, and enhancing the state role. A second
set 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 set 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. Other initiatives such as SACM and
Brownfields Economic Redevelopment provide additional ways in which to make
cleanups faster, fairer, and more efficient While some initiatives have been completed,
work on others will continue as EPA awaits statutory reform 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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